catalog: uuid: 12d35e21-5659-4909-a313-cad67cba9e18 metadata: title: FedRAMP Rev 5 High Baseline last-modified: '2026-02-10T21:06:15.239744513Z' version: fedramp-3.0.0rc1-oscal-1.1.2 oscal-version: 1.1.3 props: - name: resolution-tool value: libOSCAL-Java links: - href: file:FedRAMP_rev5_HIGH-baseline_profile.xml rel: source-profile groups: - id: ac class: family title: Access Control controls: - id: ac-1 class: SP800-53 title: Policy and Procedures params: - id: ac-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-01_odp.02 label: organization-defined personnel or roles - id: ac-01_odp.01 props: - name: label value: AC-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the access control policy is to be disseminated is/are defined; - id: ac-01_odp.02 props: - name: label value: AC-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the access control procedures are to be disseminated is/are defined; - id: ac-01_odp.03 props: - name: alt-identifier value: ac-1_prm_2 - name: label value: AC-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: ac-01_odp.04 props: - name: alt-identifier value: ac-1_prm_3 - name: label value: AC-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the access control policy and procedures is defined; - id: ac-01_odp.05 props: - name: alt-identifier value: ac-1_prm_4 - name: label value: AC-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current access control policy is reviewed and updated is defined; - id: ac-01_odp.06 props: - name: alt-identifier value: ac-1_prm_5 - name: label value: AC-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current access control policy to be reviewed and updated are defined; - id: ac-01_odp.07 props: - name: alt-identifier value: ac-1_prm_6 - name: label value: AC-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current access control procedures are reviewed and updated is defined; - id: ac-01_odp.08 props: - name: alt-identifier value: ac-1_prm_7 - name: label value: AC-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that would require procedures to be reviewed and updated are defined; props: - name: label value: AC-01 class: zero-padded - name: label value: AC-1 - name: label value: AC-01 class: sp800-53a - name: sort-id value: ac-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: '#7f473f21-fdbf-4a6c-81a1-0ab95919609d' rel: reference - href: '#ia-1' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-24 rel: related - href: '#ps-8' rel: related - href: '#si-12' rel: related parts: - id: ac-1_smt name: statement parts: - id: ac-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses Access Control MUST be associated with AC-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses Access Control MUST be associated with AC-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, ac-1_prm_1 }}:' parts: - id: ac-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, ac-01_odp.03 }} access control policy that:' parts: - id: ac-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: ac-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: ac-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the access control policy and the associated access controls; - id: ac-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, ac-01_odp.04 }} to manage the development, documentation, and dissemination of the access control policy and procedures; and' - id: ac-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current access control:' parts: - id: ac-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, ac-01_odp.05 }} and following {{ insert: param, ac-01_odp.06 }} ; and' - id: ac-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, ac-01_odp.07 }} and following {{ insert: param, ac-01_odp.08 }}.' - id: ac-1_gdn name: guidance prose: Access control policy and procedures address the controls in the AC family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of access control policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to access control policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: ac-1_obj name: assessment-objective props: - name: label value: AC-01 class: sp800-53a parts: - id: ac-1_obj.a name: assessment-objective props: - name: label value: AC-01a. class: sp800-53a parts: - id: ac-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-01a.[01] class: sp800-53a prose: an access control policy is developed and documented; links: - href: '#ac-1_smt.a' rel: assessment-for - id: ac-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-01a.[02] class: sp800-53a prose: 'the access control policy is disseminated to {{ insert: param, ac-01_odp.01 }};' links: - href: '#ac-1_smt.a' rel: assessment-for - id: ac-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AC-01a.[03] class: sp800-53a prose: access control procedures to facilitate the implementation of the access control policy and associated controls are developed and documented; links: - href: '#ac-1_smt.a' rel: assessment-for - id: ac-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AC-01a.[04] class: sp800-53a prose: 'the access control procedures are disseminated to {{ insert: param, ac-01_odp.02 }};' links: - href: '#ac-1_smt.a' rel: assessment-for - id: ac-1_obj.a.1 name: assessment-objective props: - name: label value: AC-01a.01 class: sp800-53a parts: - id: ac-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AC-01a.01(a) class: sp800-53a parts: - id: ac-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: AC-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, ac-01_odp.03 }} access control policy addresses purpose;' links: - href: '#ac-1_smt.a.1.a' rel: assessment-for - id: ac-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: AC-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, ac-01_odp.03 }} access control policy addresses scope;' links: - href: '#ac-1_smt.a.1.a' rel: assessment-for - id: ac-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: AC-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, ac-01_odp.03 }} access control policy addresses roles;' links: - href: '#ac-1_smt.a.1.a' rel: assessment-for - id: ac-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: AC-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, ac-01_odp.03 }} access control policy addresses responsibilities;' links: - href: '#ac-1_smt.a.1.a' rel: assessment-for - id: ac-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: AC-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, ac-01_odp.03 }} access control policy addresses management commitment;' links: - href: '#ac-1_smt.a.1.a' rel: assessment-for - id: ac-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: AC-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, ac-01_odp.03 }} access control policy addresses coordination among organizational entities;' links: - href: '#ac-1_smt.a.1.a' rel: assessment-for - id: ac-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: AC-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, ac-01_odp.03 }} access control policy addresses compliance;' links: - href: '#ac-1_smt.a.1.a' rel: assessment-for links: - href: '#ac-1_smt.a.1.a' rel: assessment-for - id: ac-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AC-01a.01(b) class: sp800-53a prose: 'the {{ insert: param, ac-01_odp.03 }} access control policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;' links: - href: '#ac-1_smt.a.1.b' rel: assessment-for links: - href: '#ac-1_smt.a.1' rel: assessment-for links: - href: '#ac-1_smt.a' rel: assessment-for - id: ac-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-01b. class: sp800-53a prose: 'the {{ insert: param, ac-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the access control policy and procedures;' links: - href: '#ac-1_smt.b' rel: assessment-for - id: ac-1_obj.c name: assessment-objective props: - name: label value: AC-01c. class: sp800-53a parts: - id: ac-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-01c.01 class: sp800-53a parts: - id: ac-1_obj.c.1-1 name: assessment-objective props: - name: label value: AC-01c.01[01] class: sp800-53a prose: 'the current access control policy is reviewed and updated {{ insert: param, ac-01_odp.05 }};' links: - href: '#ac-1_smt.c.1' rel: assessment-for - id: ac-1_obj.c.1-2 name: assessment-objective props: - name: label value: AC-01c.01[02] class: sp800-53a prose: 'the current access control policy is reviewed and updated following {{ insert: param, ac-01_odp.06 }};' links: - href: '#ac-1_smt.c.1' rel: assessment-for links: - href: '#ac-1_smt.c.1' rel: assessment-for - id: ac-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-01c.02 class: sp800-53a parts: - id: ac-1_obj.c.2-1 name: assessment-objective props: - name: label value: AC-01c.02[01] class: sp800-53a prose: 'the current access control procedures are reviewed and updated {{ insert: param, ac-01_odp.07 }};' links: - href: '#ac-1_smt.c.2' rel: assessment-for - id: ac-1_obj.c.2-2 name: assessment-objective props: - name: label value: AC-01c.02[02] class: sp800-53a prose: 'the current access control procedures are reviewed and updated following {{ insert: param, ac-01_odp.08 }}.' links: - href: '#ac-1_smt.c.2' rel: assessment-for links: - href: '#ac-1_smt.c.2' rel: assessment-for links: - href: '#ac-1_smt.c' rel: assessment-for links: - href: '#ac-1_smt' rel: assessment-for - id: ac-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy and procedures system security plan privacy plan other relevant documents or records' - id: ac-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with access control responsibilities organizational personnel with information security with information security and privacy responsibilities' - id: ac-2 class: SP800-53 title: Account Management params: - id: ac-02_odp.01 props: - name: alt-identifier value: ac-2_prm_1 - name: label value: AC-02_ODP[01] class: sp800-53a label: prerequisites and criteria guidelines: - prose: prerequisites and criteria for group and role membership are defined; - id: ac-02_odp.02 props: - name: alt-identifier value: ac-2_prm_2 - name: label value: AC-02_ODP[02] class: sp800-53a label: attributes (as required) guidelines: - prose: attributes (as required) for each account are defined; - id: ac-02_odp.03 props: - name: alt-identifier value: ac-2_prm_3 - name: label value: AC-02_ODP[03] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles required to approve requests to create accounts is/are defined; - id: ac-02_odp.04 props: - name: alt-identifier value: ac-2_prm_4 - name: label value: AC-02_ODP[04] class: sp800-53a label: policy, procedures, prerequisites, and criteria guidelines: - prose: policy, procedures, prerequisites, and criteria for account creation, enabling, modification, disabling, and removal are defined; - id: ac-02_odp.05 props: - name: alt-identifier value: ac-2_prm_5 - name: label value: AC-02_ODP[05] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be notified is/are defined; - id: ac-02_odp.06 props: - name: alt-identifier value: ac-2_prm_6 - name: label value: AC-02_ODP[06] class: sp800-53a label: time period constraints: - description: twenty-four (24) hours guidelines: - prose: time period within which to notify account managers when accounts are no longer required is defined; - id: ac-02_odp.07 props: - name: alt-identifier value: ac-2_prm_7 - name: label value: AC-02_ODP[07] class: sp800-53a label: time period constraints: - description: eight (8) hours guidelines: - prose: time period within which to notify account managers when users are terminated or transferred is defined; - id: ac-02_odp.08 props: - name: alt-identifier value: ac-2_prm_8 - name: label value: AC-02_ODP[08] class: sp800-53a label: time period constraints: - description: eight (8) hours guidelines: - prose: time period within which to notify account managers when system usage or the need to know changes for an individual is defined; - id: ac-02_odp.09 props: - name: alt-identifier value: ac-2_prm_9 - name: label value: AC-02_ODP[09] class: sp800-53a label: attributes (as required) guidelines: - prose: attributes needed to authorize system access (as required) are defined; - id: ac-02_odp.10 props: - name: alt-identifier value: ac-2_prm_10 - name: label value: AC-02_ODP[10] class: sp800-53a label: frequency constraints: - description: monthly for privileged accessed, every six (6) months for non-privileged access guidelines: - prose: the frequency of account review is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-02 class: zero-padded - name: label value: AC-2 - name: label value: AC-02 class: sp800-53a - name: sort-id value: ac-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#2956e175-f674-43f4-b1b9-e074ad9fc39c' rel: reference - href: '#388a3aa2-5d85-4bad-b8a3-77db80d63c4f' rel: reference - href: '#53df282b-8b3f-483a-bad1-6a8b8ac00114' rel: reference - href: '#ac-3' rel: related - href: '#ac-5' rel: related - href: '#ac-6' rel: related - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-20' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-24 rel: related - href: '#au-2' rel: related - href: '#au-12' rel: related - href: '#cm-5' rel: related - href: '#ia-2' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: '#ia-8' rel: related - href: '#ma-3' rel: related - href: '#ma-5' rel: related - href: '#pe-2' rel: related - href: '#pl-4' rel: related - href: '#ps-2' rel: related - href: '#ps-4' rel: related - href: '#ps-5' rel: related - href: '#ps-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-2 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-3 rel: related - href: '#sc-7' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-37 rel: related parts: - id: ac-2_smt name: statement parts: - id: ac-2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Define and document the types of accounts allowed and specifically prohibited for use within the system; - id: ac-2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Assign account managers; - id: ac-2_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Require {{ insert: param, ac-02_odp.01 }} for group and role membership;' - id: ac-2_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: 'Specify:' parts: - id: ac-2_smt.d.1 name: item props: - name: label value: '1.' prose: Authorized users of the system; - id: ac-2_smt.d.2 name: item props: - name: label value: '2.' prose: Group and role membership; and - id: ac-2_smt.d.3 name: item props: - name: label value: '3.' prose: 'Access authorizations (i.e., privileges) and {{ insert: param, ac-02_odp.02 }} for each account;' - id: ac-2_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: 'Require approvals by {{ insert: param, ac-02_odp.03 }} for requests to create accounts;' - id: ac-2_smt.f name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: f. prose: 'Create, enable, modify, disable, and remove accounts in accordance with {{ insert: param, ac-02_odp.04 }};' - id: ac-2_smt.g name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: g. prose: Monitor the use of accounts; - id: ac-2_smt.h name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: h. prose: 'Notify account managers and {{ insert: param, ac-02_odp.05 }} within:' parts: - id: ac-2_smt.h.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, ac-02_odp.06 }} when accounts are no longer required;' - id: ac-2_smt.h.2 name: item props: - name: label value: '2.' prose: '{{ insert: param, ac-02_odp.07 }} when users are terminated or transferred; and' - id: ac-2_smt.h.3 name: item props: - name: label value: '3.' prose: '{{ insert: param, ac-02_odp.08 }} when system usage or need-to-know changes for an individual;' - id: ac-2_smt.i name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: i. prose: 'Authorize access to the system based on:' parts: - id: ac-2_smt.i.1 name: item props: - name: label value: '1.' prose: A valid access authorization; - id: ac-2_smt.i.2 name: item props: - name: label value: '2.' prose: Intended system usage; and - id: ac-2_smt.i.3 name: item props: - name: label value: '3.' prose: '{{ insert: param, ac-02_odp.09 }};' - id: ac-2_smt.j name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: j. prose: 'Review accounts for compliance with account management requirements {{ insert: param, ac-02_odp.10 }};' - id: ac-2_smt.k name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: k. prose: Establish and implement a process for changing shared or group account authenticators (if deployed) when individuals are removed from the group; and - id: ac-2_smt.l name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: l. prose: Align account management processes with personnel termination and transfer processes. - id: ac-2_gdn name: guidance prose: 'Examples of system account types include individual, shared, group, system, guest, anonymous, emergency, developer, temporary, and service. Identification of authorized system users and the specification of access privileges reflect the requirements in other controls in the security plan. Users requiring administrative privileges on system accounts receive additional scrutiny by organizational personnel responsible for approving such accounts and privileged access, including system owner, mission or business owner, senior agency information security officer, or senior agency official for privacy. Types of accounts that organizations may wish to prohibit due to increased risk include shared, group, emergency, anonymous, temporary, and guest accounts. Where access involves personally identifiable information, security programs collaborate with the senior agency official for privacy to establish the specific conditions for group and role membership; specify authorized users, group and role membership, and access authorizations for each account; and create, adjust, or remove system accounts in accordance with organizational policies. Policies can include such information as account expiration dates or other factors that trigger the disabling of accounts. Organizations may choose to define access privileges or other attributes by account, type of account, or a combination of the two. Examples of other attributes required for authorizing access include restrictions on time of day, day of week, and point of origin. In defining other system account attributes, organizations consider system-related requirements and mission/business requirements. Failure to consider these factors could affect system availability. Temporary and emergency accounts are intended for short-term use. Organizations establish temporary accounts as part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts, including local logon accounts used for special tasks or when network resources are unavailable (may also be known as accounts of last resort). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include when shared/group, emergency, or temporary accounts are no longer required and when individuals are transferred or terminated. Changing shared/group authenticators when members leave the group is intended to ensure that former group members do not retain access to the shared or group account. Some types of system accounts may require specialized training.' - id: ac-2_obj name: assessment-objective props: - name: label value: AC-02 class: sp800-53a parts: - id: ac-2_obj.a name: assessment-objective props: - name: label value: AC-02a. class: sp800-53a parts: - id: ac-2_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AC-02a.[01] class: sp800-53a prose: account types allowed for use within the system are defined and documented; links: - href: '#ac-2_smt.a' rel: assessment-for - id: ac-2_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AC-02a.[02] class: sp800-53a prose: account types specifically prohibited for use within the system are defined and documented; links: - href: '#ac-2_smt.a' rel: assessment-for links: - href: '#ac-2_smt.a' rel: assessment-for - id: ac-2_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-02b. class: sp800-53a prose: account managers are assigned; links: - href: '#ac-2_smt.b' rel: assessment-for - id: ac-2_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-02c. class: sp800-53a prose: '{{ insert: param, ac-02_odp.01 }} for group and role membership are required;' links: - href: '#ac-2_smt.c' rel: assessment-for - id: ac-2_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AC-02d. class: sp800-53a parts: - id: ac-2_obj.d.1 name: assessment-objective props: - name: label value: AC-02d.01 class: sp800-53a prose: authorized users of the system are specified; links: - href: '#ac-2_smt.d.1' rel: assessment-for - id: ac-2_obj.d.2 name: assessment-objective props: - name: label value: AC-02d.02 class: sp800-53a prose: group and role membership are specified; links: - href: '#ac-2_smt.d.2' rel: assessment-for - id: ac-2_obj.d.3 name: assessment-objective props: - name: label value: AC-02d.03 class: sp800-53a parts: - id: ac-2_obj.d.3-1 name: assessment-objective props: - name: label value: AC-02d.03[01] class: sp800-53a prose: access authorizations (i.e., privileges) are specified for each account; links: - href: '#ac-2_smt.d.3' rel: assessment-for - id: ac-2_obj.d.3-2 name: assessment-objective props: - name: label value: AC-02d.03[02] class: sp800-53a prose: '{{ insert: param, ac-02_odp.02 }} are specified for each account;' links: - href: '#ac-2_smt.d.3' rel: assessment-for links: - href: '#ac-2_smt.d.3' rel: assessment-for links: - href: '#ac-2_smt.d' rel: assessment-for - id: ac-2_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02e. class: sp800-53a prose: 'approvals are required by {{ insert: param, ac-02_odp.03 }} for requests to create accounts;' links: - href: '#ac-2_smt.e' rel: assessment-for - id: ac-2_obj.f name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02f. class: sp800-53a parts: - id: ac-2_obj.f-1 name: assessment-objective props: - name: label value: AC-02f.[01] class: sp800-53a prose: 'accounts are created in accordance with {{ insert: param, ac-02_odp.04 }};' links: - href: '#ac-2_smt.f' rel: assessment-for - id: ac-2_obj.f-2 name: assessment-objective props: - name: label value: AC-02f.[02] class: sp800-53a prose: 'accounts are enabled in accordance with {{ insert: param, ac-02_odp.04 }};' links: - href: '#ac-2_smt.f' rel: assessment-for - id: ac-2_obj.f-3 name: assessment-objective props: - name: label value: AC-02f.[03] class: sp800-53a prose: 'accounts are modified in accordance with {{ insert: param, ac-02_odp.04 }};' links: - href: '#ac-2_smt.f' rel: assessment-for - id: ac-2_obj.f-4 name: assessment-objective props: - name: label value: AC-02f.[04] class: sp800-53a prose: 'accounts are disabled in accordance with {{ insert: param, ac-02_odp.04 }};' links: - href: '#ac-2_smt.f' rel: assessment-for - id: ac-2_obj.f-5 name: assessment-objective props: - name: label value: AC-02f.[05] class: sp800-53a prose: 'accounts are removed in accordance with {{ insert: param, ac-02_odp.04 }};' links: - href: '#ac-2_smt.f' rel: assessment-for links: - href: '#ac-2_smt.f' rel: assessment-for - id: ac-2_obj.g name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02g. class: sp800-53a prose: the use of accounts is monitored; links: - href: '#ac-2_smt.g' rel: assessment-for - id: ac-2_obj.h name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02h. class: sp800-53a parts: - id: ac-2_obj.h.1 name: assessment-objective props: - name: label value: AC-02h.01 class: sp800-53a prose: 'account managers and {{ insert: param, ac-02_odp.05 }} are notified within {{ insert: param, ac-02_odp.06 }} when accounts are no longer required;' links: - href: '#ac-2_smt.h.1' rel: assessment-for - id: ac-2_obj.h.2 name: assessment-objective props: - name: label value: AC-02h.02 class: sp800-53a prose: 'account managers and {{ insert: param, ac-02_odp.05 }} are notified within {{ insert: param, ac-02_odp.07 }} when users are terminated or transferred;' links: - href: '#ac-2_smt.h.2' rel: assessment-for - id: ac-2_obj.h.3 name: assessment-objective props: - name: label value: AC-02h.03 class: sp800-53a prose: 'account managers and {{ insert: param, ac-02_odp.05 }} are notified within {{ insert: param, ac-02_odp.08 }} when system usage or the need to know changes for an individual;' links: - href: '#ac-2_smt.h.3' rel: assessment-for links: - href: '#ac-2_smt.h' rel: assessment-for - id: ac-2_obj.i name: assessment-objective props: - name: label value: AC-02i. class: sp800-53a parts: - id: ac-2_obj.i.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02i.01 class: sp800-53a prose: access to the system is authorized based on a valid access authorization; links: - href: '#ac-2_smt.i.1' rel: assessment-for - id: ac-2_obj.i.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02i.02 class: sp800-53a prose: access to the system is authorized based on intended system usage; links: - href: '#ac-2_smt.i.2' rel: assessment-for - id: ac-2_obj.i.3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02i.03 class: sp800-53a prose: 'access to the system is authorized based on {{ insert: param, ac-02_odp.09 }};' links: - href: '#ac-2_smt.i.3' rel: assessment-for links: - href: '#ac-2_smt.i' rel: assessment-for - id: ac-2_obj.j name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02j. class: sp800-53a prose: 'accounts are reviewed for compliance with account management requirements {{ insert: param, ac-02_odp.10 }};' links: - href: '#ac-2_smt.j' rel: assessment-for - id: ac-2_obj.k name: assessment-objective props: - name: label value: AC-02k. class: sp800-53a parts: - id: ac-2_obj.k-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02k.[01] class: sp800-53a prose: a process is established for changing shared or group account authenticators (if deployed) when individuals are removed from the group; links: - href: '#ac-2_smt.k' rel: assessment-for - id: ac-2_obj.k-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02k.[02] class: sp800-53a prose: a process is implemented for changing shared or group account authenticators (if deployed) when individuals are removed from the group; links: - href: '#ac-2_smt.k' rel: assessment-for links: - href: '#ac-2_smt.k' rel: assessment-for - id: ac-2_obj.l name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-02l. class: sp800-53a parts: - id: ac-2_obj.l-1 name: assessment-objective props: - name: label value: AC-02l.[01] class: sp800-53a prose: account management processes are aligned with personnel termination processes; links: - href: '#ac-2_smt.l' rel: assessment-for - id: ac-2_obj.l-2 name: assessment-objective props: - name: label value: AC-02l.[02] class: sp800-53a prose: account management processes are aligned with personnel transfer processes. links: - href: '#ac-2_smt.l' rel: assessment-for links: - href: '#ac-2_smt.l' rel: assessment-for links: - href: '#ac-2_smt' rel: assessment-for - id: ac-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy personnel termination policy and procedure personnel transfer policy and procedure procedures for addressing account management system design documentation system configuration settings and associated documentation list of active system accounts along with the name of the individual associated with each account list of recently disabled system accounts and the name of the individual associated with each account list of conditions for group and role membership notifications of recent transfers, separations, or terminations of employees access authorization records account management compliance reviews system monitoring records system audit records system security plan privacy plan other relevant documents or records' - id: ac-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security with information security and privacy responsibilities' - id: ac-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for account management on the system mechanisms for implementing account management' controls: - id: ac-2.1 class: SP800-53-enhancement title: Automated System Account Management params: - id: ac-02.01_odp props: - name: alt-identifier value: ac-2.1_prm_1 - name: label value: AC-02(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to support the management of system accounts are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-02(01) class: zero-padded - name: label value: AC-2(1) - name: label value: AC-02(01) class: sp800-53a - name: sort-id value: ac-02.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-2' rel: required parts: - id: ac-2.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Support the management of system accounts using {{ insert: param, ac-02.01_odp }}.' - id: ac-2.1_gdn name: guidance prose: Automated system account management includes using automated mechanisms to create, enable, modify, disable, and remove accounts; notify account managers when an account is created, enabled, modified, disabled, or removed, or when users are terminated or transferred; monitor system account usage; and report atypical system account usage. Automated mechanisms can include internal system functions and email, telephonic, and text messaging notifications. - id: ac-2.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02(01) class: sp800-53a prose: 'the management of system accounts is supported using {{ insert: param, ac-02.01_odp }}.' links: - href: '#ac-2.1_smt' rel: assessment-for - id: ac-2.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures for addressing account management system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: ac-2.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security with information security responsibilities system developers' - id: ac-2.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms for implementing account management functions - id: ac-2.2 class: SP800-53-enhancement title: Automated Temporary and Emergency Account Management params: - id: ac-02.02_odp.01 props: - name: alt-identifier value: ac-2.2_prm_1 - name: label value: AC-02(02)_ODP[01] class: sp800-53a constraints: - description: 'Selection: disables' - id: ac-02.02_odp.02 props: - name: alt-identifier value: ac-2.2_prm_2 - name: alt-label value: time period for each type of account class: sp800-53 - name: label value: AC-02(02)_ODP[02] class: sp800-53a label: time period constraints: - description: no more than 24 hours from last use guidelines: - prose: the time period after which to automatically remove or disable temporary or emergency accounts is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-02(02) class: zero-padded - name: label value: AC-2(2) - name: label value: AC-02(02) class: sp800-53a - name: sort-id value: ac-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-2' rel: required parts: - id: ac-2.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Automatically {{ insert: param, ac-02.02_odp.01 }} temporary and emergency accounts after {{ insert: param, ac-02.02_odp.02 }}.' - id: ac-2.2_gdn name: guidance prose: Management of temporary and emergency accounts includes the removal or disabling of such accounts automatically after a predefined time period rather than at the convenience of the system administrator. Automatic removal or disabling of accounts provides a more consistent implementation. - id: ac-2.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02(02) class: sp800-53a prose: 'temporary and emergency accounts are automatically {{ insert: param, ac-02.02_odp.01 }} after {{ insert: param, ac-02.02_odp.02 }}.' links: - href: '#ac-2.2_smt' rel: assessment-for - id: ac-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures for addressing account management system design documentation system configuration settings and associated documentation system-generated list of temporary accounts removed and/or disabled system-generated list of emergency accounts removed and/or disabled system audit records system security plan other relevant documents or records' - id: ac-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security with information security responsibilities system developers' - id: ac-2.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms for implementing account management functions - id: ac-2.3 class: SP800-53-enhancement title: Disable Accounts params: - id: ac-02.03_odp.01 props: - name: alt-identifier value: ac-2.3_prm_1 - name: label value: AC-02(03)_ODP[01] class: sp800-53a label: time period constraints: - description: 24 hours for user accounts guidelines: - prose: time period within which to disable accounts is defined; - id: ac-02.03_odp.02 props: - name: alt-identifier value: ac-2.3_prm_2 - name: label value: AC-02(03)_ODP[02] class: sp800-53a label: time period constraints: - description: thirty-five (35) days (See additional requirements and guidance.) guidelines: - prose: time period for account inactivity before disabling is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-02(03) class: zero-padded - name: label value: AC-2(3) - name: label value: AC-02(03) class: sp800-53a - name: sort-id value: ac-02.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-2' rel: required parts: - id: ac-2.3_smt name: statement prose: 'Disable accounts within {{ insert: param, ac-02.03_odp.01 }} when the accounts:' parts: - id: ac-2.3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: Have expired; - id: ac-2.3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Are no longer associated with a user or individual; - id: ac-2.3_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (c) prose: Are in violation of organizational policy; or - id: ac-2.3_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (d) prose: 'Have been inactive for {{ insert: param, ac-02.03_odp.02 }}.' - id: ac-2.3_gdn name: guidance prose: Disabling expired, inactive, or otherwise anomalous accounts supports the concepts of least privilege and least functionality which reduce the attack surface of the system. - id: ac-2.3_fr name: item ns: http://fedramp.gov/ns/oscal title: AC-2 (3) Additional FedRAMP Requirements and Guidance parts: - id: ac-2.3_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: The service provider defines the time period for non-user accounts (e.g., accounts associated with devices). The time periods are approved and accepted by the AO. Where user management is a function of the service, reports of activity of consumer users shall be made available. - id: ac-2.3_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(d) Requirement:' prose: The service provider defines the time period of inactivity for device identifiers. - id: ac-2.3_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP https://public.cyber.mil/dccs/. - id: ac-2.3_obj name: assessment-objective props: - name: label value: AC-02(03) class: sp800-53a parts: - id: ac-2.3_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02(03)(a) class: sp800-53a prose: 'accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts have expired;' links: - href: '#ac-2.3_smt.a' rel: assessment-for - id: ac-2.3_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02(03)(b) class: sp800-53a prose: 'accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts are no longer associated with a user or individual;' links: - href: '#ac-2.3_smt.b' rel: assessment-for - id: ac-2.3_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02(03)(c) class: sp800-53a prose: 'accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts are in violation of organizational policy;' links: - href: '#ac-2.3_smt.c' rel: assessment-for - id: ac-2.3_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02(03)(d) class: sp800-53a prose: 'accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts have been inactive for {{ insert: param, ac-02.03_odp.02 }}.' links: - href: '#ac-2.3_smt.d' rel: assessment-for links: - href: '#ac-2.3_smt' rel: assessment-for - id: ac-2.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures for addressing account management system security plan system design documentation system configuration settings and associated documentation system-generated list of accounts removed system-generated list of emergency accounts disabled system audit records system security plan other relevant documents or records' - id: ac-2.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities system developers' - id: ac-2.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms for implementing account management functions - id: ac-2.4 class: SP800-53-enhancement title: Automated Audit Actions props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-02(04) class: zero-padded - name: label value: AC-2(4) - name: label value: AC-02(04) class: sp800-53a - name: sort-id value: ac-02.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-2' rel: required - href: '#au-2' rel: related - href: '#au-6' rel: related parts: - id: ac-2.4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Automatically audit account creation, modification, enabling, disabling, and removal actions. - id: ac-2.4_gdn name: guidance prose: Account management audit records are defined in accordance with [AU-02](#au-2) and reviewed, analyzed, and reported in accordance with [AU-06](#au-6). - id: ac-2.4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02(04) class: sp800-53a parts: - id: ac-2.4_obj-1 name: assessment-objective props: - name: label value: AC-02(04)[01] class: sp800-53a prose: account creation is automatically audited; links: - href: '#ac-2.4_smt' rel: assessment-for - id: ac-2.4_obj-2 name: assessment-objective props: - name: label value: AC-02(04)[02] class: sp800-53a prose: account modification is automatically audited; links: - href: '#ac-2.4_smt' rel: assessment-for - id: ac-2.4_obj-3 name: assessment-objective props: - name: label value: AC-02(04)[03] class: sp800-53a prose: account enabling is automatically audited; links: - href: '#ac-2.4_smt' rel: assessment-for - id: ac-2.4_obj-4 name: assessment-objective props: - name: label value: AC-02(04)[04] class: sp800-53a prose: account disabling is automatically audited; links: - href: '#ac-2.4_smt' rel: assessment-for - id: ac-2.4_obj-5 name: assessment-objective props: - name: label value: AC-02(04)[05] class: sp800-53a prose: account removal actions are automatically audited. links: - href: '#ac-2.4_smt' rel: assessment-for links: - href: '#ac-2.4_smt' rel: assessment-for - id: ac-2.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing account management system design documentation system configuration settings and associated documentation notifications/alerts of account creation, modification, enabling, disabling, and removal actions system audit records system security plan other relevant documents or records' - id: ac-2.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities' - id: ac-2.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms implementing account management functions - id: ac-2.5 class: SP800-53-enhancement title: Inactivity Logout params: - id: ac-02.05_odp props: - name: alt-identifier value: ac-2.5_prm_1 - name: label value: AC-02(05)_ODP class: sp800-53a label: time period of expected inactivity or description of when to log out constraints: - description: inactivity is anticipated to exceed Fifteen (15) minutes guidelines: - prose: the time period of expected inactivity or description of when to log out is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-02(05) class: zero-padded - name: label value: AC-2(5) - name: label value: AC-02(05) class: sp800-53a - name: sort-id value: ac-02.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-2' rel: required - href: '#ac-11' rel: related parts: - id: ac-2.5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Require that users log out when {{ insert: param, ac-02.05_odp }}.' - id: ac-2.5_gdn name: guidance prose: Inactivity logout is behavior- or policy-based and requires users to take physical action to log out when they are expecting inactivity longer than the defined period. Automatic enforcement of inactivity logout is addressed by [AC-11](#ac-11). - id: ac-2.5_fr name: item ns: http://fedramp.gov/ns/oscal title: AC-2 (5) Additional FedRAMP Requirements and Guidance parts: - id: ac-2.5_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Should use a shorter timeframe than AC-12. - id: ac-2.5_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02(05) class: sp800-53a prose: 'users are required to log out when {{ insert: param, ac-02.05_odp }}.' links: - href: '#ac-2.5_smt' rel: assessment-for - id: ac-2.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing account management system design documentation system configuration settings and associated documentation security violation reports system audit records system security plan other relevant documents or records' - id: ac-2.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities users that must comply with inactivity logout policy' - id: ac-2.7 class: SP800-53-enhancement title: Privileged User Accounts params: - id: ac-02.07_odp props: - name: alt-identifier value: ac-2.7_prm_1 - name: label value: AC-02(07)_ODP class: sp800-53a select: choice: - a role-based access scheme - an attribute-based access scheme props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-02(07) class: zero-padded - name: label value: AC-2(7) - name: label value: AC-02(07) class: sp800-53a - name: sort-id value: ac-02.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-2' rel: required parts: - id: ac-2.7_smt name: statement parts: - id: ac-2.7_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Establish and administer privileged user accounts in accordance with {{ insert: param, ac-02.07_odp }};' - id: ac-2.7_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Monitor privileged role or attribute assignments; - id: ac-2.7_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (c) prose: Monitor changes to roles or attributes; and - id: ac-2.7_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (d) prose: Revoke access when privileged role or attribute assignments are no longer appropriate. - id: ac-2.7_gdn name: guidance prose: Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. Privileged roles include key management, account management, database administration, system and network administration, and web administration. A role-based access scheme organizes permitted system access and privileges into roles. In contrast, an attribute-based access scheme specifies allowed system access and privileges based on attributes. - id: ac-2.7_obj name: assessment-objective props: - name: label value: AC-02(07) class: sp800-53a parts: - id: ac-2.7_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02(07)(a) class: sp800-53a prose: 'privileged user accounts are established and administered in accordance with {{ insert: param, ac-02.07_odp }};' links: - href: '#ac-2.7_smt.a' rel: assessment-for - id: ac-2.7_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02(07)(b) class: sp800-53a prose: privileged role or attribute assignments are monitored; links: - href: '#ac-2.7_smt.b' rel: assessment-for - id: ac-2.7_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02(07)(c) class: sp800-53a prose: changes to roles or attributes are monitored; links: - href: '#ac-2.7_smt.c' rel: assessment-for - id: ac-2.7_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02(07)(d) class: sp800-53a prose: access is revoked when privileged role or attribute assignments are no longer appropriate. links: - href: '#ac-2.7_smt.d' rel: assessment-for links: - href: '#ac-2.7_smt' rel: assessment-for - id: ac-2.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing account management system design documentation system configuration settings and associated documentation system-generated list of privileged user accounts and associated roles records of actions taken when privileged role assignments are no longer appropriate system audit records audit tracking and monitoring reports system monitoring records system security plan other relevant documents or records' - id: ac-2.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities' - id: ac-2.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(07)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Mechanisms implementing account management functions mechanisms monitoring privileged role assignments' - id: ac-2.9 class: SP800-53-enhancement title: Restrictions on Use of Shared and Group Accounts params: - id: ac-02.09_odp props: - name: alt-identifier value: ac-2.9_prm_1 - name: alt-label value: conditions for establishing shared and group accounts class: sp800-53 - name: label value: AC-02(09)_ODP class: sp800-53a label: conditions constraints: - description: organization-defined need with justification statement that explains why such accounts are necessary guidelines: - prose: conditions for establishing shared and group accounts are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-02(09) class: zero-padded - name: label value: AC-2(9) - name: label value: AC-02(09) class: sp800-53a - name: sort-id value: ac-02.09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-2' rel: required parts: - id: ac-2.9_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Only permit the use of shared and group accounts that meet {{ insert: param, ac-02.09_odp }}.' - id: ac-2.9_gdn name: guidance prose: Before permitting the use of shared or group accounts, organizations consider the increased risk due to the lack of accountability with such accounts. - id: ac-2.9_fr name: item ns: http://fedramp.gov/ns/oscal title: AC-2 (9) Additional FedRAMP Requirements and Guidance parts: - id: ac-2.9_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Required if shared/group accounts are deployed. - id: ac-2.9_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-02(09) class: sp800-53a prose: 'the use of shared and group accounts is only permitted if {{ insert: param, ac-02.09_odp }} are met.' links: - href: '#ac-2.9_smt' rel: assessment-for - id: ac-2.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing account management system design documentation system configuration settings and associated documentation system-generated list of shared/group accounts and associated roles system audit records system security plan other relevant documents or records' - id: ac-2.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities' - id: ac-2.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(09)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing management of shared/group accounts - id: ac-2.11 class: SP800-53-enhancement title: Usage Conditions params: - id: ac-02.11_odp.01 props: - name: alt-identifier value: ac-2.11_prm_1 - name: label value: AC-02(11)_ODP[01] class: sp800-53a label: circumstances and/or usage conditions guidelines: - prose: circumstances and/or usage conditions to be enforced for system accounts are defined; - id: ac-02.11_odp.02 props: - name: alt-identifier value: ac-2.11_prm_2 - name: label value: AC-02(11)_ODP[02] class: sp800-53a label: system accounts guidelines: - prose: system accounts subject to enforcement of circumstances and/or usage conditions are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-02(11) class: zero-padded - name: label value: AC-2(11) - name: label value: AC-02(11) class: sp800-53a - name: sort-id value: ac-02.11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-2' rel: required parts: - id: ac-2.11_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Enforce {{ insert: param, ac-02.11_odp.01 }} for {{ insert: param, ac-02.11_odp.02 }}.' - id: ac-2.11_gdn name: guidance prose: Specifying and enforcing usage conditions helps to enforce the principle of least privilege, increase user accountability, and enable effective account monitoring. Account monitoring includes alerts generated if the account is used in violation of organizational parameters. Organizations can describe specific conditions or circumstances under which system accounts can be used, such as by restricting usage to certain days of the week, time of day, or specific durations of time. - id: ac-2.11_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02(11) class: sp800-53a prose: '{{ insert: param, ac-02.11_odp.01 }} for {{ insert: param, ac-02.11_odp.02 }} are enforced.' links: - href: '#ac-2.11_smt' rel: assessment-for - id: ac-2.11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(11)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing account management system design documentation system configuration settings and associated documentation system-generated list of system accounts and associated assignments of usage circumstances and/or usage conditions system audit records system security plan other relevant documents or records' - id: ac-2.11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(11)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities system developers' - id: ac-2.11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(11)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing account management functions - id: ac-2.12 class: SP800-53-enhancement title: Account Monitoring for Atypical Usage params: - id: ac-02.12_odp.01 props: - name: alt-identifier value: ac-2.12_prm_1 - name: label value: AC-02(12)_ODP[01] class: sp800-53a label: atypical usage guidelines: - prose: atypical usage for which to monitor system accounts is defined; - id: ac-02.12_odp.02 props: - name: alt-identifier value: ac-2.12_prm_2 - name: label value: AC-02(12)_ODP[02] class: sp800-53a label: personnel or roles constraints: - description: at a minimum, the ISSO and/or similar role within the organization guidelines: - prose: personnel or roles to report atypical usage is/are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-02(12) class: zero-padded - name: label value: AC-2(12) - name: label value: AC-02(12) class: sp800-53a - name: sort-id value: ac-02.12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-2' rel: required - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#ca-7' rel: related - href: '#ir-8' rel: related - href: '#si-4' rel: related parts: - id: ac-2.12_smt name: statement parts: - id: ac-2.12_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Monitor system accounts for {{ insert: param, ac-02.12_odp.01 }} ; and' - id: ac-2.12_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'Report atypical usage of system accounts to {{ insert: param, ac-02.12_odp.02 }}.' - id: ac-2.12_gdn name: guidance prose: Atypical usage includes accessing systems at certain times of the day or from locations that are not consistent with the normal usage patterns of individuals. Monitoring for atypical usage may reveal rogue behavior by individuals or an attack in progress. Account monitoring may inadvertently create privacy risks since data collected to identify atypical usage may reveal previously unknown information about the behavior of individuals. Organizations assess and document privacy risks from monitoring accounts for atypical usage in their privacy impact assessment and make determinations that are in alignment with their privacy program plan. - id: ac-2.12_fr name: item ns: http://fedramp.gov/ns/oscal title: AC-2 (12) Additional FedRAMP Requirements and Guidance parts: - id: ac-2.12_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(a) Requirement:' prose: Required for privileged accounts. - id: ac-2.12_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(b) Requirement:' prose: Required for privileged accounts. - id: ac-2.12_obj name: assessment-objective props: - name: label value: AC-02(12) class: sp800-53a parts: - id: ac-2.12_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02(12)(a) class: sp800-53a prose: 'system accounts are monitored for {{ insert: param, ac-02.12_odp.01 }};' links: - href: '#ac-2.12_smt.a' rel: assessment-for - id: ac-2.12_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02(12)(b) class: sp800-53a prose: 'atypical usage of system accounts is reported to {{ insert: param, ac-02.12_odp.02 }}.' links: - href: '#ac-2.12_smt.b' rel: assessment-for links: - href: '#ac-2.12_smt' rel: assessment-for - id: ac-2.12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(12)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing account management system design documentation system configuration settings and associated documentation system monitoring records system audit records audit tracking and monitoring reports privacy impact assessment system security plan privacy plan other relevant documents or records' - id: ac-2.12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(12)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities' - id: ac-2.12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(12)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing account management functions - id: ac-2.13 class: SP800-53-enhancement title: Disable Accounts for High-risk Individuals params: - id: ac-02.13_odp.01 props: - name: alt-identifier value: ac-2.13_prm_1 - name: label value: AC-02(13)_ODP[01] class: sp800-53a label: time period constraints: - description: one (1) hour guidelines: - prose: time period within which to disable accounts of individuals who are discovered to pose significant risk is defined; - id: ac-02.13_odp.02 props: - name: alt-identifier value: ac-2.13_prm_2 - name: label value: AC-02(13)_ODP[02] class: sp800-53a label: significant risks guidelines: - prose: significant risks leading to disabling accounts are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-02(13) class: zero-padded - name: label value: AC-2(13) - name: label value: AC-02(13) class: sp800-53a - name: sort-id value: ac-02.13 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-2' rel: required - href: '#au-6' rel: related - href: '#si-4' rel: related parts: - id: ac-2.13_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Disable accounts of individuals within {{ insert: param, ac-02.13_odp.01 }} of discovery of {{ insert: param, ac-02.13_odp.02 }}.' - id: ac-2.13_gdn name: guidance prose: Users who pose a significant security and/or privacy risk include individuals for whom reliable evidence indicates either the intention to use authorized access to systems to cause harm or through whom adversaries will cause harm. Such harm includes adverse impacts to organizational operations, organizational assets, individuals, other organizations, or the Nation. Close coordination among system administrators, legal staff, human resource managers, and authorizing officials is essential when disabling system accounts for high-risk individuals. - id: ac-2.13_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-02(13) class: sp800-53a prose: 'accounts of individuals are disabled within {{ insert: param, ac-02.13_odp.01 }} of discovery of {{ insert: param, ac-02.13_odp.02 }}.' links: - href: '#ac-2.13_smt' rel: assessment-for - id: ac-2.13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(13)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing account management system design documentation system configuration settings and associated documentation system-generated list of disabled accounts list of user activities posing significant organizational risk system audit records system security plan other relevant documents or records' - id: ac-2.13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(13)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities' - id: ac-2.13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(13)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing account management functions - id: ac-3 class: SP800-53 title: Access Enforcement props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-03 class: zero-padded - name: label value: AC-3 - name: label value: AC-03 class: sp800-53a - name: sort-id value: ac-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#18e71fec-c6fd-475a-925a-5d8495cf8455' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#110e26af-4765-49e1-8740-6750f83fcda1' rel: reference - href: '#e7942589-e267-4a5a-a3d9-f39a7aae81f0' rel: reference - href: '#8306620b-1920-4d73-8b21-12008528595f' rel: reference - href: '#2956e175-f674-43f4-b1b9-e074ad9fc39c' rel: reference - href: '#388a3aa2-5d85-4bad-b8a3-77db80d63c4f' rel: reference - href: '#7f473f21-fdbf-4a6c-81a1-0ab95919609d' rel: reference - href: '#ac-2' rel: related - href: '#ac-4' rel: related - href: '#ac-5' rel: related - href: '#ac-6' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-16 rel: related - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#ac-20' rel: related - href: '#ac-21' rel: related - href: '#ac-22' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-24 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-25 rel: related - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#au-9' rel: related - href: '#ca-9' rel: related - href: '#cm-5' rel: related - href: '#cm-11' rel: related - href: '#ia-2' rel: related - href: '#ia-5' rel: related - href: '#ia-6' rel: related - href: '#ia-7' rel: related - href: '#ia-11' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-13 rel: related - href: '#ma-3' rel: related - href: '#ma-4' rel: related - href: '#ma-5' rel: related - href: '#mp-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-2 rel: related - href: '#ps-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-2 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-3 rel: related - href: '#sa-17' rel: related - href: '#sc-2' rel: related - href: '#sc-3' rel: related - href: '#sc-4' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-28' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-31 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-34 rel: related - href: '#si-4' rel: related - href: '#si-8' rel: related parts: - id: ac-3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Enforce approved authorizations for logical access to information and system resources in accordance with applicable access control policies. - id: ac-3_gdn name: guidance prose: Access control policies control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (i.e., devices, files, records, domains) in organizational systems. In addition to enforcing authorized access at the system level and recognizing that systems can host many applications and services in support of mission and business functions, access enforcement mechanisms can also be employed at the application and service level to provide increased information security and privacy. In contrast to logical access controls that are implemented within the system, physical access controls are addressed by the controls in the Physical and Environmental Protection ( [PE](#pe) ) family. - id: ac-3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-03 class: sp800-53a prose: approved authorizations for logical access to information and system resources are enforced in accordance with applicable access control policies. links: - href: '#ac-3_smt' rel: assessment-for - id: ac-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-03-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing access enforcement system design documentation system configuration settings and associated documentation list of approved authorizations (user privileges) system audit records system security plan privacy plan other relevant documents or records' - id: ac-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-03-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with access enforcement responsibilities system/network administrators organizational personnel with information security and privacy responsibilities system developers' - id: ac-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-03-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access control policy - id: ac-4 class: SP800-53 title: Information Flow Enforcement params: - id: ac-04_odp props: - name: alt-identifier value: ac-4_prm_1 - name: label value: AC-04_ODP class: sp800-53a label: information flow control policies guidelines: - prose: information flow control policies within the system and between connected systems are defined; props: - name: label value: AC-04 class: zero-padded - name: label value: AC-4 - name: label value: AC-04 class: sp800-53a - name: sort-id value: ac-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#2956e175-f674-43f4-b1b9-e074ad9fc39c' rel: reference - href: '#388a3aa2-5d85-4bad-b8a3-77db80d63c4f' rel: reference - href: '#a2590922-82f3-4277-83c0-ca5bee06dba4' rel: reference - href: '#ac-3' rel: related - href: '#ac-6' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-16 rel: related - href: '#ac-17' rel: related - href: '#ac-19' rel: related - href: '#ac-21' rel: related - href: '#au-10' rel: related - href: '#ca-3' rel: related - href: '#ca-9' rel: related - href: '#cm-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pl-9 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-24 rel: related - href: '#sa-17' rel: related - href: '#sc-4' rel: related - href: '#sc-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-16 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-31 rel: related parts: - id: ac-4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Enforce approved authorizations for controlling the flow of information within the system and between connected systems based on {{ insert: param, ac-04_odp }}.' - id: ac-4_gdn name: guidance prose: 'Information flow control regulates where information can travel within a system and between systems (in contrast to who is allowed to access the information) and without regard to subsequent accesses to that information. Flow control restrictions include blocking external traffic that claims to be from within the organization, keeping export-controlled information from being transmitted in the clear to the Internet, restricting web requests that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between organizations may require an agreement specifying how the information flow is enforced (see [CA-3](#ca-3) ). Transferring information between systems in different security or privacy domains with different security or privacy policies introduces the risk that such transfers violate one or more domain security or privacy policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between connected systems. Organizations consider mandating specific architectural solutions to enforce specific security and privacy policies. Enforcement includes prohibiting information transfers between connected systems (i.e., allowing access only), verifying write permissions before accepting information from another security or privacy domain or connected system, employing hardware mechanisms to enforce one-way information flows, and implementing trustworthy regrading mechanisms to reassign security or privacy attributes and labels. Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations within systems and between connected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices that employ rule sets or establish configuration settings that restrict system services, provide a packet-filtering capability based on header information, or provide a message-filtering capability based on message content. Organizations also consider the trustworthiness of filtering and/or inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 32 primarily address cross-domain solution needs that focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, such as high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf products. Information flow enforcement also applies to control plane traffic (e.g., routing and DNS).' - id: ac-4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-04 class: sp800-53a prose: 'approved authorizations are enforced for controlling the flow of information within the system and between connected systems based on {{ insert: param, ac-04_odp }}.' links: - href: '#ac-4_smt' rel: assessment-for - id: ac-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy information flow control policies procedures addressing information flow enforcement security architecture documentation privacy architecture documentation system design documentation system configuration settings and associated documentation system baseline configuration list of information flow authorizations system audit records system security plan privacy plan other relevant documents or records' - id: ac-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security and privacy architecture development responsibilities organizational personnel with information security and privacy responsibilities system developers' - id: ac-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement policy controls: - id: ac-4.4 class: SP800-53-enhancement title: Flow Control of Encrypted Information params: - id: ac-04.04_odp.01 props: - name: alt-identifier value: ac-4.4_prm_1 - name: label value: AC-04(04)_ODP[01] class: sp800-53a label: information flow control mechanisms constraints: - description: intrusion detection mechanisms guidelines: - prose: information flow control mechanisms that encrypted information is prevented from bypassing are defined; - id: ac-04.04_odp.02 props: - name: alt-identifier value: ac-4.4_prm_2 - name: label value: AC-04(04)_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - decrypting the information - blocking the flow of the encrypted information - terminating communications sessions attempting to pass encrypted information - '{{ insert: param, ac-04.04_odp.03 }}' - id: ac-04.04_odp.03 props: - name: alt-identifier value: ac-4.4_prm_3 - name: alt-label value: procedure or method class: sp800-53 - name: label value: AC-04(04)_ODP[03] class: sp800-53a label: organization-defined procedure or method guidelines: - prose: the organization-defined procedure or method used to prevent encrypted information from bypassing information flow control mechanisms is defined (if selected); props: - name: label value: AC-04(04) class: zero-padded - name: label value: AC-4(4) - name: label value: AC-04(04) class: sp800-53a - name: sort-id value: ac-04.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required - href: '#si-4' rel: related parts: - id: ac-4.4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Prevent encrypted information from bypassing {{ insert: param, ac-04.04_odp.01 }} by {{ insert: param, ac-04.04_odp.02 }}.' - id: ac-4.4_gdn name: guidance prose: Flow control mechanisms include content checking, security policy filters, and data type identifiers. The term encryption is extended to cover encoded data not recognized by filtering mechanisms. - id: ac-4.4_fr name: item ns: http://fedramp.gov/ns/oscal title: AC-4 (4) Additional FedRAMP Requirements and Guidance parts: - id: ac-4.4_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: The service provider must support Agency requirements to comply with M-21-31 (https://www.whitehouse.gov/wp-content/uploads/2021/08/M-21-31-Improving-the-Federal-Governments-Investigative-and-Remediation-Capabilities-Related-to-Cybersecurity-Incidents.pdf) and M-22-09 (https://www.whitehouse.gov/wp-content/uploads/2022/01/M-22-09.pdf). - id: ac-4.4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-04(04) class: sp800-53a prose: 'encrypted information is prevented from bypassing {{ insert: param, ac-04.04_odp.01 }} by {{ insert: param, ac-04.04_odp.02 }}.' links: - href: '#ac-4.4_smt' rel: assessment-for - id: ac-4.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy information flow control policies procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: ac-4.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developers' - id: ac-4.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement policy - id: ac-4.21 class: SP800-53-enhancement title: Physical or Logical Separation of Information Flows params: - id: ac-4.21_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.21_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.21_odp.02 label: organization-defined mechanisms and/or techniques - id: ac-04.21_odp.01 props: - name: label value: AC-04(21)_ODP[01] class: sp800-53a label: mechanisms and/or techniques guidelines: - prose: mechanisms and/or techniques used to logically separate information flows are defined (if selected); - id: ac-04.21_odp.02 props: - name: label value: AC-04(21)_ODP[02] class: sp800-53a label: mechanisms and/or techniques guidelines: - prose: mechanisms and/or techniques used to physically separate information flows are defined (if selected); - id: ac-04.21_odp.03 props: - name: alt-identifier value: ac-4.21_prm_2 - name: alt-label value: required separations by types of information class: sp800-53 - name: label value: AC-04(21)_ODP[03] class: sp800-53a label: required separations guidelines: - prose: required separations by types of information are defined; props: - name: label value: AC-04(21) class: zero-padded - name: label value: AC-4(21) - name: label value: AC-04(21) class: sp800-53a - name: sort-id value: ac-04.21 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-32 rel: related parts: - id: ac-4.21_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Separate information flows logically or physically using {{ insert: param, ac-4.21_prm_1 }} to accomplish {{ insert: param, ac-04.21_odp.03 }}.' - id: ac-4.21_gdn name: guidance prose: Enforcing the separation of information flows associated with defined types of data can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths that are not otherwise achievable. Types of separable information include inbound and outbound communications traffic, service requests and responses, and information of differing security impact or classification levels. - id: ac-4.21_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-04(21) class: sp800-53a parts: - id: ac-4.21_obj-1 name: assessment-objective props: - name: label value: AC-04(21)[01] class: sp800-53a prose: 'information flows are separated logically using {{ insert: param, ac-04.21_odp.01 }} to accomplish {{ insert: param, ac-04.21_odp.03 }};' links: - href: '#ac-4.21_smt' rel: assessment-for - id: ac-4.21_obj-2 name: assessment-objective props: - name: label value: AC-04(21)[02] class: sp800-53a prose: 'information flows are separated physically using {{ insert: param, ac-04.21_odp.02 }} to accomplish {{ insert: param, ac-04.21_odp.03 }}.' links: - href: '#ac-4.21_smt' rel: assessment-for links: - href: '#ac-4.21_smt' rel: assessment-for - id: ac-4.21_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(21)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Information flow enforcement policy information flow control policies procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation list of required separation of information flows by information types list of mechanisms and/or techniques used to logically or physically separate information flows system audit records system security plan other relevant documents or records' - id: ac-4.21_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(21)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with information flow enforcement responsibilities system/network administrators organizational personnel with information security responsibilities system developers' - id: ac-4.21_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(21)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement functions - id: ac-5 class: SP800-53 title: Separation of Duties params: - id: ac-05_odp props: - name: alt-identifier value: ac-5_prm_1 - name: alt-label value: duties of individuals requiring separation class: sp800-53 - name: label value: AC-05_ODP class: sp800-53a label: duties of individuals guidelines: - prose: duties of individuals requiring separation are defined; props: - name: label value: AC-05 class: zero-padded - name: label value: AC-5 - name: label value: AC-05 class: sp800-53a - name: sort-id value: ac-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-6' rel: related - href: '#au-9' rel: related - href: '#cm-5' rel: related - href: '#cm-11' rel: related - href: '#cp-9' rel: related - href: '#ia-2' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: '#ia-12' rel: related - href: '#ma-3' rel: related - href: '#ma-5' rel: related - href: '#ps-2' rel: related - href: '#sa-8' rel: related - href: '#sa-17' rel: related parts: - id: ac-5_smt name: statement parts: - id: ac-5_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Identify and document {{ insert: param, ac-05_odp }} ; and' - id: ac-5_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Define system access authorizations to support separation of duties. - id: ac-5_gdn name: guidance prose: 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 dividing mission or business functions and support functions among different individuals or roles, conducting system support functions with different individuals, and ensuring that security personnel who administer access control functions do not also administer audit functions. Because separation of duty violations can span systems and application domains, organizations consider the entirety of systems and system components when developing policy on separation of duties. Separation of duties is enforced through the account management activities in [AC-2](#ac-2) , access control mechanisms in [AC-3](#ac-3) , and identity management activities in [IA-2](#ia-2), [IA-4](#ia-4) , and [IA-12](#ia-12). - id: ac-5_fr name: item ns: http://fedramp.gov/ns/oscal title: AC-5 Additional FedRAMP Requirements and Guidance parts: - id: ac-5_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: CSPs have the option to provide a separation of duties matrix as an attachment to the SSP. - id: ac-5_obj name: assessment-objective props: - name: label value: AC-05 class: sp800-53a parts: - id: ac-5_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AC-05a. class: sp800-53a prose: '{{ insert: param, ac-05_odp }} are identified and documented;' links: - href: '#ac-5_smt.a' rel: assessment-for - id: ac-5_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AC-05b. class: sp800-53a prose: system access authorizations to support separation of duties are defined. links: - href: '#ac-5_smt.b' rel: assessment-for links: - href: '#ac-5_smt' rel: assessment-for - id: ac-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-05-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing divisions of responsibility and separation of duties system configuration settings and associated documentation list of divisions of responsibility and separation of duties system access authorizations system audit records system security plan other relevant documents or records' - id: ac-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-05-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for defining appropriate divisions of responsibility and separation of duties organizational personnel with information security responsibilities system/network administrators' - id: ac-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-05-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing separation of duties policy - id: ac-6 class: SP800-53 title: Least Privilege props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-06 class: zero-padded - name: label value: AC-6 - name: label value: AC-06 class: sp800-53a - name: sort-id value: ac-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-16 rel: related - href: '#cm-5' rel: related - href: '#cm-11' rel: related - href: '#pl-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-12 rel: related - href: '#sa-8' rel: related - href: '#sa-15' rel: related - href: '#sa-17' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-38 rel: related parts: - id: ac-6_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Employ the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks. - id: ac-6_gdn name: guidance prose: Organizations employ least privilege for specific duties and systems. The principle of least privilege is also applied to system processes, ensuring that the processes have access to systems and operate at privilege levels no higher than necessary to accomplish organizational missions or business functions. Organizations consider the creation of additional processes, roles, and accounts as necessary to achieve least privilege. Organizations apply least privilege to the development, implementation, and operation of organizational systems. - id: ac-6_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-06 class: sp800-53a prose: the principle of least privilege is employed, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks. links: - href: '#ac-6_smt' rel: assessment-for - id: ac-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing least privilege list of assigned access authorizations (user privileges) system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: ac-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system/network administrators' - id: ac-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing least privilege functions controls: - id: ac-6.1 class: SP800-53-enhancement title: Authorize Access to Security Functions params: - id: ac-6.1_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-06.01_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-06.01_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-06.01_odp.04 label: organization-defined security functions (deployed in hardware, software, and firmware) - id: ac-06.01_odp.01 props: - name: alt-identifier value: ac-6.1_prm_1 - name: alt-label value: individuals or roles class: sp800-53 - name: label value: AC-06(01)_ODP[01] class: sp800-53a label: individuals and roles guidelines: - prose: individuals and roles with authorized access to security functions and security-relevant information are defined; - id: ac-06.01_odp.02 props: - name: label value: AC-06(01)_ODP[02] class: sp800-53a label: security functions (deployed in hardware) constraints: - description: all functions not publicly accessible guidelines: - prose: security functions (deployed in hardware) for authorized access are defined; - id: ac-06.01_odp.03 props: - name: label value: AC-06(01)_ODP[03] class: sp800-53a label: security functions (deployed in software) constraints: - description: all functions not publicly accessible guidelines: - prose: security functions (deployed in software) for authorized access are defined; - id: ac-06.01_odp.04 props: - name: label value: AC-06(01)_ODP[04] class: sp800-53a label: security functions (deployed in firmware) constraints: - description: all functions not publicly accessible guidelines: - prose: security functions (deployed in firmware) for authorized access are defined; - id: ac-06.01_odp.05 props: - name: alt-identifier value: ac-6.1_prm_3 - name: label value: AC-06(01)_ODP[05] class: sp800-53a label: security-relevant information constraints: - description: all security-relevant information not publicly available guidelines: - prose: security-relevant information for authorized access is defined; props: - name: label value: AC-06(01) class: zero-padded - name: label value: AC-6(1) - name: label value: AC-06(01) class: sp800-53a - name: sort-id value: ac-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-6' rel: required - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#au-9' rel: related - href: '#pe-2' rel: related parts: - id: ac-6.1_smt name: statement prose: 'Authorize access for {{ insert: param, ac-06.01_odp.01 }} to:' parts: - id: ac-6.1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: '{{ insert: param, ac-6.1_prm_2 }} ; and' - id: ac-6.1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: '{{ insert: param, ac-06.01_odp.05 }}.' - id: ac-6.1_gdn name: guidance prose: Security functions include establishing system accounts, configuring access authorizations (i.e., permissions, privileges), configuring settings for events to be audited, and establishing intrusion detection parameters. Security-relevant information includes filtering rules for routers or firewalls, configuration parameters for security services, cryptographic key management information, and access control lists. Authorized personnel include security administrators, system administrators, system security officers, system programmers, and other privileged users. - id: ac-6.1_obj name: assessment-objective props: - name: label value: AC-06(01) class: sp800-53a parts: - id: ac-6.1_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-06(01)(a) class: sp800-53a parts: - id: ac-6.1_obj.a-1 name: assessment-objective props: - name: label value: AC-06(01)(a)[01] class: sp800-53a prose: 'access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.02 }};' links: - href: '#ac-6.1_smt.a' rel: assessment-for - id: ac-6.1_obj.a-2 name: assessment-objective props: - name: label value: AC-06(01)(a)[02] class: sp800-53a prose: 'access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.03 }};' links: - href: '#ac-6.1_smt.a' rel: assessment-for - id: ac-6.1_obj.a-3 name: assessment-objective props: - name: label value: AC-06(01)(a)[03] class: sp800-53a prose: 'access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.04 }};' links: - href: '#ac-6.1_smt.a' rel: assessment-for links: - href: '#ac-6.1_smt.a' rel: assessment-for - id: ac-6.1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-06(01)(b) class: sp800-53a prose: 'access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.05 }}.' links: - href: '#ac-6.1_smt.b' rel: assessment-for links: - href: '#ac-6.1_smt' rel: assessment-for - id: ac-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing least privilege list of security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: ac-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system/network administrators' - id: ac-6.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing least privilege functions - id: ac-6.2 class: SP800-53-enhancement title: Non-privileged Access for Nonsecurity Functions params: - id: ac-06.02_odp props: - name: alt-identifier value: ac-6.2_prm_1 - name: label value: AC-06(02)_ODP class: sp800-53a label: security functions or security-relevant information constraints: - description: all security functions guidelines: - prose: security functions or security-relevant information, the access to which requires users to use non-privileged accounts to access non-security functions, are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-06(02) class: zero-padded - name: label value: AC-6(2) - name: label value: AC-06(02) class: sp800-53a - name: sort-id value: ac-06.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-6' rel: required - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#pl-4' rel: related parts: - id: ac-6.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Require that users of system accounts (or roles) with access to {{ insert: param, ac-06.02_odp }} use non-privileged accounts or roles, when accessing nonsecurity functions.' - id: ac-6.2_gdn name: guidance prose: Requiring the use of non-privileged accounts when accessing nonsecurity functions limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies, such as role-based access control, and where a change of role provides the same degree of assurance in the change of access authorizations for the user and the processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account. - id: ac-6.2_fr name: item ns: http://fedramp.gov/ns/oscal title: AC-6 (2) Additional FedRAMP Requirements and Guidance parts: - id: ac-6.2_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'Examples of security functions include but are not limited to: establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters, system programming, system and security administration, other privileged functions.' - id: ac-6.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-06(02) class: sp800-53a prose: 'users of system accounts (or roles) with access to {{ insert: param, ac-06.02_odp }} are required to use non-privileged accounts or roles when accessing non-security functions.' links: - href: '#ac-6.2_smt' rel: assessment-for - id: ac-6.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing least privilege list of system-generated security functions or security-relevant information assigned to system accounts or roles system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: ac-6.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system/network administrators' - id: ac-6.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing least privilege functions - id: ac-6.3 class: SP800-53-enhancement title: Network Access to Privileged Commands params: - id: ac-06.03_odp.01 props: - name: alt-identifier value: ac-6.3_prm_1 - name: label value: AC-06(03)_ODP[01] class: sp800-53a label: privileged commands constraints: - description: all privileged commands guidelines: - prose: privileged commands to which network access is to be authorized only for compelling operational needs are defined; - id: ac-06.03_odp.02 props: - name: alt-identifier value: ac-6.3_prm_2 - name: label value: AC-06(03)_ODP[02] class: sp800-53a label: compelling operational needs guidelines: - prose: compelling operational needs necessitating network access to privileged commands are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-06(03) class: zero-padded - name: label value: AC-6(3) - name: label value: AC-06(03) class: sp800-53a - name: sort-id value: ac-06.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-6' rel: required - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related parts: - id: ac-6.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Authorize network access to {{ insert: param, ac-06.03_odp.01 }} only for {{ insert: param, ac-06.03_odp.02 }} and document the rationale for such access in the security plan for the system.' - id: ac-6.3_gdn name: guidance prose: Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device). - id: ac-6.3_obj name: assessment-objective props: - name: label value: AC-06(03) class: sp800-53a parts: - id: ac-6.3_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-06(03)[01] class: sp800-53a prose: 'network access to {{ insert: param, ac-06.03_odp.01 }} is authorized only for {{ insert: param, ac-06.03_odp.02 }};' links: - href: '#ac-6.3_smt' rel: assessment-for - id: ac-6.3_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AC-06(03)[02] class: sp800-53a prose: the rationale for authorizing network access to privileged commands is documented in the security plan for the system. links: - href: '#ac-6.3_smt' rel: assessment-for links: - href: '#ac-6.3_smt' rel: assessment-for - id: ac-6.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing least privilege system configuration settings and associated documentation system audit records list of operational needs for authorizing network access to privileged commands system security plan other relevant documents or records' - id: ac-6.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities' - id: ac-6.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing least privilege functions - id: ac-6.5 class: SP800-53-enhancement title: Privileged Accounts params: - id: ac-06.05_odp props: - name: alt-identifier value: ac-6.5_prm_1 - name: label value: AC-06(05)_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to which privileged accounts on the system are to be restricted is/are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-06(05) class: zero-padded - name: label value: AC-6(5) - name: label value: AC-06(05) class: sp800-53a - name: sort-id value: ac-06.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-6' rel: required - href: '#ia-2' rel: related - href: '#ma-3' rel: related - href: '#ma-4' rel: related parts: - id: ac-6.5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Restrict privileged accounts on the system to {{ insert: param, ac-06.05_odp }}.' - id: ac-6.5_gdn name: guidance prose: Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from accessing privileged information or privileged functions. Organizations may differentiate in the application of restricting privileged accounts between allowed privileges for local accounts and for domain accounts provided that they retain the ability to control system configurations for key parameters and as otherwise necessary to sufficiently mitigate risk. - id: ac-6.5_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-06(05) class: sp800-53a prose: 'privileged accounts on the system are restricted to {{ insert: param, ac-06.05_odp }}.' links: - href: '#ac-6.5_smt' rel: assessment-for - id: ac-6.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing least privilege list of system-generated privileged accounts list of system administration personnel system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: ac-6.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system/network administrators' - id: ac-6.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing least privilege functions - id: ac-6.7 class: SP800-53-enhancement title: Review of User Privileges params: - id: ac-06.07_odp.01 props: - name: alt-identifier value: ac-6.7_prm_1 - name: label value: AC-06(07)_ODP[01] class: sp800-53a label: frequency constraints: - description: at a minimum, annually guidelines: - prose: the frequency at which to review the privileges assigned to roles or classes of users is defined; - id: ac-06.07_odp.02 props: - name: alt-identifier value: ac-6.7_prm_2 - name: alt-label value: roles or classes of users class: sp800-53 - name: label value: AC-06(07)_ODP[02] class: sp800-53a label: roles and classes constraints: - description: all users with privileges guidelines: - prose: roles or classes of users to which privileges are assigned are defined; props: - name: label value: AC-06(07) class: zero-padded - name: label value: AC-6(7) - name: label value: AC-06(07) class: sp800-53a - name: sort-id value: ac-06.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-6' rel: required - href: '#ca-7' rel: related parts: - id: ac-6.7_smt name: statement parts: - id: ac-6.7_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Review {{ insert: param, ac-06.07_odp.01 }} the privileges assigned to {{ insert: param, ac-06.07_odp.02 }} to validate the need for such privileges; and' - id: ac-6.7_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Reassign or remove privileges, if necessary, to correctly reflect organizational mission and business needs. - id: ac-6.7_gdn name: guidance prose: The need for certain assigned user privileges may change over time to reflect changes in organizational mission and business functions, environments of operation, technologies, or threats. A periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions. - id: ac-6.7_obj name: assessment-objective props: - name: label value: AC-06(07) class: sp800-53a parts: - id: ac-6.7_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-06(07)(a) class: sp800-53a prose: 'privileges assigned to {{ insert: param, ac-06.07_odp.02 }} are reviewed {{ insert: param, ac-06.07_odp.01 }} to validate the need for such privileges;' links: - href: '#ac-6.7_smt.a' rel: assessment-for - id: ac-6.7_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-06(07)(b) class: sp800-53a prose: privileges are reassigned or removed, if necessary, to correctly reflect organizational mission and business needs. links: - href: '#ac-6.7_smt.b' rel: assessment-for links: - href: '#ac-6.7_smt' rel: assessment-for - id: ac-6.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing least privilege list of system-generated roles or classes of users and assigned privileges system design documentation system configuration settings and associated documentation validation reviews of privileges assigned to roles or classes or users records of privilege removals or reassignments for roles or classes of users system audit records system security plan other relevant documents or records' - id: ac-6.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system/network administrators' - id: ac-6.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(07)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing review of user privileges - id: ac-6.8 class: SP800-53-enhancement title: Privilege Levels for Code Execution params: - id: ac-06.08_odp props: - name: alt-identifier value: ac-6.8_prm_1 - name: label value: AC-06(08)_ODP class: sp800-53a label: software constraints: - description: any software except software explicitly documented guidelines: - prose: software to be prevented from executing at higher privilege levels than users executing the software is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-06(08) class: zero-padded - name: label value: AC-6(8) - name: label value: AC-06(08) class: sp800-53a - name: sort-id value: ac-06.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-6' rel: required parts: - id: ac-6.8_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Prevent the following software from executing at higher privilege levels than users executing the software: {{ insert: param, ac-06.08_odp }}.' - id: ac-6.8_gdn name: guidance prose: In certain situations, software applications or programs need to execute with elevated privileges to perform required functions. However, depending on the software functionality and configuration, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications or programs, those users may indirectly be provided with greater privileges than assigned. - id: ac-6.8_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-06(08) class: sp800-53a prose: '{{ insert: param, ac-06.08_odp }} is prevented from executing at higher privilege levels than users executing the software.' links: - href: '#ac-6.8_smt' rel: assessment-for - id: ac-6.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing least privilege list of software that should not execute at higher privilege levels than users executing software system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: ac-6.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system/network administrators system developers' - id: ac-6.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(08)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing least privilege functions for software execution - id: ac-6.9 class: SP800-53-enhancement title: Log Use of Privileged Functions props: - name: label value: AC-06(09) class: zero-padded - name: label value: AC-6(9) - name: label value: AC-06(09) class: sp800-53a - name: sort-id value: ac-06.09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-6' rel: required - href: '#au-2' rel: related - href: '#au-3' rel: related - href: '#au-12' rel: related parts: - id: ac-6.9_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Log the execution of privileged functions. - id: ac-6.9_gdn name: guidance prose: The misuse of privileged functions, either intentionally or unintentionally by authorized users or by unauthorized external entities that have compromised system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Logging and analyzing the use of privileged functions is one way to detect such misuse and, in doing so, help mitigate the risk from insider threats and the advanced persistent threat. - id: ac-6.9_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-06(09) class: sp800-53a prose: the execution of privileged functions is logged. links: - href: '#ac-6.9_smt' rel: assessment-for - id: ac-6.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing least privilege system design documentation system configuration settings and associated documentation list of privileged functions to be audited list of audited events system audit records system security plan other relevant documents or records' - id: ac-6.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system/network administrators system developers' - id: ac-6.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(09)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms auditing the execution of least privilege functions - id: ac-6.10 class: SP800-53-enhancement title: Prohibit Non-privileged Users from Executing Privileged Functions props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-06(10) class: zero-padded - name: label value: AC-6(10) - name: label value: AC-06(10) class: sp800-53a - name: sort-id value: ac-06.10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-6' rel: required parts: - id: ac-6.10_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Prevent non-privileged users from executing privileged functions. - id: ac-6.10_gdn name: guidance prose: Privileged functions include disabling, circumventing, or altering implemented security or privacy controls, establishing system accounts, performing system integrity checks, and administering cryptographic key management activities. Non-privileged users are individuals who do not possess appropriate authorizations. Privileged functions that require protection from non-privileged users include circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms. Preventing non-privileged users from executing privileged functions is enforced by [AC-3](#ac-3). - id: ac-6.10_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-06(10) class: sp800-53a prose: non-privileged users are prevented from executing privileged functions. links: - href: '#ac-6.10_smt' rel: assessment-for - id: ac-6.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(10)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing least privilege system design documentation system configuration settings and associated documentation list of privileged functions and associated user account assignments system audit records system security plan other relevant documents or records' - id: ac-6.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(10)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system developers' - id: ac-6.10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(10)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing least privilege functions for non-privileged users - id: ac-7 class: SP800-53 title: Unsuccessful Logon Attempts params: - id: ac-07_odp.01 props: - name: alt-identifier value: ac-7_prm_1 - name: label value: AC-07_ODP[01] class: sp800-53a label: number guidelines: - prose: the number of consecutive invalid logon attempts by a user allowed during a time period is defined; - id: ac-07_odp.02 props: - name: alt-identifier value: ac-7_prm_2 - name: label value: AC-07_ODP[02] class: sp800-53a label: time period guidelines: - prose: the time period to which the number of consecutive invalid logon attempts by a user is limited is defined; - id: ac-07_odp.03 props: - name: alt-identifier value: ac-7_prm_3 - name: label value: AC-07_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - 'lock the account or node for {{ insert: param, ac-07_odp.04 }}' - lock the account or node until released by an administrator - 'delay next logon prompt per {{ insert: param, ac-07_odp.05 }}' - notify system administrator - 'take other {{ insert: param, ac-07_odp.06 }}' - id: ac-07_odp.04 props: - name: alt-identifier value: ac-7_prm_4 - name: label value: AC-07_ODP[04] class: sp800-53a label: time period guidelines: - prose: time period for an account or node to be locked is defined (if selected); - id: ac-07_odp.05 props: - name: alt-identifier value: ac-7_prm_5 - name: label value: AC-07_ODP[05] class: sp800-53a label: delay algorithm guidelines: - prose: delay algorithm for the next logon prompt is defined (if selected); - id: ac-07_odp.06 props: - name: alt-identifier value: ac-7_prm_6 - name: label value: AC-07_ODP[06] class: sp800-53a label: action guidelines: - prose: other action to be taken when the maximum number of unsuccessful attempts is exceeded is defined (if selected); props: - name: label value: AC-07 class: zero-padded - name: label value: AC-7 - name: label value: AC-07 class: sp800-53a - name: sort-id value: ac-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#0f66be67-85e7-4ca6-bd19-39453e9f4394' rel: reference - href: '#ac-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-9 rel: related - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#ia-5' rel: related parts: - id: ac-7_smt name: statement parts: - id: ac-7_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Enforce a limit of {{ insert: param, ac-07_odp.01 }} consecutive invalid logon attempts by a user during a {{ insert: param, ac-07_odp.02 }} ; and' - id: ac-7_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Automatically {{ insert: param, ac-07_odp.03 }} when the maximum number of unsuccessful attempts is exceeded.' - id: ac-7_gdn name: guidance prose: The need to limit unsuccessful logon attempts and take subsequent action when the maximum number of attempts is exceeded applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by systems are usually temporary and automatically release after a predetermined, organization-defined time period. If a delay algorithm is selected, organizations may employ different algorithms for different components of the system based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at the operating system and the application levels. Organization-defined actions that may be taken when the number of allowed consecutive invalid logon attempts is exceeded include prompting the user to answer a secret question in addition to the username and password, invoking a lockdown mode with limited user capabilities (instead of full lockout), allowing users to only logon from specified Internet Protocol (IP) addresses, requiring a CAPTCHA to prevent automated attacks, or applying user profiles such as location, time of day, IP address, device, or Media Access Control (MAC) address. If automatic system lockout or execution of a delay algorithm is not implemented in support of the availability objective, organizations consider a combination of other actions to help prevent brute force attacks. In addition to the above, organizations can prompt users to respond to a secret question before the number of allowed unsuccessful logon attempts is exceeded. Automatically unlocking an account after a specified period of time is generally not permitted. However, exceptions may be required based on operational mission or need. - id: ac-7_fr name: item ns: http://fedramp.gov/ns/oscal title: AC-7 Additional FedRAMP Requirements and Guidance parts: - id: ac-7_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: In alignment with NIST SP 800-63B. - id: ac-7_obj name: assessment-objective props: - name: label value: AC-07 class: sp800-53a parts: - id: ac-7_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-07a. class: sp800-53a prose: 'a limit of {{ insert: param, ac-07_odp.01 }} consecutive invalid logon attempts by a user during {{ insert: param, ac-07_odp.02 }} is enforced;' links: - href: '#ac-7_smt.a' rel: assessment-for - id: ac-7_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-07b. class: sp800-53a prose: 'automatically {{ insert: param, ac-07_odp.03 }} when the maximum number of unsuccessful attempts is exceeded.' links: - href: '#ac-7_smt.b' rel: assessment-for links: - href: '#ac-7_smt' rel: assessment-for - id: ac-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-07-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing unsuccessful logon attempts system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: ac-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-07-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with information security responsibilities system developers system/network administrators' - id: ac-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-07-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access control policy for unsuccessful logon attempts - id: ac-8 class: SP800-53 title: System Use Notification params: - id: ac-08_odp.01 props: - name: alt-identifier value: ac-8_prm_1 - name: alt-label value: system use notification message or banner class: sp800-53 - name: label value: AC-08_ODP[01] class: sp800-53a label: system use notification constraints: - description: see additional Requirements and Guidance guidelines: - prose: system use notification message or banner to be displayed by the system to users before granting access to the system is defined; - id: ac-08_odp.02 props: - name: alt-identifier value: ac-8_prm_2 - name: label value: AC-08_ODP[02] class: sp800-53a label: conditions constraints: - description: see additional Requirements and Guidance guidelines: - prose: conditions for system use to be displayed by the system before granting further access are defined; props: - name: label value: AC-08 class: zero-padded - name: label value: AC-8 - name: label value: AC-08 class: sp800-53a - name: sort-id value: ac-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-14' rel: related - href: '#pl-4' rel: related - href: '#si-4' rel: related parts: - id: ac-8_smt name: statement parts: - id: ac-8_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Display {{ insert: param, ac-08_odp.01 }} to users before granting access to the system that provides privacy and security notices consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines and state that:' parts: - id: ac-8_smt.a.1 name: item props: - name: label value: '1.' prose: Users are accessing a U.S. Government system; - id: ac-8_smt.a.2 name: item props: - name: label value: '2.' prose: System usage may be monitored, recorded, and subject to audit; - id: ac-8_smt.a.3 name: item props: - name: label value: '3.' prose: Unauthorized use of the system is prohibited and subject to criminal and civil penalties; and - id: ac-8_smt.a.4 name: item props: - name: label value: '4.' prose: Use of the system indicates consent to monitoring and recording; - id: ac-8_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Retain the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the system; and - id: ac-8_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'For publicly accessible systems:' parts: - id: ac-8_smt.c.1 name: item props: - name: label value: '1.' prose: 'Display system use information {{ insert: param, ac-08_odp.02 }} , before granting further access to the publicly accessible system;' - id: ac-8_smt.c.2 name: item props: - name: label value: '2.' prose: Display references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and - id: ac-8_smt.c.3 name: item props: - name: label value: '3.' prose: Include a description of the authorized uses of the system. - id: ac-8_gdn name: guidance prose: System use notifications can be implemented using messages or warning banners displayed before individuals log in to systems. System use notifications are used only for access via logon interfaces with human users. Notifications are not required when human interfaces do not exist. Based on an assessment of risk, organizations consider whether or not a secondary system use notification is needed to access applications or other system resources after the initial network logon. Organizations consider system use notification messages or banners displayed in multiple languages based on organizational needs and the demographics of system users. Organizations consult with the privacy office for input regarding privacy messaging and the Office of the General Counsel or organizational equivalent for legal review and approval of warning banner content. - id: ac-8_fr name: item ns: http://fedramp.gov/ns/oscal title: AC-8 Additional FedRAMP Requirements and Guidance parts: - id: ac-8_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the AO. - id: ac-8_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the AO. - id: ac-8_fr_smt.3 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the AO. - id: ac-8_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. - id: ac-8_obj name: assessment-objective props: - name: label value: AC-08 class: sp800-53a parts: - id: ac-8_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-08a. class: sp800-53a prose: '{{ insert: param, ac-08_odp.01 }} is displayed to users before granting access to the system that provides privacy and security notices consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;' parts: - id: ac-8_obj.a.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AC-08a.01 class: sp800-53a prose: the system use notification states that users are accessing a U.S. Government system; links: - href: '#ac-8_smt.a.1' rel: assessment-for - id: ac-8_obj.a.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AC-08a.02 class: sp800-53a prose: the system use notification states that system usage may be monitored, recorded, and subject to audit; links: - href: '#ac-8_smt.a.2' rel: assessment-for - id: ac-8_obj.a.3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AC-08a.03 class: sp800-53a prose: the system use notification states that unauthorized use of the system is prohibited and subject to criminal and civil penalties; and links: - href: '#ac-8_smt.a.3' rel: assessment-for - id: ac-8_obj.a.4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AC-08a.04 class: sp800-53a prose: the system use notification states that use of the system indicates consent to monitoring and recording; links: - href: '#ac-8_smt.a.4' rel: assessment-for links: - href: '#ac-8_smt.a' rel: assessment-for - id: ac-8_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-08b. class: sp800-53a prose: the notification message or banner is retained on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the system; links: - href: '#ac-8_smt.b' rel: assessment-for - id: ac-8_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AC-08c. class: sp800-53a parts: - id: ac-8_obj.c.1 name: assessment-objective props: - name: label value: AC-08c.01 class: sp800-53a prose: 'for publicly accessible systems, system use information {{ insert: param, ac-08_odp.02 }} is displayed before granting further access to the publicly accessible system;' links: - href: '#ac-8_smt.c.1' rel: assessment-for - id: ac-8_obj.c.2 name: assessment-objective props: - name: label value: AC-08c.02 class: sp800-53a prose: for publicly accessible systems, any references to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities are displayed; links: - href: '#ac-8_smt.c.2' rel: assessment-for - id: ac-8_obj.c.3 name: assessment-objective props: - name: label value: AC-08c.03 class: sp800-53a prose: for publicly accessible systems, a description of the authorized uses of the system is included. links: - href: '#ac-8_smt.c.3' rel: assessment-for links: - href: '#ac-8_smt.c' rel: assessment-for links: - href: '#ac-8_smt' rel: assessment-for - id: ac-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-08-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy privacy and security policies, procedures addressing system use notification documented approval of system use notification messages or banners system audit records user acknowledgements of notification message or banner system design documentation system configuration settings and associated documentation system use notification messages system security plan privacy plan privacy impact assessment privacy assessment report other relevant documents or records' - id: ac-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-08-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security and privacy responsibilities legal counsel system developers' - id: ac-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-08-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing system use notification - id: ac-10 class: SP800-53 title: Concurrent Session Control params: - id: ac-10_odp.01 props: - name: alt-identifier value: ac-10_prm_1 - name: alt-label value: account and/or account type class: sp800-53 - name: label value: AC-10_ODP[01] class: sp800-53a label: account and/or account types guidelines: - prose: accounts and/or account types for which to limit the number of concurrent sessions is defined; - id: ac-10_odp.02 props: - name: alt-identifier value: ac-10_prm_2 - name: label value: AC-10_ODP[02] class: sp800-53a label: number constraints: - description: three (3) sessions for privileged access and two (2) sessions for non-privileged access guidelines: - prose: the number of concurrent sessions to be allowed for each account and/or account type is defined; props: - name: label value: AC-10 class: zero-padded - name: label value: AC-10 - name: label value: AC-10 class: sp800-53a - name: sort-id value: ac-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-23' rel: related parts: - id: ac-10_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Limit the number of concurrent sessions for each {{ insert: param, ac-10_odp.01 }} to {{ insert: param, ac-10_odp.02 }}.' - id: ac-10_gdn name: guidance prose: Organizations may define the maximum number of concurrent sessions for system accounts globally, by account type, by account, or any combination thereof. For example, organizations may limit the number of concurrent sessions for system administrators or other individuals working in particularly sensitive domains or mission-critical applications. Concurrent session control addresses concurrent sessions for system accounts. It does not, however, address concurrent sessions by single users via multiple system accounts. - id: ac-10_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-10 class: sp800-53a prose: 'the number of concurrent sessions for each {{ insert: param, ac-10_odp.01 }} is limited to {{ insert: param, ac-10_odp.02 }}.' links: - href: '#ac-10_smt' rel: assessment-for - id: ac-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-10-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing concurrent session control system design documentation system configuration settings and associated documentation security plan system security plan other relevant documents or records' - id: ac-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-10-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developers' - id: ac-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-10-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access control policy for concurrent session control - id: ac-11 class: SP800-53 title: Device Lock params: - id: ac-11_odp.01 props: - name: alt-identifier value: ac-11_prm_1 - name: label value: AC-11_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - 'initiating a device lock after {{ insert: param, ac-11_odp.02 }} of inactivity' - requiring the user to initiate a device lock before leaving the system unattended - id: ac-11_odp.02 props: - name: alt-identifier value: ac-11_prm_2 - name: label value: AC-11_ODP[02] class: sp800-53a label: time period constraints: - description: fifteen (15) minutes guidelines: - prose: time period of inactivity after which a device lock is initiated is defined (if selected); props: - name: label value: AC-11 class: zero-padded - name: label value: AC-11 - name: label value: AC-11 class: sp800-53a - name: sort-id value: ac-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-2' rel: related - href: '#ac-7' rel: related - href: '#ia-11' rel: related - href: '#pl-4' rel: related parts: - id: ac-11_smt name: statement parts: - id: ac-11_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Prevent further access to the system by {{ insert: param, ac-11_odp.01 }} ; and' - id: ac-11_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Retain the device lock until the user reestablishes access using established identification and authentication procedures. - id: ac-11_gdn name: guidance prose: Device locks are temporary actions taken to prevent logical access to organizational systems when users stop work and move away from the immediate vicinity of those systems but do not want to log out because of the temporary nature of their absences. Device locks can be implemented at the operating system level or at the application level. A proximity lock may be used to initiate the device lock (e.g., via a Bluetooth-enabled device or dongle). User-initiated device locking is behavior or policy-based and, as such, requires users to take physical action to initiate the device lock. Device locks are not an acceptable substitute for logging out of systems, such as when organizations require users to log out at the end of workdays. - id: ac-11_obj name: assessment-objective props: - name: label value: AC-11 class: sp800-53a parts: - id: ac-11_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-11a. class: sp800-53a prose: 'further access to the system is prevented by {{ insert: param, ac-11_odp.01 }};' links: - href: '#ac-11_smt.a' rel: assessment-for - id: ac-11_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-11b. class: sp800-53a prose: device lock is retained until the user re-establishes access using established identification and authentication procedures. links: - href: '#ac-11_smt.b' rel: assessment-for links: - href: '#ac-11_smt' rel: assessment-for - id: ac-11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-11-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing session lock procedures addressing identification and authentication system design documentation system configuration settings and associated documentation security plan system security plan other relevant documents or records' - id: ac-11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-11-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developers' - id: ac-11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-11-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access control policy for session lock controls: - id: ac-11.1 class: SP800-53-enhancement title: Pattern-hiding Displays props: - name: label value: AC-11(01) class: zero-padded - name: label value: AC-11(1) - name: label value: AC-11(01) class: sp800-53a - name: sort-id value: ac-11.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-11' rel: required parts: - id: ac-11.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Conceal, via the device lock, information previously visible on the display with a publicly viewable image. - id: ac-11.1_gdn name: guidance prose: The pattern-hiding display can include static or dynamic images, such as patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen with the caveat that controlled unclassified information is not displayed. - id: ac-11.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-11(01) class: sp800-53a prose: information previously visible on the display is concealed, via device lock, with a publicly viewable image. links: - href: '#ac-11.1_smt' rel: assessment-for - id: ac-11.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-11(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing session lock display screen with session lock activated system design documentation system configuration settings and associated documentation system security plan other relevant documents or records' - id: ac-11.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-11(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developers' - id: ac-11.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-11(01)-Test class: sp800-53a parts: - name: assessment-objects prose: System session lock mechanisms - id: ac-12 class: SP800-53 title: Session Termination params: - id: ac-12_odp props: - name: alt-identifier value: ac-12_prm_1 - name: alt-label value: conditions or trigger events requiring session disconnect class: sp800-53 - name: label value: AC-12_ODP class: sp800-53a label: conditions or trigger events guidelines: - prose: conditions or trigger events requiring session disconnect are defined; props: - name: label value: AC-12 class: zero-padded - name: label value: AC-12 - name: label value: AC-12 class: sp800-53a - name: sort-id value: ac-12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ma-4' rel: related - href: '#sc-10' rel: related - href: '#sc-23' rel: related parts: - id: ac-12_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Automatically terminate a user session after {{ insert: param, ac-12_odp }}.' - id: ac-12_gdn name: guidance prose: Session termination addresses the termination of user-initiated logical sessions (in contrast to [SC-10](#sc-10) , which addresses the termination of network connections associated with communications sessions (i.e., network disconnect)). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational system. Such user sessions can be terminated without terminating network sessions. Session termination ends all processes associated with a user’s logical session except for those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events that require automatic termination of the session include organization-defined periods of user inactivity, targeted responses to certain types of incidents, or time-of-day restrictions on system use. - id: ac-12_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-12 class: sp800-53a prose: 'a user session is automatically terminated after {{ insert: param, ac-12_odp }}.' links: - href: '#ac-12_smt' rel: assessment-for - id: ac-12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-12-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing session termination system design documentation system configuration settings and associated documentation list of conditions or trigger events requiring session disconnect system audit records system security plan other relevant documents or records' - id: ac-12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-12-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developers' - id: ac-12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-12-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms implementing user session termination - id: ac-14 class: SP800-53 title: Permitted Actions Without Identification or Authentication params: - id: ac-14_odp props: - name: alt-identifier value: ac-14_prm_1 - name: label value: AC-14_ODP class: sp800-53a label: user actions guidelines: - prose: user actions that can be performed on the system without identification or authentication are defined; props: - name: label value: AC-14 class: zero-padded - name: label value: AC-14 - name: label value: AC-14 class: sp800-53a - name: sort-id value: ac-14 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-8' rel: related - href: '#ia-2' rel: related - href: '#pl-2' rel: related parts: - id: ac-14_smt name: statement parts: - id: ac-14_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Identify {{ insert: param, ac-14_odp }} that can be performed on the system without identification or authentication consistent with organizational mission and business functions; and' - id: ac-14_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Document and provide supporting rationale in the security plan for the system, user actions not requiring identification or authentication. - id: ac-14_gdn name: guidance prose: Specific user actions may be permitted without identification or authentication if organizations determine that identification and authentication are not required for the specified user actions. Organizations may allow a limited number of user actions without identification or authentication, including when individuals access public websites or other publicly accessible federal systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations identify actions that normally require identification or authentication but may, under certain circumstances, allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. Permitting actions without identification or authentication does not apply to situations where identification and authentication have already occurred and are not repeated but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational systems without identification and authentication, and therefore, the value for the assignment operation can be "none." - id: ac-14_obj name: assessment-objective props: - name: label value: AC-14 class: sp800-53a parts: - id: ac-14_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-14a. class: sp800-53a prose: '{{ insert: param, ac-14_odp }} that can be performed on the system without identification or authentication consistent with organizational mission and business functions are identified;' links: - href: '#ac-14_smt.a' rel: assessment-for - id: ac-14_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AC-14b. class: sp800-53a parts: - id: ac-14_obj.b-1 name: assessment-objective props: - name: label value: AC-14b.[01] class: sp800-53a prose: user actions not requiring identification or authentication are documented in the security plan for the system; links: - href: '#ac-14_smt.b' rel: assessment-for - id: ac-14_obj.b-2 name: assessment-objective props: - name: label value: AC-14b.[02] class: sp800-53a prose: a rationale for user actions not requiring identification or authentication is provided in the security plan for the system. links: - href: '#ac-14_smt.b' rel: assessment-for links: - href: '#ac-14_smt.b' rel: assessment-for links: - href: '#ac-14_smt' rel: assessment-for - id: ac-14_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-14-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing permitted actions without identification or authentication system configuration settings and associated documentation security plan list of user actions that can be performed without identification or authentication system audit records system security plan other relevant documents or records' - id: ac-14_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-14-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities' - id: ac-17 class: SP800-53 title: Remote Access props: - name: label value: AC-17 class: zero-padded - name: label value: AC-17 - name: label value: AC-17 class: sp800-53a - name: sort-id value: ac-17 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#83b9d63b-66b1-467c-9f3b-3a0b108771e9' rel: reference - href: '#d4d7c760-2907-403b-8b2a-767ca5370ecd' rel: reference - href: '#6bc4d137-aece-42a8-8081-9ecb1ebe9fb4' rel: reference - href: '#42e37e51-7cc0-4ffa-81c9-0ac942da7e99' rel: reference - href: '#d17ebd7a-ffab-499d-bfff-e705bbb01fa6' rel: reference - href: '#3915a084-b87b-4f02-83d4-c369e746292f' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#ac-20' rel: related - href: '#ca-3' rel: related - href: '#cm-10' rel: related - href: '#ia-2' rel: related - href: '#ia-3' rel: related - href: '#ia-8' rel: related - href: '#ma-4' rel: related - href: '#pe-17' rel: related - href: '#pl-2' rel: related - href: '#pl-4' rel: related - href: '#sc-10' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#si-4' rel: related parts: - id: ac-17_smt name: statement parts: - id: ac-17_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Establish and document usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and - id: ac-17_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Authorize each type of remote access to the system prior to allowing such connections. - id: ac-17_gdn name: guidance prose: Remote access is access to organizational systems (or processes acting on behalf of users) that communicate through external networks such as the Internet. Types of remote access include dial-up, broadband, and wireless. Organizations use encrypted virtual private networks (VPNs) to enhance confidentiality and integrity for remote connections. The use of encrypted VPNs provides sufficient assurance to the organization that it can effectively treat such connections as internal networks if the cryptographic mechanisms used are implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. VPNs with encrypted tunnels can also affect the ability to adequately monitor network communications traffic for malicious code. Remote access controls apply to systems other than public web servers or systems designed for public access. Authorization of each remote access type addresses authorization prior to allowing remote access without specifying the specific formats for such authorization. While organizations may use information exchange and system connection security agreements to manage remote access connections to other systems, such agreements are addressed as part of [CA-3](#ca-3) . Enforcing access restrictions for remote access is addressed via [AC-3](#ac-3). - id: ac-17_obj name: assessment-objective props: - name: label value: AC-17 class: sp800-53a parts: - id: ac-17_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-17a. class: sp800-53a parts: - id: ac-17_obj.a-1 name: assessment-objective props: - name: label value: AC-17a.[01] class: sp800-53a prose: usage restrictions are established and documented for each type of remote access allowed; links: - href: '#ac-17_smt.a' rel: assessment-for - id: ac-17_obj.a-2 name: assessment-objective props: - name: label value: AC-17a.[02] class: sp800-53a prose: configuration/connection requirements are established and documented for each type of remote access allowed; links: - href: '#ac-17_smt.a' rel: assessment-for - id: ac-17_obj.a-3 name: assessment-objective props: - name: label value: AC-17a.[03] class: sp800-53a prose: implementation guidance is established and documented for each type of remote access allowed; links: - href: '#ac-17_smt.a' rel: assessment-for links: - href: '#ac-17_smt.a' rel: assessment-for - id: ac-17_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-17b. class: sp800-53a prose: each type of remote access to the system is authorized prior to allowing such connections. links: - href: '#ac-17_smt.b' rel: assessment-for links: - href: '#ac-17_smt' rel: assessment-for - id: ac-17_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-17-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing remote access implementation and usage (including restrictions) configuration management plan system configuration settings and associated documentation remote access authorizations system audit records system security plan other relevant documents or records' - id: ac-17_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-17-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for managing remote access connections system/network administrators organizational personnel with information security responsibilities' - id: ac-17_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-17-Test class: sp800-53a parts: - name: assessment-objects prose: Remote access management capability for the system controls: - id: ac-17.1 class: SP800-53-enhancement title: Monitoring and Control props: - name: label value: AC-17(01) class: zero-padded - name: label value: AC-17(1) - name: label value: AC-17(01) class: sp800-53a - name: sort-id value: ac-17.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-17' rel: required - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#au-12' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-14 rel: related parts: - id: ac-17.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Employ automated mechanisms to monitor and control remote access methods. - id: ac-17.1_gdn name: guidance prose: Monitoring and control of remote access methods allows organizations to detect attacks and help ensure compliance with remote access policies by auditing the connection activities of remote users on a variety of system components, including servers, notebook computers, workstations, smart phones, and tablets. Audit logging for remote access is enforced by [AU-2](#au-2) . Audit events are defined in [AU-2a](#au-2_smt.a). - id: ac-17.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-17(01) class: sp800-53a parts: - id: ac-17.1_obj-1 name: assessment-objective props: - name: label value: AC-17(01)[01] class: sp800-53a prose: automated mechanisms are employed to monitor remote access methods; links: - href: '#ac-17.1_smt' rel: assessment-for - id: ac-17.1_obj-2 name: assessment-objective props: - name: label value: AC-17(01)[02] class: sp800-53a prose: automated mechanisms are employed to control remote access methods. links: - href: '#ac-17.1_smt' rel: assessment-for links: - href: '#ac-17.1_smt' rel: assessment-for - id: ac-17.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-17(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing remote access to the system system design documentation system configuration settings and associated documentation system audit records system monitoring records system security plan other relevant documents or records' - id: ac-17.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-17(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developers' - id: ac-17.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-17(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms monitoring and controlling remote access methods - id: ac-17.2 class: SP800-53-enhancement title: Protection of Confidentiality and Integrity Using Encryption props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AC-17(02) class: zero-padded - name: label value: AC-17(2) - name: label value: AC-17(02) class: sp800-53a - name: sort-id value: ac-17.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-17' rel: required - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: ac-17.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Implement cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions. - id: ac-17.2_gdn name: guidance prose: Virtual private networks can be used to protect the confidentiality and integrity of remote access sessions. Transport Layer Security (TLS) is an example of a cryptographic protocol that provides end-to-end communications security over networks and is used for Internet communications and online transactions. - id: ac-17.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-17(02) class: sp800-53a prose: cryptographic mechanisms are implemented to protect the confidentiality and integrity of remote access sessions. links: - href: '#ac-17.2_smt' rel: assessment-for - id: ac-17.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-17(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing remote access to the system system design documentation system configuration settings and associated documentation cryptographic mechanisms and associated configuration documentation system audit records system security plan other relevant documents or records' - id: ac-17.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-17(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developers' - id: ac-17.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-17(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Cryptographic mechanisms protecting confidentiality and integrity of remote access sessions - id: ac-17.3 class: SP800-53-enhancement title: Managed Access Control Points props: - name: label value: AC-17(03) class: zero-padded - name: label value: AC-17(3) - name: label value: AC-17(03) class: sp800-53a - name: sort-id value: ac-17.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-17' rel: required - href: '#sc-7' rel: related parts: - id: ac-17.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Route remote accesses through authorized and managed network access control points. - id: ac-17.3_gdn name: guidance prose: Organizations consider the Trusted Internet Connections (TIC) initiative [DHS TIC](#4f42ee6e-86cc-403b-a51f-76c2b4f81b54) requirements for external network connections since limiting the number of access control points for remote access reduces attack surfaces. - id: ac-17.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-17(03) class: sp800-53a prose: remote accesses are routed through authorized and managed network access control points. links: - href: '#ac-17.3_smt' rel: assessment-for - id: ac-17.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-17(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing remote access to the system system design documentation list of all managed network access control points system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: ac-17.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-17(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities' - id: ac-17.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-17(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms routing all remote accesses through managed network access control points - id: ac-17.4 class: SP800-53-enhancement title: Privileged Commands and Access params: - id: ac-17.4_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-17.04_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-17.04_odp.02 label: organization-defined needs - id: ac-17.04_odp.01 props: - name: label value: AC-17(04)_ODP[01] class: sp800-53a label: needs requiring remote access guidelines: - prose: needs requiring execution of privileged commands via remote access are defined; - id: ac-17.04_odp.02 props: - name: label value: AC-17(04)_ODP[02] class: sp800-53a label: needs requiring remote access guidelines: - prose: needs requiring access to security-relevant information via remote access are defined; props: - name: label value: AC-17(04) class: zero-padded - name: label value: AC-17(4) - name: label value: AC-17(04) class: sp800-53a - name: sort-id value: ac-17.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-17' rel: required - href: '#ac-6' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: ac-17.4_smt name: statement parts: - id: ac-17.4_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Authorize the execution of privileged commands and access to security-relevant information via remote access only in a format that provides assessable evidence and for the following needs: {{ insert: param, ac-17.4_prm_1 }} ; and' - id: ac-17.4_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Document the rationale for remote access in the security plan for the system. - id: ac-17.4_gdn name: guidance prose: Remote access to systems represents a significant potential vulnerability that can be exploited by adversaries. As such, restricting the execution of privileged commands and access to security-relevant information via remote access reduces the exposure of the organization and the susceptibility to threats by adversaries to the remote access capability. - id: ac-17.4_obj name: assessment-objective props: - name: label value: AC-17(04) class: sp800-53a parts: - id: ac-17.4_obj.a name: assessment-objective props: - name: label value: AC-17(04)(a) class: sp800-53a parts: - id: ac-17.4_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-17(04)(a)[01] class: sp800-53a prose: the execution of privileged commands via remote access is authorized only in a format that provides assessable evidence; links: - href: '#ac-17.4_smt.a' rel: assessment-for - id: ac-17.4_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-17(04)(a)[02] class: sp800-53a prose: access to security-relevant information via remote access is authorized only in a format that provides assessable evidence; links: - href: '#ac-17.4_smt.a' rel: assessment-for - id: ac-17.4_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-17(04)(a)[03] class: sp800-53a prose: 'the execution of privileged commands via remote access is authorized only for the following needs: {{ insert: param, ac-17.04_odp.01 }};' links: - href: '#ac-17.4_smt.a' rel: assessment-for - id: ac-17.4_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-17(04)(a)[04] class: sp800-53a prose: 'access to security-relevant information via remote access is authorized only for the following needs: {{ insert: param, ac-17.04_odp.02 }};' links: - href: '#ac-17.4_smt.a' rel: assessment-for links: - href: '#ac-17.4_smt.a' rel: assessment-for - id: ac-17.4_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AC-17(04)(b) class: sp800-53a prose: the rationale for remote access is documented in the security plan for the system. links: - href: '#ac-17.4_smt.b' rel: assessment-for links: - href: '#ac-17.4_smt' rel: assessment-for - id: ac-17.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-17(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing remote access to the system system configuration settings and associated documentation security plan system audit records system security plan other relevant documents or records' - id: ac-17.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-17(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities' - id: ac-17.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-17(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing remote access management - id: ac-18 class: SP800-53 title: Wireless Access props: - name: label value: AC-18 class: zero-padded - name: label value: AC-18 - name: label value: AC-18 class: sp800-53a - name: sort-id value: ac-18 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#25e3e57b-dc2f-4934-af9b-050b020c6f0e' rel: reference - href: '#03fb73bc-1b12-4182-bd96-e5719254ea61' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-17' rel: related - href: '#ac-19' rel: related - href: '#ca-9' rel: related - href: '#cm-7' rel: related - href: '#ia-2' rel: related - href: '#ia-3' rel: related - href: '#ia-8' rel: related - href: '#pl-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-40 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-43 rel: related - href: '#si-4' rel: related parts: - id: ac-18_smt name: statement parts: - id: ac-18_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Establish configuration requirements, connection requirements, and implementation guidance for each type of wireless access; and - id: ac-18_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Authorize each type of wireless access to the system prior to allowing such connections. - id: ac-18_gdn name: guidance prose: Wireless technologies include microwave, packet radio (ultra-high frequency or very high frequency), 802.11x, and Bluetooth. Wireless networks use authentication protocols that provide authenticator protection and mutual authentication. - id: ac-18_obj name: assessment-objective props: - name: label value: AC-18 class: sp800-53a parts: - id: ac-18_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-18a. class: sp800-53a parts: - id: ac-18_obj.a-1 name: assessment-objective props: - name: label value: AC-18a.[01] class: sp800-53a prose: configuration requirements are established for each type of wireless access; links: - href: '#ac-18_smt.a' rel: assessment-for - id: ac-18_obj.a-2 name: assessment-objective props: - name: label value: AC-18a.[02] class: sp800-53a prose: connection requirements are established for each type of wireless access; links: - href: '#ac-18_smt.a' rel: assessment-for - id: ac-18_obj.a-3 name: assessment-objective props: - name: label value: AC-18a.[03] class: sp800-53a prose: implementation guidance is established for each type of wireless access; links: - href: '#ac-18_smt.a' rel: assessment-for links: - href: '#ac-18_smt.a' rel: assessment-for - id: ac-18_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-18b. class: sp800-53a prose: each type of wireless access to the system is authorized prior to allowing such connections. links: - href: '#ac-18_smt.b' rel: assessment-for links: - href: '#ac-18_smt' rel: assessment-for - id: ac-18_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-18-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing wireless access implementation and usage (including restrictions) configuration management plan system design documentation system configuration settings and associated documentation wireless access authorizations system audit records system security plan other relevant documents or records' - id: ac-18_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-18-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for managing wireless access connections organizational personnel with information security responsibilities' - id: ac-18_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-18-Test class: sp800-53a parts: - name: assessment-objects prose: Wireless access management capability for the system controls: - id: ac-18.1 class: SP800-53-enhancement title: Authentication and Encryption params: - id: ac-18.01_odp props: - name: alt-identifier value: ac-18.1_prm_1 - name: label value: AC-18(01)_ODP class: sp800-53a select: how-many: one-or-more choice: - users - devices props: - name: label value: AC-18(01) class: zero-padded - name: label value: AC-18(1) - name: label value: AC-18(01) class: sp800-53a - name: sort-id value: ac-18.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-18' rel: required - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: ac-18.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Protect wireless access to the system using authentication of {{ insert: param, ac-18.01_odp }} and encryption.' - id: ac-18.1_gdn name: guidance prose: Wireless networking capabilities represent a significant potential vulnerability that can be exploited by adversaries. To protect systems with wireless access points, strong authentication of users and devices along with strong encryption can reduce susceptibility to threats by adversaries involving wireless technologies. - id: ac-18.1_obj name: assessment-objective props: - name: label value: AC-18(01) class: sp800-53a parts: - id: ac-18.1_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-18(01)[01] class: sp800-53a prose: 'wireless access to the system is protected using authentication of {{ insert: param, ac-18.01_odp }};' links: - href: '#ac-18.1_smt' rel: assessment-for - id: ac-18.1_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-18(01)[02] class: sp800-53a prose: wireless access to the system is protected using encryption. links: - href: '#ac-18.1_smt' rel: assessment-for links: - href: '#ac-18.1_smt' rel: assessment-for - id: ac-18.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-18(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing wireless implementation and usage (including restrictions) system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: ac-18.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-18(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developers' - id: ac-18.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-18(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing wireless access protections to the system - id: ac-18.3 class: SP800-53-enhancement title: Disable Wireless Networking props: - name: label value: AC-18(03) class: zero-padded - name: label value: AC-18(3) - name: label value: AC-18(03) class: sp800-53a - name: sort-id value: ac-18.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-18' rel: required parts: - id: ac-18.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Disable, when not intended for use, wireless networking capabilities embedded within system components prior to issuance and deployment. - id: ac-18.3_gdn name: guidance prose: Wireless networking capabilities that are embedded within system components represent a significant potential vulnerability that can be exploited by adversaries. Disabling wireless capabilities when not needed for essential organizational missions or functions can reduce susceptibility to threats by adversaries involving wireless technologies. - id: ac-18.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-18(03) class: sp800-53a prose: when not intended for use, wireless networking capabilities embedded within system components are disabled prior to issuance and deployment. links: - href: '#ac-18.3_smt' rel: assessment-for - id: ac-18.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-18(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing wireless implementation and usage (including restrictions) system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: ac-18.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-18(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities' - id: ac-18.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-18(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms managing the disabling of wireless networking capabilities internally embedded within system components - id: ac-18.4 class: SP800-53-enhancement title: Restrict Configurations by Users props: - name: label value: AC-18(04) class: zero-padded - name: label value: AC-18(4) - name: label value: AC-18(04) class: sp800-53a - name: sort-id value: ac-18.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-18' rel: required - href: '#sc-7' rel: related - href: '#sc-15' rel: related parts: - id: ac-18.4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Identify and explicitly authorize users allowed to independently configure wireless networking capabilities. - id: ac-18.4_gdn name: guidance prose: Organizational authorizations to allow selected users to configure wireless networking capabilities are enforced, in part, by the access enforcement mechanisms employed within organizational systems. - id: ac-18.4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-18(04) class: sp800-53a parts: - id: ac-18.4_obj-1 name: assessment-objective props: - name: label value: AC-18(04)[01] class: sp800-53a prose: users allowed to independently configure wireless networking capabilities are identified; links: - href: '#ac-18.4_smt' rel: assessment-for - id: ac-18.4_obj-2 name: assessment-objective props: - name: label value: AC-18(04)[02] class: sp800-53a prose: users allowed to independently configure wireless networking capabilities are explicitly authorized. links: - href: '#ac-18.4_smt' rel: assessment-for links: - href: '#ac-18.4_smt' rel: assessment-for - id: ac-18.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-18(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing wireless implementation and usage (including restrictions) system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: ac-18.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-18(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities' - id: ac-18.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-18(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms authorizing independent user configuration of wireless networking capabilities - id: ac-18.5 class: SP800-53-enhancement title: Antennas and Transmission Power Levels props: - name: label value: AC-18(05) class: zero-padded - name: label value: AC-18(5) - name: label value: AC-18(05) class: sp800-53a - name: sort-id value: ac-18.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-18' rel: required - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pe-19 rel: related parts: - id: ac-18.5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Select radio antennas and calibrate transmission power levels to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries. - id: ac-18.5_gdn name: guidance prose: Actions that may be taken to limit unauthorized use of wireless communications outside of organization-controlled boundaries include reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be captured outside of the physical perimeters of the organization, employing measures such as emissions security to control wireless emanations, and using directional or beamforming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such mitigating actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational systems as well as other systems that may be operating in the area. - id: ac-18.5_obj name: assessment-objective props: - name: label value: AC-18(05) class: sp800-53a parts: - id: ac-18.5_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-18(05)[01] class: sp800-53a prose: radio antennas are selected to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries; links: - href: '#ac-18.5_smt' rel: assessment-for - id: ac-18.5_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-18(05)[02] class: sp800-53a prose: transmission power levels are calibrated to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries. links: - href: '#ac-18.5_smt' rel: assessment-for links: - href: '#ac-18.5_smt' rel: assessment-for - id: ac-18.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-18(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing wireless implementation and usage (including restrictions) system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: ac-18.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-18(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities' - id: ac-18.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-18(05)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Calibration of transmission power levels for wireless access radio antenna signals for wireless access wireless access reception outside of organization-controlled boundaries' - id: ac-19 class: SP800-53 title: Access Control for Mobile Devices props: - name: label value: AC-19 class: zero-padded - name: label value: AC-19 - name: label value: AC-19 class: sp800-53a - name: sort-id value: ac-19 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#42e37e51-7cc0-4ffa-81c9-0ac942da7e99' rel: reference - href: '#0f66be67-85e7-4ca6-bd19-39453e9f4394' rel: reference - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-7' rel: related - href: '#ac-11' rel: related - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-20' rel: related - href: '#ca-9' rel: related - href: '#cm-2' rel: related - href: '#cm-6' rel: related - href: '#ia-2' rel: related - href: '#ia-3' rel: related - href: '#mp-2' rel: related - href: '#mp-4' rel: related - href: '#mp-5' rel: related - href: '#mp-7' rel: related - href: '#pl-4' rel: related - href: '#sc-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-34 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-43 rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related parts: - id: ac-19_smt name: statement parts: - id: ac-19_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Establish configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices, to include when such devices are outside of controlled areas; and - id: ac-19_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Authorize the connection of mobile devices to organizational systems. - id: ac-19_gdn name: guidance prose: 'A mobile device is a computing device that has a small form factor such that it can easily be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self-contained power source. Mobile device functionality may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones and tablets. Mobile devices are typically associated with a single individual. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of notebook/desktop systems, depending on the nature and intended purpose of the device. Protection and control of mobile devices is behavior or policy-based and requires users to take physical action to protect and control such devices when outside of controlled areas. Controlled areas are spaces for which organizations provide physical or procedural controls to meet the requirements established for protecting information and systems. Due to the large variety of mobile devices with different characteristics and capabilities, organizational restrictions may vary for the different classes or types of such devices. Usage restrictions and specific implementation guidance for mobile devices include configuration management, device identification and authentication, implementation of mandatory protective software, scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware. Usage restrictions and authorization to connect may vary among organizational systems. For example, the organization may authorize the connection of mobile devices to its network and impose a set of usage restrictions, while a system owner may withhold authorization for mobile device connection to specific applications or impose additional usage restrictions before allowing mobile device connections to a system. Adequate security for mobile devices goes beyond the requirements specified in [AC-19](#ac-19) . Many safeguards for mobile devices are reflected in other controls. [AC-20](#ac-20) addresses mobile devices that are not organization-controlled.' - id: ac-19_obj name: assessment-objective props: - name: label value: AC-19 class: sp800-53a parts: - id: ac-19_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-19a. class: sp800-53a parts: - id: ac-19_obj.a-1 name: assessment-objective props: - name: label value: AC-19a.[01] class: sp800-53a prose: configuration requirements are established for organization-controlled mobile devices, including when such devices are outside of the controlled area; links: - href: '#ac-19_smt.a' rel: assessment-for - id: ac-19_obj.a-2 name: assessment-objective props: - name: label value: AC-19a.[02] class: sp800-53a prose: connection requirements are established for organization-controlled mobile devices, including when such devices are outside of the controlled area; links: - href: '#ac-19_smt.a' rel: assessment-for - id: ac-19_obj.a-3 name: assessment-objective props: - name: label value: AC-19a.[03] class: sp800-53a prose: implementation guidance is established for organization-controlled mobile devices, including when such devices are outside of the controlled area; links: - href: '#ac-19_smt.a' rel: assessment-for links: - href: '#ac-19_smt.a' rel: assessment-for - id: ac-19_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-19b. class: sp800-53a prose: the connection of mobile devices to organizational systems is authorized. links: - href: '#ac-19_smt.b' rel: assessment-for links: - href: '#ac-19_smt' rel: assessment-for - id: ac-19_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-19-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing access control for mobile device usage (including restrictions) configuration management plan system design documentation system configuration settings and associated documentation authorizations for mobile device connections to organizational systems system audit records system security plan other relevant documents or records' - id: ac-19_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-19-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel using mobile devices to access organizational systems system/network administrators organizational personnel with information security responsibilities' - id: ac-19_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-19-Test class: sp800-53a parts: - name: assessment-objects prose: 'Access control capability for mobile device connections to organizational systems configurations of mobile devices' controls: - id: ac-19.5 class: SP800-53-enhancement title: Full Device or Container-based Encryption params: - id: ac-19.05_odp.01 props: - name: alt-identifier value: ac-19.5_prm_1 - name: label value: AC-19(05)_ODP[01] class: sp800-53a select: choice: - full-device encryption - container-based encryption - id: ac-19.05_odp.02 props: - name: alt-identifier value: ac-19.5_prm_2 - name: label value: AC-19(05)_ODP[02] class: sp800-53a label: mobile devices guidelines: - prose: mobile devices on which to employ encryption are defined; props: - name: label value: AC-19(05) class: zero-padded - name: label value: AC-19(5) - name: label value: AC-19(05) class: sp800-53a - name: sort-id value: ac-19.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-19' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-28' rel: related parts: - id: ac-19.5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Employ {{ insert: param, ac-19.05_odp.01 }} to protect the confidentiality and integrity of information on {{ insert: param, ac-19.05_odp.02 }}.' - id: ac-19.5_gdn name: guidance prose: Container-based encryption provides a more fine-grained approach to data and information encryption on mobile devices, including encrypting selected data structures such as files, records, or fields. - id: ac-19.5_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-19(05) class: sp800-53a prose: '{{ insert: param, ac-19.05_odp.01 }} is employed to protect the confidentiality and integrity of information on {{ insert: param, ac-19.05_odp.02 }}.' links: - href: '#ac-19.5_smt' rel: assessment-for - id: ac-19.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-19(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing access control for mobile devices system design documentation system configuration settings and associated documentation encryption mechanisms and associated configuration documentation system audit records system security plan other relevant documents or records' - id: ac-19.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-19(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with access control responsibilities for mobile devices system/network administrators organizational personnel with information security responsibilities' - id: ac-19.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-19(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Encryption mechanisms protecting confidentiality and integrity of information on mobile devices - id: ac-20 class: SP800-53 title: Use of External Systems params: - id: ac-20_odp.01 props: - name: alt-identifier value: ac-20_prm_1 - name: label value: AC-20_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - 'establish {{ insert: param, ac-20_odp.02 }}' - 'identify {{ insert: param, ac-20_odp.03 }}' - id: ac-20_odp.02 props: - name: alt-identifier value: ac-20_prm_2 - name: label value: AC-20_ODP[02] class: sp800-53a label: terms and conditions guidelines: - prose: terms and conditions consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems are defined (if selected); - id: ac-20_odp.03 props: - name: alt-identifier value: ac-20_prm_3 - name: alt-label value: controls asserted to be implemented on external systems class: sp800-53 - name: label value: AC-20_ODP[03] class: sp800-53a label: controls asserted guidelines: - prose: controls asserted to be implemented on external systems consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems are defined (if selected); - id: ac-20_odp.04 props: - name: alt-identifier value: ac-20_prm_4 - name: alt-label value: organizationally-defined types of external systems class: sp800-53 - name: label value: AC-20_ODP[04] class: sp800-53a label: prohibited types of external systems guidelines: - prose: types of external systems prohibited from use are defined; props: - name: label value: AC-20 class: zero-padded - name: label value: AC-20 - name: label value: AC-20 class: sp800-53a - name: sort-id value: ac-20 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849' rel: reference - href: '#f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-17' rel: related - href: '#ac-19' rel: related - href: '#ca-3' rel: related - href: '#pl-2' rel: related - href: '#pl-4' rel: related - href: '#sa-9' rel: related - href: '#sc-7' rel: related parts: - id: ac-20_smt name: statement parts: - id: ac-20_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: '{{ insert: param, ac-20_odp.01 }} , consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to:' parts: - id: ac-20_smt.a.1 name: item props: - name: label value: '1.' prose: Access the system from external systems; and - id: ac-20_smt.a.2 name: item props: - name: label value: '2.' prose: Process, store, or transmit organization-controlled information using external systems; or - id: ac-20_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Prohibit the use of {{ insert: param, ac-20_odp.04 }}.' - id: ac-20_gdn name: guidance prose: 'External systems are systems that are used by but not part of organizational systems, and for which the organization has no direct control over the implementation of required controls or the assessment of control effectiveness. External systems include personally owned systems, components, or devices; privately owned computing and communications devices in commercial or public facilities; systems owned or controlled by nonfederal organizations; systems managed by contractors; and federal information systems that are not owned by, operated by, or under the direct supervision or authority of the organization. External systems also include systems owned or operated by other components within the same organization and systems within the organization with different authorization boundaries. Organizations have the option to prohibit the use of any type of external system or prohibit the use of specified types of external systems, (e.g., prohibit the use of any external system that is not organizationally owned or prohibit the use of personally-owned systems). For some external systems (i.e., systems operated by other organizations), the trust relationships that have been established between those organizations and the originating organization may be such that no explicit terms and conditions are required. Systems within these organizations may not be considered external. These situations occur when, for example, there are pre-existing information exchange agreements (either implicit or explicit) established between organizations or components or when such agreements are specified by applicable laws, executive orders, directives, regulations, policies, or standards. Authorized individuals include organizational personnel, contractors, or other individuals with authorized access to organizational systems and over which organizations have the authority to impose specific rules of behavior regarding system access. Restrictions that organizations impose on authorized individuals need not be uniform, as the restrictions may vary depending on trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments. External systems used to access public interfaces to organizational systems are outside the scope of [AC-20](#ac-20) . Organizations establish specific terms and conditions for the use of external systems in accordance with organizational security policies and procedures. At a minimum, terms and conditions address the specific types of applications that can be accessed on organizational systems from external systems and the highest security category of information that can be processed, stored, or transmitted on external systems. If the terms and conditions with the owners of the external systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.' - id: ac-20_fr name: item ns: http://fedramp.gov/ns/oscal title: AC-20 Additional FedRAMP Requirements and Guidance parts: - id: ac-20_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'The interrelated controls of AC-20, CA-3, and SA-9 should be differentiated as follows: AC-20 describes system access to and from external systems. CA-3 describes documentation of an agreement between the respective system owners when data is exchanged between the CSO and an external system. SA-9 describes the responsibilities of external system owners. These responsibilities would typically be captured in the agreement required by CA-3.' - id: ac-20_obj name: assessment-objective props: - name: label value: AC-20 class: sp800-53a parts: - id: ac-20_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-20a. class: sp800-53a parts: - id: ac-20_obj.a.1 name: assessment-objective props: - name: label value: AC-20a.01 class: sp800-53a prose: '{{ insert: param, ac-20_odp.01 }} is/are consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to access the system from external systems (if applicable);' links: - href: '#ac-20_smt.a.1' rel: assessment-for - id: ac-20_obj.a.2 name: assessment-objective props: - name: label value: AC-20a.02 class: sp800-53a prose: '{{ insert: param, ac-20_odp.01 }} is/are consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to process, store, or transmit organization-controlled information using external systems (if applicable);' links: - href: '#ac-20_smt.a.2' rel: assessment-for links: - href: '#ac-20_smt.a' rel: assessment-for - id: ac-20_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-20b. class: sp800-53a prose: 'the use of {{ insert: param, ac-20_odp.04 }} is prohibited (if applicable).' links: - href: '#ac-20_smt.b' rel: assessment-for links: - href: '#ac-20_smt' rel: assessment-for - id: ac-20_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-20-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing the use of external systems external systems terms and conditions list of types of applications accessible from external systems maximum security categorization for information processed, stored, or transmitted on external systems system configuration settings and associated documentation system security plan other relevant documents or records' - id: ac-20_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-20-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for defining terms and conditions for use of external systems to access organizational systems system/network administrators organizational personnel with information security responsibilities' - id: ac-20_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-20-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing terms and conditions on the use of external systems controls: - id: ac-20.1 class: SP800-53-enhancement title: Limits on Authorized Use props: - name: label value: AC-20(01) class: zero-padded - name: label value: AC-20(1) - name: label value: AC-20(01) class: sp800-53a - name: sort-id value: ac-20.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-20' rel: required - href: '#ca-2' rel: related parts: - id: ac-20.1_smt name: statement prose: 'Permit authorized individuals to use an external system to access the system or to process, store, or transmit organization-controlled information only after:' parts: - id: ac-20.1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: Verification of the implementation of controls on the external system as specified in the organization’s security and privacy policies and security and privacy plans; or - id: ac-20.1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Retention of approved system connection or processing agreements with the organizational entity hosting the external system. - id: ac-20.1_gdn name: guidance prose: Limiting authorized use recognizes circumstances where individuals using external systems may need to access organizational systems. Organizations need assurance that the external systems contain the necessary controls so as not to compromise, damage, or otherwise harm organizational systems. Verification that the required controls have been implemented can be achieved by external, independent assessments, attestations, or other means, depending on the confidence level required by organizations. - id: ac-20.1_obj name: assessment-objective props: - name: label value: AC-20(01) class: sp800-53a parts: - id: ac-20.1_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-20(01)(a) class: sp800-53a prose: authorized individuals are permitted to use an external system to access the system or to process, store, or transmit organization-controlled information only after verification of the implementation of controls on the external system as specified in the organization’s security and privacy policies and security and privacy plans (if applicable); links: - href: '#ac-20.1_smt.a' rel: assessment-for - id: ac-20.1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-20(01)(b) class: sp800-53a prose: authorized individuals are permitted to use an external system to access the system or to process, store, or transmit organization-controlled information only after retention of approved system connection or processing agreements with the organizational entity hosting the external system (if applicable). links: - href: '#ac-20.1_smt.b' rel: assessment-for links: - href: '#ac-20.1_smt' rel: assessment-for - id: ac-20.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-20(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing the use of external systems system connection or processing agreements account management documents system security plan other relevant documents or records' - id: ac-20.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-20(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities' - id: ac-20.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-20(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing limits on use of external systems - id: ac-20.2 class: SP800-53-enhancement title: Portable Storage Devices — Restricted Use params: - id: ac-20.02_odp props: - name: alt-identifier value: ac-20.2_prm_1 - name: label value: AC-20(02)_ODP class: sp800-53a label: restrictions guidelines: - prose: restrictions on the use of organization-controlled portable storage devices by authorized individuals on external systems are defined; props: - name: label value: AC-20(02) class: zero-padded - name: label value: AC-20(2) - name: label value: AC-20(02) class: sp800-53a - name: sort-id value: ac-20.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-20' rel: required - href: '#mp-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-41 rel: related parts: - id: ac-20.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Restrict the use of organization-controlled portable storage devices by authorized individuals on external systems using {{ insert: param, ac-20.02_odp }}.' - id: ac-20.2_gdn name: guidance prose: Limits on the use of organization-controlled portable storage devices in external systems include restrictions on how the devices may be used and under what conditions the devices may be used. - id: ac-20.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-20(02) class: sp800-53a prose: 'the use of organization-controlled portable storage devices by authorized individuals is restricted on external systems using {{ insert: param, ac-20.02_odp }}.' links: - href: '#ac-20.2_smt' rel: assessment-for - id: ac-20.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-20(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing the use of external systems system configuration settings and associated documentation system connection or processing agreements account management documents system security plan other relevant documents or records' - id: ac-20.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-20(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for restricting or prohibiting the use of organization-controlled storage devices on external systems system/network administrators organizational personnel with information security responsibilities' - id: ac-20.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-20(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing restrictions on the use of portable storage devices - id: ac-21 class: SP800-53 title: Information Sharing params: - id: ac-21_odp.01 props: - name: alt-identifier value: ac-21_prm_1 - name: alt-label value: information sharing circumstances where user discretion is required class: sp800-53 - name: label value: AC-21_ODP[01] class: sp800-53a label: information-sharing circumstances guidelines: - prose: information-sharing circumstances where user discretion is required to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions are defined; - id: ac-21_odp.02 props: - name: alt-identifier value: ac-21_prm_2 - name: alt-label value: automated mechanisms or manual processes class: sp800-53 - name: label value: AC-21_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms or manual processes that assist users in making information-sharing and collaboration decisions are defined; props: - name: label value: AC-21 class: zero-padded - name: label value: AC-21 - name: label value: AC-21 class: sp800-53a - name: sort-id value: ac-21 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#9ef4b43c-42a4-4316-87dc-ffaf528bc05c' rel: reference - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-16 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-2 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-7 rel: related - href: '#ra-3' rel: related - href: '#sc-15' rel: related parts: - id: ac-21_smt name: statement parts: - id: ac-21_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Enable authorized users to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions for {{ insert: param, ac-21_odp.01 }} ; and' - id: ac-21_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Employ {{ insert: param, ac-21_odp.02 }} to assist users in making information sharing and collaboration decisions.' - id: ac-21_gdn name: guidance prose: Information sharing applies to information that may be restricted in some manner based on some formal or administrative determination. Examples of such information include, contract-sensitive information, classified information related to special access programs or compartments, privileged information, proprietary information, and personally identifiable information. Security and privacy risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to these determinations. Depending on the 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 or compartment. Access restrictions may include non-disclosure agreements (NDA). Information flow techniques and security attributes may be used to provide automated assistance to users making sharing and collaboration decisions. - id: ac-21_obj name: assessment-objective props: - name: label value: AC-21 class: sp800-53a parts: - id: ac-21_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-21a. class: sp800-53a prose: 'authorized users are enabled to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions for {{ insert: param, ac-21_odp.01 }};' links: - href: '#ac-21_smt.a' rel: assessment-for - id: ac-21_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-21b. class: sp800-53a prose: '{{ insert: param, ac-21_odp.02 }} are employed to assist users in making information-sharing and collaboration decisions.' links: - href: '#ac-21_smt.b' rel: assessment-for links: - href: '#ac-21_smt' rel: assessment-for - id: ac-21_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-21-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing user-based collaboration and information sharing (including restrictions) system design documentation system configuration settings and associated documentation list of users authorized to make information-sharing/collaboration decisions list of information-sharing circumstances requiring user discretion non-disclosure agreements acquisitions/contractual agreements system security plan privacy plan privacy impact assessment security and privacy risk assessments other relevant documents or records' - id: ac-21_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-21-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel responsible for information-sharing/collaboration decisions organizational personnel with responsibility for acquisitions/contractual agreements system/network administrators organizational personnel with information security and privacy responsibilities' - id: ac-21_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-21-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms or manual process implementing access authorizations supporting information-sharing/user collaboration decisions - id: ac-22 class: SP800-53 title: Publicly Accessible Content params: - id: ac-22_odp props: - name: alt-identifier value: ac-22_prm_1 - name: label value: AC-22_ODP class: sp800-53a label: frequency constraints: - description: at least quarterly guidelines: - prose: the frequency at which to review the content on the publicly accessible system for non-public information is defined; props: - name: label value: AC-22 class: zero-padded - name: label value: AC-22 - name: label value: AC-22 class: sp800-53a - name: sort-id value: ac-22 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#18e71fec-c6fd-475a-925a-5d8495cf8455' rel: reference - href: '#ac-3' rel: related - href: '#at-2' rel: related - href: '#at-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-13 rel: related parts: - id: ac-22_smt name: statement parts: - id: ac-22_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Designate individuals authorized to make information publicly accessible; - id: ac-22_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Train authorized individuals to ensure that publicly accessible information does not contain nonpublic information; - id: ac-22_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Review the proposed content of information prior to posting onto the publicly accessible system to ensure that nonpublic information is not included; and - id: ac-22_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: 'Review the content on the publicly accessible system for nonpublic information {{ insert: param, ac-22_odp }} and remove such information, if discovered.' - id: ac-22_gdn name: guidance prose: In accordance with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines, the public is not authorized to have access to nonpublic information, including information protected under the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) and proprietary information. Publicly accessible content addresses systems that are controlled by the organization and accessible to the public, typically without identification or authentication. Posting information on non-organizational systems (e.g., non-organizational public websites, forums, and social media) is covered by organizational policy. While organizations may have individuals who are responsible for developing and implementing policies about the information that can be made publicly accessible, publicly accessible content addresses the management of the individuals who make such information publicly accessible. - id: ac-22_obj name: assessment-objective props: - name: label value: AC-22 class: sp800-53a parts: - id: ac-22_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-22a. class: sp800-53a prose: designated individuals are authorized to make information publicly accessible; links: - href: '#ac-22_smt.a' rel: assessment-for - id: ac-22_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AC-22b. class: sp800-53a prose: authorized individuals are trained to ensure that publicly accessible information does not contain non-public information; links: - href: '#ac-22_smt.b' rel: assessment-for - id: ac-22_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-22c. class: sp800-53a prose: the proposed content of information is reviewed prior to posting onto the publicly accessible system to ensure that non-public information is not included; links: - href: '#ac-22_smt.c' rel: assessment-for - id: ac-22_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AC-22d. class: sp800-53a parts: - id: ac-22_obj.d-1 name: assessment-objective props: - name: label value: AC-22d.[01] class: sp800-53a prose: 'the content on the publicly accessible system is reviewed for non-public information {{ insert: param, ac-22_odp }};' links: - href: '#ac-22_smt.d' rel: assessment-for - id: ac-22_obj.d-2 name: assessment-objective props: - name: label value: AC-22d.[02] class: sp800-53a prose: non-public information is removed from the publicly accessible system, if discovered. links: - href: '#ac-22_smt.d' rel: assessment-for links: - href: '#ac-22_smt.d' rel: assessment-for links: - href: '#ac-22_smt' rel: assessment-for - id: ac-22_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-22-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing publicly accessible content list of users authorized to post publicly accessible content on organizational systems training materials and/or records records of publicly accessible information reviews records of response to non-public information on public websites system audit logs security awareness training records system security plan other relevant documents or records' - id: ac-22_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-22-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for managing publicly accessible information posted on organizational systems organizational personnel with information security responsibilities' - id: ac-22_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-22-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing management of publicly accessible content - id: at class: family title: Awareness and Training controls: - id: at-1 class: SP800-53 title: Policy and Procedures params: - id: at-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: at-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: at-01_odp.02 label: organization-defined personnel or roles - id: at-01_odp.01 props: - name: label value: AT-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the awareness and training policy is to be disseminated is/are defined; - id: at-01_odp.02 props: - name: label value: AT-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the awareness and training procedures are to be disseminated is/are defined; - id: at-01_odp.03 props: - name: alt-identifier value: at-1_prm_2 - name: label value: AT-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: at-01_odp.04 props: - name: alt-identifier value: at-1_prm_3 - name: label value: AT-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the awareness and training policy and procedures is defined; - id: at-01_odp.05 props: - name: alt-identifier value: at-1_prm_4 - name: label value: AT-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current awareness and training policy is reviewed and updated is defined; - id: at-01_odp.06 props: - name: alt-identifier value: at-1_prm_5 - name: label value: AT-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current awareness and training policy to be reviewed and updated are defined; - id: at-01_odp.07 props: - name: alt-identifier value: at-1_prm_6 - name: label value: AT-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current awareness and training procedures are reviewed and updated is defined; - id: at-01_odp.08 props: - name: alt-identifier value: at-1_prm_7 - name: label value: AT-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that would require procedures to be reviewed and updated are defined; props: - name: label value: AT-01 class: zero-padded - name: label value: AT-1 - name: label value: AT-01 class: sp800-53a - name: sort-id value: at-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#511f6832-23ca-49a3-8c0f-ce493373cab8' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ps-8' rel: related - href: '#si-12' rel: related parts: - id: at-1_smt name: statement parts: - id: at-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses Awareness and Training MUST be associated with AT-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses Awareness and Training MUST be associated with AT-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, at-1_prm_1 }}:' parts: - id: at-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, at-01_odp.03 }} awareness and training policy that:' parts: - id: at-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: at-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: at-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the awareness and training policy and the associated awareness and training controls; - id: at-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, at-01_odp.04 }} to manage the development, documentation, and dissemination of the awareness and training policy and procedures; and' - id: at-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current awareness and training:' parts: - id: at-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, at-01_odp.05 }} and following {{ insert: param, at-01_odp.06 }} ; and' - id: at-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, at-01_odp.07 }} and following {{ insert: param, at-01_odp.08 }}.' - id: at-1_gdn name: guidance prose: Awareness and training policy and procedures address the controls in the AT family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of awareness and training policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to awareness and training policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: at-1_obj name: assessment-objective props: - name: label value: AT-01 class: sp800-53a parts: - id: at-1_obj.a name: assessment-objective props: - name: label value: AT-01a. class: sp800-53a parts: - id: at-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-01a.[01] class: sp800-53a prose: an awareness and training policy is developed and documented; links: - href: '#at-1_smt.a' rel: assessment-for - id: at-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-01a.[02] class: sp800-53a prose: 'the awareness and training policy is disseminated to {{ insert: param, at-01_odp.01 }};' links: - href: '#at-1_smt.a' rel: assessment-for - id: at-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AT-01a.[03] class: sp800-53a prose: awareness and training procedures to facilitate the implementation of the awareness and training policy and associated access controls are developed and documented; links: - href: '#at-1_smt.a' rel: assessment-for - id: at-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AT-01a.[04] class: sp800-53a prose: 'the awareness and training procedures are disseminated to {{ insert: param, at-01_odp.02 }}.' links: - href: '#at-1_smt.a' rel: assessment-for - id: at-1_obj.a.1 name: assessment-objective props: - name: label value: AT-01a.01 class: sp800-53a parts: - id: at-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AT-01a.01(a) class: sp800-53a parts: - id: at-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: AT-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses purpose;' links: - href: '#at-1_smt.a.1.a' rel: assessment-for - id: at-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: AT-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses scope;' links: - href: '#at-1_smt.a.1.a' rel: assessment-for - id: at-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: AT-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses roles;' links: - href: '#at-1_smt.a.1.a' rel: assessment-for - id: at-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: AT-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses responsibilities;' links: - href: '#at-1_smt.a.1.a' rel: assessment-for - id: at-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: AT-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses management commitment;' links: - href: '#at-1_smt.a.1.a' rel: assessment-for - id: at-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: AT-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses coordination among organizational entities;' links: - href: '#at-1_smt.a.1.a' rel: assessment-for - id: at-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: AT-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses compliance; and' links: - href: '#at-1_smt.a.1.a' rel: assessment-for links: - href: '#at-1_smt.a.1.a' rel: assessment-for - id: at-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AT-01a.01(b) class: sp800-53a prose: 'the {{ insert: param, at-01_odp.03 }} awareness and training policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and' links: - href: '#at-1_smt.a.1.b' rel: assessment-for links: - href: '#at-1_smt.a.1' rel: assessment-for links: - href: '#at-1_smt.a' rel: assessment-for - id: at-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-01b. class: sp800-53a prose: 'the {{ insert: param, at-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the awareness and training policy and procedures;' links: - href: '#at-1_smt.b' rel: assessment-for - id: at-1_obj.c name: assessment-objective props: - name: label value: AT-01c. class: sp800-53a parts: - id: at-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-01c.01 class: sp800-53a parts: - id: at-1_obj.c.1-1 name: assessment-objective props: - name: label value: AT-01c.01[01] class: sp800-53a prose: 'the current awareness and training policy is reviewed and updated {{ insert: param, at-01_odp.05 }};' links: - href: '#at-1_smt.c.1' rel: assessment-for - id: at-1_obj.c.1-2 name: assessment-objective props: - name: label value: AT-01c.01[02] class: sp800-53a prose: 'the current awareness and training policy is reviewed and updated following {{ insert: param, at-01_odp.06 }};' links: - href: '#at-1_smt.c.1' rel: assessment-for links: - href: '#at-1_smt.c.1' rel: assessment-for - id: at-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-01c.02 class: sp800-53a parts: - id: at-1_obj.c.2-1 name: assessment-objective props: - name: label value: AT-01c.02[01] class: sp800-53a prose: 'the current awareness and training procedures are reviewed and updated {{ insert: param, at-01_odp.07 }};' links: - href: '#at-1_smt.c.2' rel: assessment-for - id: at-1_obj.c.2-2 name: assessment-objective props: - name: label value: AT-01c.02[02] class: sp800-53a prose: 'the current awareness and training procedures are reviewed and updated following {{ insert: param, at-01_odp.08 }}.' links: - href: '#at-1_smt.c.2' rel: assessment-for links: - href: '#at-1_smt.c.2' rel: assessment-for links: - href: '#at-1_smt.c' rel: assessment-for links: - href: '#at-1_smt' rel: assessment-for - id: at-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AT-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System security plan privacy plan awareness and training policy and procedures other relevant documents or records' - id: at-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AT-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with awareness and training responsibilities organizational personnel with information security and privacy responsibilities' - id: at-2 class: SP800-53 title: Literacy Training and Awareness params: - id: at-2_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: at-02_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: at-02_odp.02 label: organization-defined frequency - id: at-2_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: at-02_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: at-02_odp.04 label: organization-defined events - id: at-02_odp.01 props: - name: label value: AT-02_ODP[01] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which to provide security literacy training to system users (including managers, senior executives, and contractors) after initial training is defined; - id: at-02_odp.02 props: - name: label value: AT-02_ODP[02] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which to provide privacy literacy training to system users (including managers, senior executives, and contractors) after initial training is defined; - id: at-02_odp.03 props: - name: label value: AT-02_ODP[03] class: sp800-53a label: events guidelines: - prose: events that require security literacy training for system users are defined; - id: at-02_odp.04 props: - name: label value: AT-02_ODP[04] class: sp800-53a label: events guidelines: - prose: events that require privacy literacy training for system users are defined; - id: at-02_odp.05 props: - name: alt-identifier value: at-2_prm_3 - name: label value: AT-02_ODP[05] class: sp800-53a label: awareness techniques guidelines: - prose: techniques to be employed to increase the security and privacy awareness of system users are defined; - id: at-02_odp.06 props: - name: alt-identifier value: at-2_prm_4 - name: label value: AT-02_ODP[06] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which to update literacy training and awareness content is defined; - id: at-02_odp.07 props: - name: alt-identifier value: at-2_prm_5 - name: label value: AT-02_ODP[07] class: sp800-53a label: events guidelines: - prose: events that would require literacy training and awareness content to be updated are defined; props: - name: label value: AT-02 class: zero-padded - name: label value: AT-2 - name: label value: AT-02 class: sp800-53a - name: sort-id value: at-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#511f6832-23ca-49a3-8c0f-ce493373cab8' rel: reference - href: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference - href: '#276bd50a-7e58-48e5-a405-8c8cb91d7a5f' rel: reference - href: '#89f2a08d-fc49-46d0-856e-bf974c9b1573' rel: reference - href: '#ac-3' rel: related - href: '#ac-17' rel: related - href: '#ac-22' rel: related - href: '#at-3' rel: related - href: '#at-4' rel: related - href: '#cp-3' rel: related - href: '#ia-4' rel: related - href: '#ir-2' rel: related - href: '#ir-7' rel: related - href: '#ir-9' rel: related - href: '#pl-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-13 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-21 rel: related - href: '#ps-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-2 rel: related - href: '#sa-8' rel: related - href: '#sa-16' rel: related parts: - id: at-2_smt name: statement parts: - id: at-2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Provide security and privacy literacy training to system users (including managers, senior executives, and contractors):' parts: - id: at-2_smt.a.1 name: item props: - name: label value: '1.' prose: 'As part of initial training for new users and {{ insert: param, at-2_prm_1 }} thereafter; and' - id: at-2_smt.a.2 name: item props: - name: label value: '2.' prose: 'When required by system changes or following {{ insert: param, at-2_prm_2 }};' - id: at-2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Employ the following techniques to increase the security and privacy awareness of system users {{ insert: param, at-02_odp.05 }};' - id: at-2_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Update literacy training and awareness content {{ insert: param, at-02_odp.06 }} and following {{ insert: param, at-02_odp.07 }} ; and' - id: at-2_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Incorporate lessons learned from internal or external security incidents or breaches into literacy training and awareness techniques. - id: at-2_gdn name: guidance prose: 'Organizations provide basic and advanced levels of literacy training to system users, including measures to test the knowledge level of users. Organizations determine the content of literacy training and awareness based on specific organizational requirements, the systems to which personnel have authorized access, and work environments (e.g., telework). The content includes an understanding of the need for security and privacy as well as actions by users to maintain security and personal privacy and to respond to suspected incidents. The content addresses the need for operations security and the handling of personally identifiable information. Awareness techniques include displaying posters, offering supplies inscribed with security and privacy reminders, displaying logon screen messages, generating email advisories or notices from organizational officials, and conducting awareness events. Literacy training after the initial training described in [AT-2a.1](#at-2_smt.a.1) is conducted at a minimum frequency consistent with applicable laws, directives, regulations, and policies. Subsequent literacy training may be satisfied by one or more short ad hoc sessions and include topical information on recent attack schemes, changes to organizational security and privacy policies, revised security and privacy expectations, or a subset of topics from the initial training. Updating literacy training and awareness content on a regular basis helps to ensure that the content remains relevant. Events that may precipitate an update to literacy training and awareness content include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.' - id: at-2_obj name: assessment-objective props: - name: label value: AT-02 class: sp800-53a parts: - id: at-2_obj.a name: assessment-objective props: - name: label value: AT-02a. class: sp800-53a parts: - id: at-2_obj.a.1 name: assessment-objective props: - name: label value: AT-02a.01 class: sp800-53a parts: - id: at-2_obj.a.1-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-02a.01[01] class: sp800-53a prose: security literacy training is provided to system users (including managers, senior executives, and contractors) as part of initial training for new users; links: - href: '#at-2_smt.a.1' rel: assessment-for - id: at-2_obj.a.1-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-02a.01[02] class: sp800-53a prose: privacy literacy training is provided to system users (including managers, senior executives, and contractors) as part of initial training for new users; links: - href: '#at-2_smt.a.1' rel: assessment-for - id: at-2_obj.a.1-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-02a.01[03] class: sp800-53a prose: 'security literacy training is provided to system users (including managers, senior executives, and contractors) {{ insert: param, at-02_odp.01 }} thereafter;' links: - href: '#at-2_smt.a.1' rel: assessment-for - id: at-2_obj.a.1-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-02a.01[04] class: sp800-53a prose: 'privacy literacy training is provided to system users (including managers, senior executives, and contractors) {{ insert: param, at-02_odp.02 }} thereafter;' links: - href: '#at-2_smt.a.1' rel: assessment-for links: - href: '#at-2_smt.a.1' rel: assessment-for - id: at-2_obj.a.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-02a.02 class: sp800-53a parts: - id: at-2_obj.a.2-1 name: assessment-objective props: - name: label value: AT-02a.02[01] class: sp800-53a prose: 'security literacy training is provided to system users (including managers, senior executives, and contractors) when required by system changes or following {{ insert: param, at-02_odp.03 }};' links: - href: '#at-2_smt.a.2' rel: assessment-for - id: at-2_obj.a.2-2 name: assessment-objective props: - name: label value: AT-02a.02[02] class: sp800-53a prose: 'privacy literacy training is provided to system users (including managers, senior executives, and contractors) when required by system changes or following {{ insert: param, at-02_odp.04 }};' links: - href: '#at-2_smt.a.2' rel: assessment-for links: - href: '#at-2_smt.a.2' rel: assessment-for links: - href: '#at-2_smt.a' rel: assessment-for - id: at-2_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AT-02b. class: sp800-53a prose: '{{ insert: param, at-02_odp.05 }} are employed to increase the security and privacy awareness of system users;' links: - href: '#at-2_smt.b' rel: assessment-for - id: at-2_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-02c. class: sp800-53a parts: - id: at-2_obj.c-1 name: assessment-objective props: - name: label value: AT-02c.[01] class: sp800-53a prose: 'literacy training and awareness content is updated {{ insert: param, at-02_odp.06 }};' links: - href: '#at-2_smt.c' rel: assessment-for - id: at-2_obj.c-2 name: assessment-objective props: - name: label value: AT-02c.[02] class: sp800-53a prose: 'literacy training and awareness content is updated following {{ insert: param, at-02_odp.07 }};' links: - href: '#at-2_smt.c' rel: assessment-for links: - href: '#at-2_smt.c' rel: assessment-for - id: at-2_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-02d. class: sp800-53a prose: lessons learned from internal or external security incidents or breaches are incorporated into literacy training and awareness techniques. links: - href: '#at-2_smt.d' rel: assessment-for links: - href: '#at-2_smt' rel: assessment-for - id: at-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AT-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System security plan privacy plan literacy training and awareness policy procedures addressing literacy training and awareness implementation appropriate codes of federal regulations security and privacy literacy training curriculum security and privacy literacy training materials training records other relevant documents or records' - id: at-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AT-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for literacy training and awareness organizational personnel with information security and privacy responsibilities organizational personnel comprising the general system user community' - id: at-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AT-02-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms managing information security and privacy literacy training controls: - id: at-2.2 class: SP800-53-enhancement title: Insider Threat props: - name: label value: AT-02(02) class: zero-padded - name: label value: AT-2(2) - name: label value: AT-02(02) class: sp800-53a - name: sort-id value: at-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#at-2' rel: required - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-12 rel: related parts: - id: at-2.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Provide literacy training on recognizing and reporting potential indicators of insider threat. - id: at-2.2_gdn name: guidance prose: Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction; attempts to gain access to information not required for job performance; unexplained access to financial resources; bullying or harassment of fellow employees; workplace violence; and other serious violations of policies, procedures, directives, regulations, rules, or practices. Literacy training includes how to communicate the concerns of employees and management regarding potential indicators of insider threat through channels established by the organization and in accordance with established policies and procedures. Organizations may consider tailoring insider threat awareness topics to the role. For example, training for managers may be focused on changes in the behavior of team members, while training for employees may be focused on more general observations. - id: at-2.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-02(02) class: sp800-53a parts: - id: at-2.2_obj-1 name: assessment-objective props: - name: label value: AT-02(02)[01] class: sp800-53a prose: literacy training on recognizing potential indicators of insider threat is provided; links: - href: '#at-2.2_smt' rel: assessment-for - id: at-2.2_obj-2 name: assessment-objective props: - name: label value: AT-02(02)[02] class: sp800-53a prose: literacy training on reporting potential indicators of insider threat is provided. links: - href: '#at-2.2_smt' rel: assessment-for links: - href: '#at-2.2_smt' rel: assessment-for - id: at-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AT-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System security plan privacy plan literacy training and awareness policy procedures addressing literacy training and awareness implementation literacy training and awareness curriculum literacy training and awareness materials other relevant documents or records' - id: at-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AT-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel who receive literacy training and awareness organizational personnel with responsibilities for literacy training and awareness organizational personnel with information security and privacy responsibilities' - id: at-2.3 class: SP800-53-enhancement title: Social Engineering and Mining props: - name: label value: AT-02(03) class: zero-padded - name: label value: AT-2(3) - name: label value: AT-02(03) class: sp800-53a - name: sort-id value: at-02.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#at-2' rel: required parts: - id: at-2.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Provide literacy training on recognizing and reporting potential and actual instances of social engineering and social mining. - id: at-2.3_gdn name: guidance prose: Social engineering is an attempt to trick an individual into revealing information or taking an action that can be used to breach, compromise, or otherwise adversely impact a system. Social engineering includes phishing, pretexting, impersonation, baiting, quid pro quo, thread-jacking, social media exploitation, and tailgating. Social mining is an attempt to gather information about the organization that may be used to support future attacks. Literacy training includes information on how to communicate the concerns of employees and management regarding potential and actual instances of social engineering and data mining through organizational channels based on established policies and procedures. - id: at-2.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-02(03) class: sp800-53a parts: - id: at-2.3_obj-1 name: assessment-objective props: - name: label value: AT-02(03)[01] class: sp800-53a prose: literacy training on recognizing potential and actual instances of social engineering is provided; links: - href: '#at-2.3_smt' rel: assessment-for - id: at-2.3_obj-2 name: assessment-objective props: - name: label value: AT-02(03)[02] class: sp800-53a prose: literacy training on reporting potential and actual instances of social engineering is provided; links: - href: '#at-2.3_smt' rel: assessment-for - id: at-2.3_obj-3 name: assessment-objective props: - name: label value: AT-02(03)[03] class: sp800-53a prose: literacy training on recognizing potential and actual instances of social mining is provided; links: - href: '#at-2.3_smt' rel: assessment-for - id: at-2.3_obj-4 name: assessment-objective props: - name: label value: AT-02(03)[04] class: sp800-53a prose: literacy training on reporting potential and actual instances of social mining is provided. links: - href: '#at-2.3_smt' rel: assessment-for links: - href: '#at-2.3_smt' rel: assessment-for - id: at-2.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AT-02(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System security plan privacy plan literacy training and awareness policy procedures addressing literacy training and awareness implementation literacy training and awareness curriculum literacy training and awareness materials other relevant documents or records' - id: at-2.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AT-02(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel who receive literacy training and awareness organizational personnel with responsibilities for literacy training and awareness organizational personnel with information security and privacy responsibilities' - id: at-3 class: SP800-53 title: Role-based Training params: - id: at-3_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: at-03_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: at-03_odp.02 label: organization-defined roles and responsibilities - id: at-03_odp.01 props: - name: label value: AT-03_ODP[01] class: sp800-53a label: roles and responsibilities guidelines: - prose: roles and responsibilities for role-based security training are defined; - id: at-03_odp.02 props: - name: label value: AT-03_ODP[02] class: sp800-53a label: roles and responsibilities guidelines: - prose: roles and responsibilities for role-based privacy training are defined; - id: at-03_odp.03 props: - name: alt-identifier value: at-3_prm_2 - name: label value: AT-03_ODP[03] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which to provide role-based security and privacy training to assigned personnel after initial training is defined; - id: at-03_odp.04 props: - name: alt-identifier value: at-3_prm_3 - name: label value: AT-03_ODP[04] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which to update role-based training content is defined; - id: at-03_odp.05 props: - name: alt-identifier value: at-3_prm_4 - name: label value: AT-03_ODP[05] class: sp800-53a label: events guidelines: - prose: events that require role-based training content to be updated are defined; props: - name: label value: AT-03 class: zero-padded - name: label value: AT-3 - name: label value: AT-03 class: sp800-53a - name: sort-id value: at-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#511f6832-23ca-49a3-8c0f-ce493373cab8' rel: reference - href: '#276bd50a-7e58-48e5-a405-8c8cb91d7a5f' rel: reference - href: '#ac-3' rel: related - href: '#ac-17' rel: related - href: '#ac-22' rel: related - href: '#at-2' rel: related - href: '#at-4' rel: related - href: '#cp-3' rel: related - href: '#ir-2' rel: related - href: '#ir-4' rel: related - href: '#ir-7' rel: related - href: '#ir-9' rel: related - href: '#pl-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-13 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-23 rel: related - href: '#ps-7' rel: related - href: '#ps-9' rel: related - href: '#sa-3' rel: related - href: '#sa-8' rel: related - href: '#sa-11' rel: related - href: '#sa-16' rel: related - href: '#sr-5' rel: related - href: '#sr-6' rel: related - href: '#sr-11' rel: related parts: - id: at-3_smt name: statement parts: - id: at-3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Provide role-based security and privacy training to personnel with the following roles and responsibilities: {{ insert: param, at-3_prm_1 }}:' parts: - id: at-3_smt.a.1 name: item props: - name: label value: '1.' prose: 'Before authorizing access to the system, information, or performing assigned duties, and {{ insert: param, at-03_odp.03 }} thereafter; and' - id: at-3_smt.a.2 name: item props: - name: label value: '2.' prose: When required by system changes; - id: at-3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Update role-based training content {{ insert: param, at-03_odp.04 }} and following {{ insert: param, at-03_odp.05 }} ; and' - id: at-3_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Incorporate lessons learned from internal or external security incidents or breaches into role-based training. - id: at-3_gdn name: guidance prose: 'Organizations determine the content of training based on the assigned roles and responsibilities of individuals as well as the security and privacy requirements of organizations and the systems to which personnel have authorized access, including technical training specifically tailored for assigned duties. Roles that may require role-based training include senior leaders or management officials (e.g., head of agency/chief executive officer, chief information officer, senior accountable official for risk management, senior agency information security officer, senior agency official for privacy), system owners; authorizing officials; system security officers; privacy officers; acquisition and procurement officials; enterprise architects; systems engineers; software developers; systems security engineers; privacy engineers; system, network, and database administrators; auditors; personnel conducting configuration management activities; personnel performing verification and validation activities; personnel with access to system-level software; control assessors; personnel with contingency planning and incident response duties; personnel with privacy management responsibilities; and personnel with access to personally identifiable information. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical controls. Role-based training also includes policies, procedures, tools, methods, and artifacts for the security and privacy roles defined. Organizations provide the training necessary for individuals to fulfill their responsibilities related to operations and supply chain risk management within the context of organizational security and privacy programs. Role-based training also applies to contractors who provide services to federal agencies. Types of training include web-based and computer-based training, classroom-style training, and hands-on training (including micro-training). Updating role-based training on a regular basis helps to ensure that the content remains relevant and effective. Events that may precipitate an update to role-based training content include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.' - id: at-3_obj name: assessment-objective props: - name: label value: AT-03 class: sp800-53a parts: - id: at-3_obj.a name: assessment-objective props: - name: label value: AT-03a. class: sp800-53a parts: - id: at-3_obj.a.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-03a.01 class: sp800-53a parts: - id: at-3_obj.a.1-1 name: assessment-objective props: - name: label value: AT-03a.01[01] class: sp800-53a prose: 'role-based security training is provided to {{ insert: param, at-03_odp.01 }} before authorizing access to the system, information, or performing assigned duties;' links: - href: '#at-3_smt.a.1' rel: assessment-for - id: at-3_obj.a.1-2 name: assessment-objective props: - name: label value: AT-03a.01[02] class: sp800-53a prose: 'role-based privacy training is provided to {{ insert: param, at-03_odp.02 }} before authorizing access to the system, information, or performing assigned duties;' links: - href: '#at-3_smt.a.1' rel: assessment-for - id: at-3_obj.a.1-3 name: assessment-objective props: - name: label value: AT-03a.01[03] class: sp800-53a prose: 'role-based security training is provided to {{ insert: param, at-03_odp.01 }} {{ insert: param, at-03_odp.03 }} thereafter;' links: - href: '#at-3_smt.a.1' rel: assessment-for - id: at-3_obj.a.1-4 name: assessment-objective props: - name: label value: AT-03a.01[04] class: sp800-53a prose: 'role-based privacy training is provided to {{ insert: param, at-03_odp.02 }} {{ insert: param, at-03_odp.03 }} thereafter;' links: - href: '#at-3_smt.a.1' rel: assessment-for links: - href: '#at-3_smt.a.1' rel: assessment-for - id: at-3_obj.a.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-03a.02 class: sp800-53a parts: - id: at-3_obj.a.2-1 name: assessment-objective props: - name: label value: AT-03a.02[01] class: sp800-53a prose: role-based security training is provided to personnel with assigned security roles and responsibilities when required by system changes; links: - href: '#at-3_smt.a.2' rel: assessment-for - id: at-3_obj.a.2-2 name: assessment-objective props: - name: label value: AT-03a.02[02] class: sp800-53a prose: role-based privacy training is provided to personnel with assigned security roles and responsibilities when required by system changes; links: - href: '#at-3_smt.a.2' rel: assessment-for links: - href: '#at-3_smt.a.2' rel: assessment-for links: - href: '#at-3_smt.a' rel: assessment-for - id: at-3_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AT-03b. class: sp800-53a parts: - id: at-3_obj.b-1 name: assessment-objective props: - name: label value: AT-03b.[01] class: sp800-53a prose: 'role-based training content is updated {{ insert: param, at-03_odp.04 }};' links: - href: '#at-3_smt.b' rel: assessment-for - id: at-3_obj.b-2 name: assessment-objective props: - name: label value: AT-03b.[02] class: sp800-53a prose: 'role-based training content is updated following {{ insert: param, at-03_odp.05 }};' links: - href: '#at-3_smt.b' rel: assessment-for links: - href: '#at-3_smt.b' rel: assessment-for - id: at-3_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-03c. class: sp800-53a prose: lessons learned from internal or external security incidents or breaches are incorporated into role-based training. links: - href: '#at-3_smt.c' rel: assessment-for links: - href: '#at-3_smt' rel: assessment-for - id: at-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AT-03-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System security plan privacy plan security and privacy awareness and training policy procedures addressing security and privacy training implementation codes of federal regulations security and privacy training curriculum security and privacy training materials training records other relevant documents or records' - id: at-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AT-03-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for role-based security and privacy training organizational personnel with assigned system security and privacy roles and responsibilities' - id: at-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AT-03-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms managing role-based security and privacy training - id: at-4 class: SP800-53 title: Training Records params: - id: at-04_odp props: - name: alt-identifier value: at-4_prm_1 - name: label value: AT-04_ODP class: sp800-53a label: time period constraints: - description: five (5) years or 5 years after completion of a specific training program guidelines: - prose: time period for retaining individual training records is defined; props: - name: label value: AT-04 class: zero-padded - name: label value: AT-4 - name: label value: AT-04 class: sp800-53a - name: sort-id value: at-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#cp-3' rel: related - href: '#ir-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-14 rel: related - href: '#si-12' rel: related parts: - id: at-4_smt name: statement parts: - id: at-4_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Document and monitor information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training; and - id: at-4_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Retain individual training records for {{ insert: param, at-04_odp }}.' - id: at-4_gdn name: guidance prose: Documentation for specialized training may be maintained by individual supervisors at the discretion of the organization. The National Archives and Records Administration provides guidance on records retention for federal agencies. - id: at-4_obj name: assessment-objective props: - name: label value: AT-04 class: sp800-53a parts: - id: at-4_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AT-04a. class: sp800-53a parts: - id: at-4_obj.a-1 name: assessment-objective props: - name: label value: AT-04a.[01] class: sp800-53a prose: information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training, are documented; links: - href: '#at-4_smt.a' rel: assessment-for - id: at-4_obj.a-2 name: assessment-objective props: - name: label value: AT-04a.[02] class: sp800-53a prose: information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training, are monitored; links: - href: '#at-4_smt.a' rel: assessment-for links: - href: '#at-4_smt.a' rel: assessment-for - id: at-4_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AT-04b. class: sp800-53a prose: 'individual training records are retained for {{ insert: param, at-04_odp }}.' links: - href: '#at-4_smt.b' rel: assessment-for links: - href: '#at-4_smt' rel: assessment-for - id: at-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AT-04-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Security and privacy awareness and training policy procedures addressing security and privacy training records security and privacy awareness and training records system security plan privacy plan other relevant documents or records' - id: at-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AT-04-Interview class: sp800-53a parts: - name: assessment-objects prose: Organizational personnel with information security and privacy training record retention responsibilities - id: at-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AT-04-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting the management of security and privacy training records - id: au class: family title: Audit and Accountability controls: - id: au-1 class: SP800-53 title: Policy and Procedures params: - id: au-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: au-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: au-01_odp.02 label: organization-defined personnel or roles - id: au-01_odp.01 props: - name: label value: AU-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the audit and accountability policy is to be disseminated is/are defined; - id: au-01_odp.02 props: - name: label value: AU-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the audit and accountability procedures are to be disseminated is/are defined; - id: au-01_odp.03 props: - name: alt-identifier value: au-1_prm_2 - name: label value: AU-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: au-01_odp.04 props: - name: alt-identifier value: au-1_prm_3 - name: label value: AU-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the audit and accountability policy and procedures is defined; - id: au-01_odp.05 props: - name: alt-identifier value: au-1_prm_4 - name: label value: AU-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current audit and accountability policy is reviewed and updated is defined; - id: au-01_odp.06 props: - name: alt-identifier value: au-1_prm_5 - name: label value: AU-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current audit and accountability policy to be reviewed and updated are defined; - id: au-01_odp.07 props: - name: alt-identifier value: au-1_prm_6 - name: label value: AU-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current audit and accountability procedures are reviewed and updated is defined; - id: au-01_odp.08 props: - name: alt-identifier value: au-1_prm_7 - name: label value: AU-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that would require audit and accountability procedures to be reviewed and updated are defined; props: - name: label value: AU-01 class: zero-padded - name: label value: AU-1 - name: label value: AU-01 class: sp800-53a - name: sort-id value: au-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ps-8' rel: related - href: '#si-12' rel: related parts: - id: au-1_smt name: statement parts: - id: au-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses Audit and Accountability MUST be associated with AU-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses Audit and Accountability MUST be associated with AU-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, au-1_prm_1 }}:' parts: - id: au-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, au-01_odp.03 }} audit and accountability policy that:' parts: - id: au-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: au-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: au-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls; - id: au-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, au-01_odp.04 }} to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and' - id: au-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current audit and accountability:' parts: - id: au-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, au-01_odp.05 }} and following {{ insert: param, au-01_odp.06 }} ; and' - id: au-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, au-01_odp.07 }} and following {{ insert: param, au-01_odp.08 }}.' - id: au-1_gdn name: guidance prose: Audit and accountability policy and procedures address the controls in the AU family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of audit and accountability policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to audit and accountability policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: au-1_obj name: assessment-objective props: - name: label value: AU-01 class: sp800-53a parts: - id: au-1_obj.a name: assessment-objective props: - name: label value: AU-01a. class: sp800-53a parts: - id: au-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AU-01a.[01] class: sp800-53a prose: an audit and accountability policy is developed and documented; links: - href: '#au-1_smt.a' rel: assessment-for - id: au-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AU-01a.[02] class: sp800-53a prose: 'the audit and accountability policy is disseminated to {{ insert: param, au-01_odp.01 }};' links: - href: '#au-1_smt.a' rel: assessment-for - id: au-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AU-01a.[03] class: sp800-53a prose: audit and accountability procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls are developed and documented; links: - href: '#au-1_smt.a' rel: assessment-for - id: au-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AU-01a.[04] class: sp800-53a prose: 'the audit and accountability procedures are disseminated to {{ insert: param, au-01_odp.02 }};' links: - href: '#au-1_smt.a' rel: assessment-for - id: au-1_obj.a.1 name: assessment-objective props: - name: label value: AU-01a.01 class: sp800-53a parts: - id: au-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AU-01a.01(a) class: sp800-53a parts: - id: au-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: AU-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses purpose;' links: - href: '#au-1_smt.a.1.a' rel: assessment-for - id: au-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: AU-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses scope;' links: - href: '#au-1_smt.a.1.a' rel: assessment-for - id: au-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: AU-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses roles;' links: - href: '#au-1_smt.a.1.a' rel: assessment-for - id: au-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: AU-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses responsibilities;' links: - href: '#au-1_smt.a.1.a' rel: assessment-for - id: au-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: AU-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses management commitment;' links: - href: '#au-1_smt.a.1.a' rel: assessment-for - id: au-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: AU-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses coordination among organizational entities;' links: - href: '#au-1_smt.a.1.a' rel: assessment-for - id: au-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: AU-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses compliance;' links: - href: '#au-1_smt.a.1.a' rel: assessment-for links: - href: '#au-1_smt.a.1.a' rel: assessment-for - id: au-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: AU-01a.01(b) class: sp800-53a prose: 'the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;' links: - href: '#au-1_smt.a.1.b' rel: assessment-for links: - href: '#au-1_smt.a.1' rel: assessment-for links: - href: '#au-1_smt.a' rel: assessment-for - id: au-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AU-01b. class: sp800-53a prose: 'the {{ insert: param, au-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the audit and accountability policy and procedures;' links: - href: '#au-1_smt.b' rel: assessment-for - id: au-1_obj.c name: assessment-objective props: - name: label value: AU-01c. class: sp800-53a parts: - id: au-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AU-01c.01 class: sp800-53a parts: - id: au-1_obj.c.1-1 name: assessment-objective props: - name: label value: AU-01c.01[01] class: sp800-53a prose: 'the current audit and accountability policy is reviewed and updated {{ insert: param, au-01_odp.05 }};' links: - href: '#au-1_smt.c.1' rel: assessment-for - id: au-1_obj.c.1-2 name: assessment-objective props: - name: label value: AU-01c.01[02] class: sp800-53a prose: 'the current audit and accountability policy is reviewed and updated following {{ insert: param, au-01_odp.06 }};' links: - href: '#au-1_smt.c.1' rel: assessment-for links: - href: '#au-1_smt.c.1' rel: assessment-for - id: au-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AU-01c.02 class: sp800-53a parts: - id: au-1_obj.c.2-1 name: assessment-objective props: - name: label value: AU-01c.02[01] class: sp800-53a prose: 'the current audit and accountability procedures are reviewed and updated {{ insert: param, au-01_odp.07 }};' links: - href: '#au-1_smt.c.2' rel: assessment-for - id: au-1_obj.c.2-2 name: assessment-objective props: - name: label value: AU-01c.02[02] class: sp800-53a prose: 'the current audit and accountability procedures are reviewed and updated following {{ insert: param, au-01_odp.08 }}.' links: - href: '#au-1_smt.c.2' rel: assessment-for links: - href: '#au-1_smt.c.2' rel: assessment-for links: - href: '#au-1_smt.c' rel: assessment-for links: - href: '#au-1_smt' rel: assessment-for - id: au-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy and procedures system security plan privacy plan other relevant documents or records' - id: au-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities' - id: au-2 class: SP800-53 title: Event Logging params: - id: au-2_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: au-02_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: au-02_odp.03 label: organization-defined event types (subset of the event types defined in [AU-2a.](#au-2_smt.a)) along with the frequency of (or situation requiring) logging for each identified event type - id: au-02_odp.01 props: - name: alt-identifier value: au-2_prm_1 - name: alt-label value: event types that the system is capable of logging class: sp800-53 - name: label value: AU-02_ODP[01] class: sp800-53a label: event types constraints: - description: 'successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes' guidelines: - prose: the event types that the system is capable of logging in support of the audit function are defined; - id: au-02_odp.02 props: - name: label value: AU-02_ODP[02] class: sp800-53a label: event types (subset of AU-02_ODP\[01\]) constraints: - description: organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event. guidelines: - prose: the event types (subset of AU-02_ODP\[01\]) for logging within the system are defined; - id: au-02_odp.03 props: - name: label value: AU-02_ODP[03] class: sp800-53a label: frequency or situation constraints: - description: organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event. guidelines: - prose: the frequency or situation requiring logging for each specified event type is defined; - id: au-02_odp.04 props: - name: alt-identifier value: au-2_prm_3 - name: label value: AU-02_ODP[04] class: sp800-53a label: frequency constraints: - description: annually and whenever there is a change in the threat environment guidelines: - prose: the frequency of event types selected for logging are reviewed and updated; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-02 class: zero-padded - name: label value: AU-2 - name: label value: AU-02 class: sp800-53a - name: sort-id value: au-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#5eee45d8-3313-4fdc-8d54-1742092bbdd6' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-6' rel: related - href: '#ac-7' rel: related - href: '#ac-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-16 rel: related - href: '#ac-17' rel: related - href: '#au-3' rel: related - href: '#au-4' rel: related - href: '#au-5' rel: related - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#au-11' rel: related - href: '#au-12' rel: related - href: '#cm-3' rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-13 rel: related - href: '#ia-3' rel: related - href: '#ma-4' rel: related - href: '#mp-4' rel: related - href: '#pe-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-21 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-2 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-7 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ra-8 rel: related - href: '#sa-8' rel: related - href: '#sc-7' rel: related - href: '#sc-18' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related - href: '#si-10' rel: related - href: '#si-11' rel: related parts: - id: au-2_smt name: statement parts: - id: au-2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Identify the types of events that the system is capable of logging in support of the audit function: {{ insert: param, au-02_odp.01 }};' - id: au-2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Coordinate the event logging function with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged; - id: au-2_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Specify the following event types for logging within the system: {{ insert: param, au-2_prm_2 }};' - id: au-2_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Provide a rationale for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents; and - id: au-2_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: 'Review and update the event types selected for logging {{ insert: param, au-02_odp.04 }}.' - id: au-2_gdn name: guidance prose: 'An event is an observable occurrence in a system. The types of events that require logging are those events that are significant and relevant to the security of systems and the privacy of individuals. Event logging also supports specific monitoring and auditing needs. Event types include password changes, failed logons or failed accesses related to systems, security or privacy attribute changes, administrative privilege usage, PIV credential usage, data action changes, query parameters, or external credential usage. In determining the set of event types that require logging, organizations consider the monitoring and auditing appropriate for each of the controls to be implemented. For completeness, event logging includes all protocols that are operational and supported by the system. To balance monitoring and auditing requirements with other system needs, event logging requires identifying the subset of event types that are logged at a given point in time. For example, organizations may determine that systems need the capability to log every file access successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. The types of events that organizations desire to be logged may change. Reviewing and updating the set of logged events is necessary to help ensure that the events remain relevant and continue to support the needs of the organization. Organizations consider how the types of logging events can reveal information about individuals that may give rise to privacy risk and how best to mitigate such risks. For example, there is the potential to reveal personally identifiable information in the audit trail, especially if the logging event is based on patterns or time of usage. Event logging requirements, including the need to log specific event types, may be referenced in other controls and control enhancements. These include [AC-2(4)](#ac-2.4), [AC-3(10)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-3.10), [AC-6(9)](#ac-6.9), [AC-17(1)](#ac-17.1), [CM-3f](#cm-3_smt.f), [CM-5(1)](#cm-5.1), [IA-3(3)(b)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-3.3_smt.b), [MA-4(1)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ma-4.1), [MP-4(2)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#mp-4.2), [PE-3](#pe-3), [PM-21](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-21), [PT-7](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-7), [RA-8](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ra-8), [SC-7(9)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-7.9), [SC-7(15)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-7.15), [SI-3(8)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-3.8), [SI-4(22)](#si-4.22), [SI-7(8)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-7.8) , and [SI-10(1)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-10.1) . Organizations include event types that are required by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Audit records can be generated at various levels, including at the packet level as information traverses the network. Selecting the appropriate level of event logging is an important part of a monitoring and auditing capability and can identify the root causes of problems. When defining event types, organizations consider the logging necessary to cover related event types, such as the steps in distributed, transaction-based processes and the actions that occur in service-oriented architectures.' - id: au-2_fr name: item ns: http://fedramp.gov/ns/oscal title: AU-2 Additional FedRAMP Requirements and Guidance parts: - id: au-2_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Coordination between service provider and consumer shall be documented and accepted by the AO. - id: au-2_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: '(e) Guidance:' prose: Annually or whenever changes in the threat environment are communicated to the service provider by the AO. - id: au-2_obj name: assessment-objective props: - name: label value: AU-02 class: sp800-53a parts: - id: au-2_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AU-02a. class: sp800-53a prose: '{{ insert: param, au-02_odp.01 }} that the system is capable of logging are identified in support of the audit logging function;' links: - href: '#au-2_smt.a' rel: assessment-for - id: au-2_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AU-02b. class: sp800-53a prose: the event logging function is coordinated with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged; links: - href: '#au-2_smt.b' rel: assessment-for - id: au-2_obj.c name: assessment-objective props: - name: label value: AU-02c. class: sp800-53a parts: - id: au-2_obj.c-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AU-02c.[01] class: sp800-53a prose: '{{ insert: param, au-02_odp.02 }} are specified for logging within the system;' links: - href: '#au-2_smt.c' rel: assessment-for - id: au-2_obj.c-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-02c.[02] class: sp800-53a prose: 'the specified event types are logged within the system {{ insert: param, au-02_odp.03 }};' links: - href: '#au-2_smt.c' rel: assessment-for links: - href: '#au-2_smt.c' rel: assessment-for - id: au-2_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AU-02d. class: sp800-53a prose: a rationale is provided for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents; links: - href: '#au-2_smt.d' rel: assessment-for - id: au-2_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-02e. class: sp800-53a prose: 'the event types selected for logging are reviewed and updated {{ insert: param, au-02_odp.04 }}.' links: - href: '#au-2_smt.e' rel: assessment-for links: - href: '#au-2_smt' rel: assessment-for - id: au-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy procedures addressing auditable events system security plan privacy plan system design documentation system configuration settings and associated documentation system audit records system auditable events other relevant documents or records' - id: au-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators' - id: au-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-02-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing system auditing - id: au-3 class: SP800-53 title: Content of Audit Records props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-03 class: zero-padded - name: label value: AU-3 - name: label value: AU-03 class: sp800-53a - name: sort-id value: au-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference - href: '#au-2' rel: related - href: '#au-8' rel: related - href: '#au-12' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-14 rel: related - href: '#ma-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pl-9 rel: related - href: '#sa-8' rel: related - href: '#si-7' rel: related - href: '#si-11' rel: related parts: - id: au-3_smt name: statement prose: 'Ensure that audit records contain information that establishes the following:' parts: - id: au-3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: What type of event occurred; - id: au-3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: When the event occurred; - id: au-3_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Where the event occurred; - id: au-3_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Source of the event; - id: au-3_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: Outcome of the event; and - id: au-3_smt.f name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: f. prose: Identity of any individuals, subjects, or objects/entities associated with the event. - id: au-3_gdn name: guidance prose: Audit record content that may be necessary to support the auditing function includes event descriptions (item a), time stamps (item b), source and destination addresses (item c), user or process identifiers (items d and f), success or fail indications (item e), and filenames involved (items a, c, e, and f) . Event outcomes include indicators of event success or failure and event-specific results, such as the system security and privacy posture after the event occurred. Organizations consider how audit records can reveal information about individuals that may give rise to privacy risks and how best to mitigate such risks. For example, there is the potential to reveal personally identifiable information in the audit trail, especially if the trail records inputs or is based on patterns or time of usage. - id: au-3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-03 class: sp800-53a parts: - id: au-3_obj.a name: assessment-objective props: - name: label value: AU-03a. class: sp800-53a prose: audit records contain information that establishes what type of event occurred; links: - href: '#au-3_smt.a' rel: assessment-for - id: au-3_obj.b name: assessment-objective props: - name: label value: AU-03b. class: sp800-53a prose: audit records contain information that establishes when the event occurred; links: - href: '#au-3_smt.b' rel: assessment-for - id: au-3_obj.c name: assessment-objective props: - name: label value: AU-03c. class: sp800-53a prose: audit records contain information that establishes where the event occurred; links: - href: '#au-3_smt.c' rel: assessment-for - id: au-3_obj.d name: assessment-objective props: - name: label value: AU-03d. class: sp800-53a prose: audit records contain information that establishes the source of the event; links: - href: '#au-3_smt.d' rel: assessment-for - id: au-3_obj.e name: assessment-objective props: - name: label value: AU-03e. class: sp800-53a prose: audit records contain information that establishes the outcome of the event; links: - href: '#au-3_smt.e' rel: assessment-for - id: au-3_obj.f name: assessment-objective props: - name: label value: AU-03f. class: sp800-53a prose: audit records contain information that establishes the identity of any individuals, subjects, or objects/entities associated with the event. links: - href: '#au-3_smt.f' rel: assessment-for links: - href: '#au-3_smt' rel: assessment-for - id: au-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-03-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy system security plan privacy plan procedures addressing content of audit records system design documentation system configuration settings and associated documentation list of organization-defined auditable events system audit records system incident reports other relevant documents or records' - id: au-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-03-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators' - id: au-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-03-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing system auditing of auditable events controls: - id: au-3.1 class: SP800-53-enhancement title: Additional Audit Information params: - id: au-03.01_odp props: - name: alt-identifier value: au-3.1_prm_1 - name: label value: AU-03(01)_ODP class: sp800-53a label: additional information constraints: - description: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands guidelines: - prose: additional information to be included in audit records is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-03(01) class: zero-padded - name: label value: AU-3(1) - name: label value: AU-03(01) class: sp800-53a - name: sort-id value: au-03.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-3' rel: required parts: - id: au-3.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Generate audit records containing the following additional information: {{ insert: param, au-03.01_odp }}.' - id: au-3.1_gdn name: guidance prose: The ability to add information generated in audit records is dependent on system functionality to configure the audit record content. Organizations may consider additional information in audit records including, but not limited to, access control or flow control rules invoked and individual identities of group account users. Organizations may also consider limiting additional audit record information to only information that is explicitly needed for audit requirements. This facilitates the use of audit trails and audit logs by not including information in audit records that could potentially be misleading, make it more difficult to locate information of interest, or increase the risk to individuals' privacy. - id: au-3.1_fr name: item ns: http://fedramp.gov/ns/oscal title: AU-3 (1) Additional FedRAMP Requirements and Guidance parts: - id: au-3.1_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry. - id: au-3.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-03(01) class: sp800-53a prose: 'generated audit records contain the following {{ insert: param, au-03.01_odp }}.' links: - href: '#au-3.1_smt' rel: assessment-for - id: au-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy procedures addressing content of audit records system security plan privacy plan system design documentation system configuration settings and associated documentation list of organization-defined auditable events system audit records other relevant documents or records' - id: au-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers' - id: au-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-03(01)-Test class: sp800-53a parts: - name: assessment-objects prose: system audit capability - id: au-4 class: SP800-53 title: Audit Log Storage Capacity params: - id: au-04_odp props: - name: alt-identifier value: au-4_prm_1 - name: label value: AU-04_ODP class: sp800-53a label: audit log retention requirements guidelines: - prose: audit log retention requirements are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-04 class: zero-padded - name: label value: AU-4 - name: label value: AU-04 class: sp800-53a - name: sort-id value: au-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-2' rel: related - href: '#au-5' rel: related - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#au-9' rel: related - href: '#au-11' rel: related - href: '#au-12' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-14 rel: related - href: '#si-4' rel: related parts: - id: au-4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Allocate audit log storage capacity to accommodate {{ insert: param, au-04_odp }}.' - id: au-4_gdn name: guidance prose: Organizations consider the types of audit logging to be performed and the audit log processing requirements when allocating audit log storage capacity. Allocating sufficient audit log storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of audit logging capability. - id: au-4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-04 class: sp800-53a prose: 'audit log storage capacity is allocated to accommodate {{ insert: param, au-04_odp }}.' links: - href: '#au-4_smt' rel: assessment-for - id: au-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-04-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy procedures addressing audit storage capacity system security plan privacy plan system design documentation system configuration settings and associated documentation audit record storage requirements audit record storage capability for system components system audit records other relevant documents or records' - id: au-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-04-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers' - id: au-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-04-Test class: sp800-53a parts: - name: assessment-objects prose: Audit record storage capacity and related configuration settings - id: au-5 class: SP800-53 title: Response to Audit Logging Process Failures params: - id: au-05_odp.01 props: - name: alt-identifier value: au-5_prm_1 - name: label value: AU-05_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles receiving audit logging process failure alerts are defined; - id: au-05_odp.02 props: - name: alt-identifier value: au-5_prm_2 - name: label value: AU-05_ODP[02] class: sp800-53a label: time period guidelines: - prose: time period for personnel or roles receiving audit logging process failure alerts is defined; - id: au-05_odp.03 props: - name: alt-identifier value: au-5_prm_3 - name: label value: AU-05_ODP[03] class: sp800-53a label: additional actions constraints: - description: overwrite oldest record guidelines: - prose: additional actions to be taken in the event of an audit logging process failure are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-05 class: zero-padded - name: label value: AU-5 - name: label value: AU-05 class: sp800-53a - name: sort-id value: au-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-2' rel: related - href: '#au-4' rel: related - href: '#au-7' rel: related - href: '#au-9' rel: related - href: '#au-11' rel: related - href: '#au-12' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-14 rel: related - href: '#si-4' rel: related - href: '#si-12' rel: related parts: - id: au-5_smt name: statement parts: - id: au-5_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Alert {{ insert: param, au-05_odp.01 }} within {{ insert: param, au-05_odp.02 }} in the event of an audit logging process failure; and' - id: au-5_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Take the following additional actions: {{ insert: param, au-05_odp.03 }}.' - id: au-5_gdn name: guidance prose: Audit logging process failures include software and hardware errors, failures in audit log capturing mechanisms, and reaching or exceeding audit log storage capacity. Organization-defined actions include overwriting oldest audit records, shutting down the system, and stopping the generation of audit records. Organizations may choose to define additional actions for audit logging process failures based on the type of failure, the location of the failure, the severity of the failure, or a combination of such factors. When the audit logging process failure is related to storage, the response is carried out for the audit log storage repository (i.e., the distinct system component where the audit logs are stored), the system on which the audit logs reside, the total audit log storage capacity of the organization (i.e., all audit log storage repositories combined), or all three. Organizations may decide to take no additional actions after alerting designated roles or personnel. - id: au-5_obj name: assessment-objective props: - name: label value: AU-05 class: sp800-53a parts: - id: au-5_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-05a. class: sp800-53a prose: '{{ insert: param, au-05_odp.01 }} are alerted in the event of an audit logging process failure within {{ insert: param, au-05_odp.02 }};' links: - href: '#au-5_smt.a' rel: assessment-for - id: au-5_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-05b. class: sp800-53a prose: '{{ insert: param, au-05_odp.03 }} are taken in the event of an audit logging process failure.' links: - href: '#au-5_smt.b' rel: assessment-for links: - href: '#au-5_smt' rel: assessment-for - id: au-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-05-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy procedures addressing response to audit processing failures system design documentation system security plan privacy plan system configuration settings and associated documentation list of personnel to be notified in case of an audit processing failure system audit records other relevant documents or records' - id: au-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-05-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers' - id: au-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-05-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing system response to audit processing failures controls: - id: au-5.1 class: SP800-53-enhancement title: Storage Capacity Warning params: - id: au-05.01_odp.01 props: - name: alt-identifier value: au-5.1_prm_1 - name: label value: AU-05(01)_ODP[01] class: sp800-53a label: personnel, roles, and/or locations guidelines: - prose: personnel, roles, and/or locations to be warned when allocated audit log storage volume reaches a percentage of repository maximum audit log storage capacity. - id: au-05.01_odp.02 props: - name: alt-identifier value: au-5.1_prm_2 - name: label value: AU-05(01)_ODP[02] class: sp800-53a label: time period guidelines: - prose: time period for defined personnel, roles, and/or locations to be warned when allocated audit log storage volume reaches a percentage of repository maximum audit log storage capacity is defined; - id: au-05.01_odp.03 props: - name: alt-identifier value: au-5.1_prm_3 - name: label value: AU-05(01)_ODP[03] class: sp800-53a label: percentage constraints: - description: 75%, or one month before expected negative impact guidelines: - prose: percentage of repository maximum audit log storage capacity is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-05(01) class: zero-padded - name: label value: AU-5(1) - name: label value: AU-05(01) class: sp800-53a - name: sort-id value: au-05.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-5' rel: required parts: - id: au-5.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Provide a warning to {{ insert: param, au-05.01_odp.01 }} within {{ insert: param, au-05.01_odp.02 }} when allocated audit log storage volume reaches {{ insert: param, au-05.01_odp.03 }} of repository maximum audit log storage capacity.' - id: au-5.1_gdn name: guidance prose: Organizations may have multiple audit log storage repositories distributed across multiple system components with each repository having different storage volume capacities. - id: au-5.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-05(01) class: sp800-53a prose: 'a warning is provided to {{ insert: param, au-05.01_odp.01 }} within {{ insert: param, au-05.01_odp.02 }} when allocated audit log storage volume reaches {{ insert: param, au-05.01_odp.03 }} of repository maximum audit log storage capacity.' links: - href: '#au-5.1_smt' rel: assessment-for - id: au-5.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-05(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy procedures addressing response to audit processing failures system design documentation system security plan privacy system configuration settings and associated documentation system audit records other relevant documents or records' - id: au-5.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-05(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers' - id: au-5.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-05(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing audit storage limit warnings - id: au-5.2 class: SP800-53-enhancement title: Real-time Alerts params: - id: au-05.02_odp.01 props: - name: alt-identifier value: au-5.2_prm_1 - name: label value: AU-05(02)_ODP[01] class: sp800-53a label: real-time period constraints: - description: real-time guidelines: - prose: real-time period requiring alerts when audit failure events (defined in AU-05(02)_ODP\[03\]) occur is defined; - id: au-05.02_odp.02 props: - name: alt-identifier value: au-5.2_prm_2 - name: label value: AU-05(02)_ODP[02] class: sp800-53a label: personnel, roles, and/or locations constraints: - description: service provider personnel with authority to address failed audit events guidelines: - prose: personnel, roles, and/or locations to be alerted in real time when audit failure events (defined in AU-05(02)_ODP\[03\]) occur is/are defined; - id: au-05.02_odp.03 props: - name: alt-identifier value: au-5.2_prm_3 - name: label value: AU-05(02)_ODP[03] class: sp800-53a label: audit logging failure events requiring real-time alerts constraints: - description: audit failure events requiring real-time alerts, as defined by organization audit policy guidelines: - prose: audit logging failure events requiring real-time alerts are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-05(02) class: zero-padded - name: label value: AU-5(2) - name: label value: AU-05(02) class: sp800-53a - name: sort-id value: au-05.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-5' rel: required parts: - id: au-5.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Provide an alert within {{ insert: param, au-05.02_odp.01 }} to {{ insert: param, au-05.02_odp.02 }} when the following audit failure events occur: {{ insert: param, au-05.02_odp.03 }}.' - id: au-5.2_gdn name: guidance prose: Alerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less). - id: au-5.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-05(02) class: sp800-53a prose: 'an alert is provided within {{ insert: param, au-05.02_odp.01 }} to {{ insert: param, au-05.02_odp.02 }} when {{ insert: param, au-05.02_odp.03 }} occur.' links: - href: '#au-5.2_smt' rel: assessment-for - id: au-5.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-05(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy procedures addressing response to audit processing failures system design documentation system security plan privacy plan system configuration settings and associated documentation system audit records other relevant documents or records' - id: au-5.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-05(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers' - id: au-6 class: SP800-53 title: Audit Record Review, Analysis, and Reporting params: - id: au-06_odp.01 props: - name: alt-identifier value: au-6_prm_1 - name: label value: AU-06_ODP[01] class: sp800-53a label: frequency constraints: - description: at least weekly guidelines: - prose: frequency at which system audit records are reviewed and analyzed is defined; - id: au-06_odp.02 props: - name: alt-identifier value: au-6_prm_2 - name: label value: AU-06_ODP[02] class: sp800-53a label: inappropriate or unusual activity guidelines: - prose: inappropriate or unusual activity is defined; - id: au-06_odp.03 props: - name: alt-identifier value: au-6_prm_3 - name: label value: AU-06_ODP[03] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to receive findings from reviews and analyses of system records is/are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-06 class: zero-padded - name: label value: AU-6 - name: label value: AU-06 class: sp800-53a - name: sort-id value: au-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#cfdb1858-c473-46b3-89f9-a700308d0be2' rel: reference - href: '#10cf2fad-a216-41f9-bb1a-531b7e3119e3' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-5' rel: related - href: '#ac-6' rel: related - href: '#ac-7' rel: related - href: '#ac-17' rel: related - href: '#au-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-16 rel: related - href: '#ca-2' rel: related - href: '#ca-7' rel: related - href: '#cm-2' rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: '#cm-10' rel: related - href: '#cm-11' rel: related - href: '#ia-2' rel: related - href: '#ia-3' rel: related - href: '#ia-5' rel: related - href: '#ia-8' rel: related - href: '#ir-5' rel: related - href: '#ma-4' rel: related - href: '#mp-4' rel: related - href: '#pe-3' rel: related - href: '#pe-6' rel: related - href: '#ra-5' rel: related - href: '#sa-8' rel: related - href: '#sc-7' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related parts: - id: au-6_smt name: statement parts: - id: au-6_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Review and analyze system audit records {{ insert: param, au-06_odp.01 }} for indications of {{ insert: param, au-06_odp.02 }} and the potential impact of the inappropriate or unusual activity;' - id: au-6_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Report findings to {{ insert: param, au-06_odp.03 }} ; and' - id: au-6_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Adjust the level of audit record review, analysis, and reporting within the system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information. - id: au-6_gdn name: guidance prose: Audit record review, analysis, and reporting covers information security- and privacy-related logging performed by organizations, including logging that results from the monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and non-local maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at system interfaces, and use of mobile code or Voice over Internet Protocol (VoIP). Findings can be reported to organizational entities that include the incident response team, help desk, and security or privacy offices. If organizations are prohibited from reviewing and analyzing audit records or unable to conduct such activities, the review or analysis may be carried out by other organizations granted such authority. The frequency, scope, and/or depth of the audit record review, analysis, and reporting may be adjusted to meet organizational needs based on new information received. - id: au-6_fr name: item ns: http://fedramp.gov/ns/oscal title: AU-6 Additional FedRAMP Requirements and Guidance parts: - id: au-6_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Coordination between service provider and consumer shall be documented and accepted by the AO. In multi-tenant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented. - id: au-6_obj name: assessment-objective props: - name: label value: AU-06 class: sp800-53a parts: - id: au-6_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-06a. class: sp800-53a prose: 'system audit records are reviewed and analyzed {{ insert: param, au-06_odp.01 }} for indications of {{ insert: param, au-06_odp.02 }} and the potential impact of the inappropriate or unusual activity;' links: - href: '#au-6_smt.a' rel: assessment-for - id: au-6_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-06b. class: sp800-53a prose: 'findings are reported to {{ insert: param, au-06_odp.03 }};' links: - href: '#au-6_smt.b' rel: assessment-for - id: au-6_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-06c. class: sp800-53a prose: the level of audit record review, analysis, and reporting within the system is adjusted when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information. links: - href: '#au-6_smt.c' rel: assessment-for links: - href: '#au-6_smt' rel: assessment-for - id: au-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-06-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy system security plan privacy plan procedures addressing audit review, analysis, and reporting reports of audit findings records of actions taken in response to reviews/analyses of audit records other relevant documents or records' - id: au-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-06-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit review, analysis, and reporting responsibilities organizational personnel with information security and privacy responsibilities' controls: - id: au-6.1 class: SP800-53-enhancement title: Automated Process Integration params: - id: au-06.01_odp props: - name: alt-identifier value: au-6.1_prm_1 - name: label value: AU-06(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used for integrating audit record review, analysis, and reporting processes are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-06(01) class: zero-padded - name: label value: AU-6(1) - name: label value: AU-06(01) class: sp800-53a - name: sort-id value: au-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#au-6' rel: required - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-7 rel: related parts: - id: au-6.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Integrate audit record review, analysis, and reporting processes using {{ insert: param, au-06.01_odp }}.' - id: au-6.1_gdn name: guidance prose: Organizational processes that benefit from integrated audit record review, analysis, and reporting include incident response, continuous monitoring, contingency planning, investigation and response to suspicious activities, and Inspector General audits. - id: au-6.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-06(01) class: sp800-53a prose: 'audit record review, analysis, and reporting processes are integrated using {{ insert: param, au-06.01_odp }}.' links: - href: '#au-6.1_smt' rel: assessment-for - id: au-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-06(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy system security plan privacy plan procedures addressing audit review, analysis, and reporting procedures addressing investigation and response to suspicious activities system design documentation system configuration settings and associated documentation system audit records other relevant documents or records' - id: au-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-06(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit review, analysis, and reporting responsibilities organizational personnel with information security and privacy responsibilities' - id: au-6.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-06(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms integrating audit review, analysis, and reporting processes - id: au-6.3 class: SP800-53-enhancement title: Correlate Audit Record Repositories props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-06(03) class: zero-padded - name: label value: AU-6(3) - name: label value: AU-06(03) class: sp800-53a - name: sort-id value: au-06.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#au-6' rel: required - href: '#au-12' rel: related - href: '#ir-4' rel: related parts: - id: au-6.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Analyze and correlate audit records across different repositories to gain organization-wide situational awareness. - id: au-6.3_gdn name: guidance prose: Organization-wide situational awareness includes awareness across all three levels of risk management (i.e., organizational level, mission/business process level, and information system level) and supports cross-organization awareness. - id: au-6.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-06(03) class: sp800-53a prose: audit records across different repositories are analyzed and correlated to gain organization-wide situational awareness. links: - href: '#au-6.3_smt' rel: assessment-for - id: au-6.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-06(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy system security plan privacy plan procedures addressing audit review, analysis, and reporting system design documentation system configuration settings and associated documentation system audit records across different repositories other relevant documents or records' - id: au-6.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-06(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit review, analysis, and reporting responsibilities organizational personnel with information security and privacy responsibilities' - id: au-6.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-06(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting the analysis and correlation of audit records - id: au-6.4 class: SP800-53-enhancement title: Central Review and Analysis props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-06(04) class: zero-padded - name: label value: AU-6(4) - name: label value: AU-06(04) class: sp800-53a - name: sort-id value: au-06.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#au-6' rel: required - href: '#au-2' rel: related - href: '#au-12' rel: related parts: - id: au-6.4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Provide and implement the capability to centrally review and analyze audit records from multiple components within the system. - id: au-6.4_gdn name: guidance prose: Automated mechanisms for centralized reviews and analyses include Security Information and Event Management products. - id: au-6.4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-06(04) class: sp800-53a parts: - id: au-6.4_obj-1 name: assessment-objective props: - name: label value: AU-06(04)[01] class: sp800-53a prose: the capability to centrally review and analyze audit records from multiple components within the system is provided; links: - href: '#au-6.4_smt' rel: assessment-for - id: au-6.4_obj-2 name: assessment-objective props: - name: label value: AU-06(04)[02] class: sp800-53a prose: the capability to centrally review and analyze audit records from multiple components within the system is implemented. links: - href: '#au-6.4_smt' rel: assessment-for links: - href: '#au-6.4_smt' rel: assessment-for - id: au-6.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-06(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy procedures addressing audit review, analysis, and reporting system design documentation system configuration settings and associated documentation system security plan privacy plan system audit records other relevant documents or records' - id: au-6.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-06(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit review, analysis, and reporting responsibilities organizational personnel with information security and privacy responsibilities system developers' - id: au-6.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-06(04)-Test class: sp800-53a parts: - name: assessment-objects prose: System capability to centralize review and analysis of audit records - id: au-6.5 class: SP800-53-enhancement title: Integrated Analysis of Audit Records params: - id: au-06.05_odp.01 props: - name: alt-identifier value: au-6.5_prm_1 - name: label value: AU-06(05)_ODP[01] class: sp800-53a constraints: - description: 'vulnerability scanning information; performance data; information system monitoring information; penetration test data; {{ insert: param, au-06.05_odp.02 }}' - id: au-06.05_odp.02 props: - name: alt-identifier value: au-6.5_prm_2 - name: label value: AU-06(05)_ODP[02] class: sp800-53a label: data/information collected from other sources guidelines: - prose: data/information collected from other sources to be analyzed is defined (if selected); props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-06(05) class: zero-padded - name: label value: AU-6(5) - name: label value: AU-06(05) class: sp800-53a - name: sort-id value: au-06.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#au-6' rel: required - href: '#au-12' rel: related - href: '#ir-4' rel: related parts: - id: au-6.5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Integrate analysis of audit records with analysis of {{ insert: param, au-06.05_odp.01 }} to further enhance the ability to identify inappropriate or unusual activity.' - id: au-6.5_gdn name: guidance prose: Integrated analysis of audit records does not require vulnerability scanning, the generation of performance data, or system monitoring. Rather, integrated analysis requires that the analysis of information generated by scanning, monitoring, or other data collection activities is integrated with the analysis of audit record information. Security Information and Event Management tools can facilitate audit record aggregation or consolidation from multiple system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans of the system and in correlating attack detection events with scanning results. Correlation with performance data can uncover denial-of-service attacks or other types of attacks that result in the unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations. - id: au-6.5_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-06(05) class: sp800-53a prose: 'analysis of audit records is integrated with analysis of {{ insert: param, au-06.05_odp.01 }} to further enhance the ability to identify inappropriate or unusual activity.' links: - href: '#au-6.5_smt' rel: assessment-for - id: au-6.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-06(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy system security plan privacy plan procedures addressing audit review, analysis, and reporting system design documentation system configuration settings and associated documentation integrated analysis of audit records, vulnerability scanning information, performance data, network monitoring information, and associated documentation other relevant documents or records' - id: au-6.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-06(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit review, analysis, and reporting responsibilities organizational personnel with information security and privacy responsibilities' - id: au-6.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-06(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing the capability to integrate analysis of audit records with analysis of data/information sources - id: au-6.6 class: SP800-53-enhancement title: Correlation with Physical Monitoring props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-06(06) class: zero-padded - name: label value: AU-6(6) - name: label value: AU-06(06) class: sp800-53a - name: sort-id value: au-06.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#au-6' rel: required parts: - id: au-6.6_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity. - id: au-6.6_gdn name: guidance prose: The correlation of physical audit record information and the audit records from systems may assist organizations in identifying suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual’s identity for logical access to certain systems with the additional physical security information that the individual was present at the facility when the logical access occurred may be useful in investigations. - id: au-6.6_fr name: item ns: http://fedramp.gov/ns/oscal title: AU-6 (6) Additional FedRAMP Requirements and Guidance parts: - id: au-6.6_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Coordination between service provider and consumer shall be documented and accepted by the AO. - id: au-6.6_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-06(06) class: sp800-53a prose: information from audit records is correlated with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity. links: - href: '#au-6.6_smt' rel: assessment-for - id: au-6.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-06(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy procedures addressing audit review, analysis, and reporting procedures addressing physical access monitoring system design documentation system configuration settings and associated documentation documentation providing evidence of correlated information obtained from audit records and physical access monitoring records system security plan privacy plan other relevant documents or records' - id: au-6.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-06(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit review, analysis, and reporting responsibilities organizational personnel with physical access monitoring responsibilities organizational personnel with information security and privacy responsibilities' - id: au-6.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-06(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing the capability to correlate information from audit records with information from monitoring physical access - id: au-6.7 class: SP800-53-enhancement title: Permitted Actions params: - id: au-06.07_odp props: - name: alt-identifier value: au-6.7_prm_1 - name: label value: AU-06(07)_ODP class: sp800-53a constraints: - description: information system process; role; user props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-06(07) class: zero-padded - name: label value: AU-6(7) - name: label value: AU-06(07) class: sp800-53a - name: sort-id value: au-06.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#au-6' rel: required parts: - id: au-6.7_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Specify the permitted actions for each {{ insert: param, au-06.07_odp }} associated with the review, analysis, and reporting of audit record information.' - id: au-6.7_gdn name: guidance prose: Organizations specify permitted actions for system processes, roles, and users associated with the review, analysis, and reporting of audit records through system account management activities. Specifying permitted actions on audit record information is a way to enforce the principle of least privilege. Permitted actions are enforced by the system and include read, write, execute, append, and delete. - id: au-6.7_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AU-06(07) class: sp800-53a prose: 'the permitted actions for each {{ insert: param, au-06.07_odp }} associated with the review, analysis, and reporting of audit record information are specified.' links: - href: '#au-6.7_smt' rel: assessment-for - id: au-6.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-06(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy procedures addressing process, role and/or user permitted actions from audit review, analysis, and reporting system security plan privacy plan other relevant documents or records' - id: au-6.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-06(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit review, analysis, and reporting responsibilities organizational personnel with information security and privacy responsibilities' - id: au-6.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-06(07)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting permitted actions for the review, analysis, and reporting of audit information - id: au-7 class: SP800-53 title: Audit Record Reduction and Report Generation props: - name: label value: AU-07 class: zero-padded - name: label value: AU-7 - name: label value: AU-07 class: sp800-53a - name: sort-id value: au-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ac-2' rel: related - href: '#au-2' rel: related - href: '#au-3' rel: related - href: '#au-4' rel: related - href: '#au-5' rel: related - href: '#au-6' rel: related - href: '#au-12' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-16 rel: related - href: '#cm-5' rel: related - href: '#ia-5' rel: related - href: '#ir-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-12 rel: related - href: '#si-4' rel: related parts: - id: au-7_smt name: statement prose: 'Provide and implement an audit record reduction and report generation capability that:' parts: - id: au-7_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents; and - id: au-7_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Does not alter the original content or time ordering of audit records. - id: au-7_gdn name: guidance prose: Audit record reduction is a process that manipulates collected audit log information and organizes it into a summary format that is more meaningful to analysts. Audit record reduction and report generation capabilities do not always emanate from the same system or from the same organizational entities that conduct audit logging activities. The audit record reduction capability includes modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the system can generate customizable reports. Time ordering of audit records can be an issue if the granularity of the timestamp in the record is insufficient. - id: au-7_obj name: assessment-objective props: - name: label value: AU-07 class: sp800-53a parts: - id: au-7_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-07a. class: sp800-53a parts: - id: au-7_obj.a-1 name: assessment-objective props: - name: label value: AU-07a.[01] class: sp800-53a prose: an audit record reduction and report generation capability is provided that supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents; links: - href: '#au-7_smt.a' rel: assessment-for - id: au-7_obj.a-2 name: assessment-objective props: - name: label value: AU-07a.[02] class: sp800-53a prose: an audit record reduction and report generation capability is implemented that supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents; links: - href: '#au-7_smt.a' rel: assessment-for links: - href: '#au-7_smt.a' rel: assessment-for - id: au-7_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-07b. class: sp800-53a parts: - id: au-7_obj.b-1 name: assessment-objective props: - name: label value: AU-07b.[01] class: sp800-53a prose: an audit record reduction and report generation capability is provided that does not alter the original content or time ordering of audit records; links: - href: '#au-7_smt.b' rel: assessment-for - id: au-7_obj.b-2 name: assessment-objective props: - name: label value: AU-07b.[02] class: sp800-53a prose: an audit record reduction and report generation capability is implemented that does not alter the original content or time ordering of audit records. links: - href: '#au-7_smt.b' rel: assessment-for links: - href: '#au-7_smt.b' rel: assessment-for links: - href: '#au-7_smt' rel: assessment-for - id: au-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-07-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy system security plan privacy plan procedures addressing audit reduction and report generation system design documentation system configuration settings and associated documentation audit reduction, review, analysis, and reporting tools system audit records other relevant documents or records' - id: au-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-07-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit reduction and report generation responsibilities organizational personnel with information security and privacy responsibilities' - id: au-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-07-Test class: sp800-53a parts: - name: assessment-objects prose: Audit reduction and report generation capability controls: - id: au-7.1 class: SP800-53-enhancement title: Automatic Processing params: - id: au-07.01_odp props: - name: alt-identifier value: au-7.1_prm_1 - name: label value: AU-07(01)_ODP class: sp800-53a label: fields within audit records guidelines: - prose: fields within audit records that can be processed, sorted, or searched are defined; props: - name: label value: AU-07(01) class: zero-padded - name: label value: AU-7(1) - name: label value: AU-07(01) class: sp800-53a - name: sort-id value: au-07.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#au-7' rel: required parts: - id: au-7.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Provide and implement the capability to process, sort, and search audit records for events of interest based on the following content: {{ insert: param, au-07.01_odp }}.' - id: au-7.1_gdn name: guidance prose: Events of interest can be identified by the content of audit records, including system resources involved, information objects accessed, identities of individuals, event types, event locations, event dates and times, Internet Protocol addresses involved, or event success or failure. Organizations may define event criteria to any degree of granularity required, such as locations selectable by a general networking location or by specific system component. - id: au-7.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-07(01) class: sp800-53a parts: - id: au-7.1_obj-1 name: assessment-objective props: - name: label value: AU-07(01)[01] class: sp800-53a prose: 'the capability to process, sort, and search audit records for events of interest based on {{ insert: param, au-07.01_odp }} are provided;' links: - href: '#au-7.1_smt' rel: assessment-for - id: au-7.1_obj-2 name: assessment-objective props: - name: label value: AU-07(01)[02] class: sp800-53a prose: 'the capability to process, sort, and search audit records for events of interest based on {{ insert: param, au-07.01_odp }} are implemented.' links: - href: '#au-7.1_smt' rel: assessment-for links: - href: '#au-7.1_smt' rel: assessment-for - id: au-7.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-07(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy system security plan privacy plan procedures addressing audit reduction and report generation system design documentation system configuration settings and associated documentation audit reduction, review, analysis, and reporting tools audit record criteria (fields) establishing events of interest system audit records other relevant documents or records' - id: au-7.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-07(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit reduction and report generation responsibilities organizational personnel with information security and privacy responsibilities system developers' - id: au-7.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-07(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Audit reduction and report generation capability - id: au-8 class: SP800-53 title: Time Stamps params: - id: au-08_odp props: - name: alt-identifier value: au-8_prm_1 - name: label value: AU-08_ODP class: sp800-53a label: granularity of time measurement constraints: - description: one second granularity of time measurement guidelines: - prose: granularity of time measurement for audit record timestamps is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-08 class: zero-padded - name: label value: AU-8 - name: label value: AU-08 class: sp800-53a - name: sort-id value: au-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-3' rel: related - href: '#au-12' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-14 rel: related - href: '#sc-45' rel: related parts: - id: au-8_smt name: statement parts: - id: au-8_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Use internal system clocks to generate time stamps for audit records; and - id: au-8_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Record time stamps for audit records that meet {{ insert: param, au-08_odp }} and that use Coordinated Universal Time, have a fixed local time offset from Coordinated Universal Time, or that include the local time offset as part of the time stamp.' - id: au-8_gdn name: guidance prose: Time stamps generated by the system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks (e.g., clocks synchronizing within hundreds of milliseconds or tens of milliseconds). Organizations may define different time granularities for different system components. Time service can 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. - id: au-8_obj name: assessment-objective props: - name: label value: AU-08 class: sp800-53a parts: - id: au-8_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-08a. class: sp800-53a prose: internal system clocks are used to generate timestamps for audit records; links: - href: '#au-8_smt.a' rel: assessment-for - id: au-8_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-08b. class: sp800-53a prose: 'timestamps are recorded for audit records that meet {{ insert: param, au-08_odp }} and that use Coordinated Universal Time, have a fixed local time offset from Coordinated Universal Time, or include the local time offset as part of the timestamp.' links: - href: '#au-8_smt.b' rel: assessment-for links: - href: '#au-8_smt' rel: assessment-for - id: au-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-08-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy system security plan privacy plan procedures addressing timestamp generation system design documentation system configuration settings and associated documentation system audit records other relevant documents or records' - id: au-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-08-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with information security and privacy responsibilities system/network administrators system developers' - id: au-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-08-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing timestamp generation - id: au-9 class: SP800-53 title: Protection of Audit Information params: - id: au-09_odp props: - name: alt-identifier value: au-9_prm_1 - name: label value: AU-09_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be alerted upon detection of unauthorized access, modification, or deletion of audit information is/are defined; props: - name: label value: AU-09 class: zero-padded - name: label value: AU-9 - name: label value: AU-09 class: sp800-53a - name: sort-id value: au-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#eea3c092-42ed-4382-a6f4-1adadef01b9d' rel: reference - href: '#a295ca19-8c75-4b4c-8800-98024732e181' rel: reference - href: '#ac-3' rel: related - href: '#ac-6' rel: related - href: '#au-6' rel: related - href: '#au-11' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-14 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-15 rel: related - href: '#mp-2' rel: related - href: '#mp-4' rel: related - href: '#pe-2' rel: related - href: '#pe-3' rel: related - href: '#pe-6' rel: related - href: '#sa-8' rel: related - href: '#sc-8' rel: related - href: '#si-4' rel: related parts: - id: au-9_smt name: statement parts: - id: au-9_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Protect audit information and audit logging tools from unauthorized access, modification, and deletion; and - id: au-9_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Alert {{ insert: param, au-09_odp }} upon detection of unauthorized access, modification, or deletion of audit information.' - id: au-9_gdn name: guidance prose: Audit information includes all information needed to successfully audit system activity, such as audit records, audit log settings, audit reports, and personally identifiable information. Audit logging tools are those programs and devices used to conduct system audit and logging activities. Protection of audit information focuses on technical protection and limits the ability to access and execute audit logging tools to authorized individuals. Physical protection of audit information is addressed by both media protection controls and physical and environmental protection controls. - id: au-9_obj name: assessment-objective props: - name: label value: AU-09 class: sp800-53a parts: - id: au-9_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-09a. class: sp800-53a prose: audit information and audit logging tools are protected from unauthorized access, modification, and deletion; links: - href: '#au-9_smt.a' rel: assessment-for - id: au-9_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-09b. class: sp800-53a prose: '{{ insert: param, au-09_odp }} are alerted upon detection of unauthorized access, modification, or deletion of audit information.' links: - href: '#au-9_smt.b' rel: assessment-for links: - href: '#au-9_smt' rel: assessment-for - id: au-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-09-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy system security plan privacy plan access control policy and procedures procedures addressing protection of audit information system design documentation system configuration settings and associated documentation system audit records audit tools other relevant documents or records' - id: au-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-09-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers' - id: au-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-09-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing audit information protection controls: - id: au-9.2 class: SP800-53-enhancement title: Store on Separate Physical Systems or Components params: - id: au-09.02_odp props: - name: alt-identifier value: au-9.2_prm_1 - name: label value: AU-09(02)_ODP class: sp800-53a label: frequency constraints: - description: at least weekly guidelines: - prose: the frequency of storing audit records in a repository is defined; props: - name: label value: AU-09(02) class: zero-padded - name: label value: AU-9(2) - name: label value: AU-09(02) class: sp800-53a - name: sort-id value: au-09.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-9' rel: required - href: '#au-4' rel: related - href: '#au-5' rel: related parts: - id: au-9.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Store audit records {{ insert: param, au-09.02_odp }} in a repository that is part of a physically different system or system component than the system or component being audited.' - id: au-9.2_gdn name: guidance prose: Storing audit records in a repository separate from the audited system or system component helps to ensure that a compromise of the system being audited does not also result in a compromise of the audit records. Storing audit records on separate physical systems or components also preserves the confidentiality and integrity of audit records and facilitates the management of audit records as an organization-wide activity. Storing audit records on separate systems or components applies to initial generation as well as backup or long-term storage of audit records. - id: au-9.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-09(02) class: sp800-53a prose: 'audit records are stored {{ insert: param, au-09.02_odp }} in a repository that is part of a physically different system or system component than the system or component being audited.' links: - href: '#au-9.2_smt' rel: assessment-for - id: au-9.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-09(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy system security plan privacy plan procedures addressing protection of audit information system design documentation system configuration settings and associated documentation system or media storing backups of system audit records system audit records other relevant documents or records' - id: au-9.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-09(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers' - id: au-9.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-09(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing the backing up of audit records - id: au-9.3 class: SP800-53-enhancement title: Cryptographic Protection props: - name: label value: AU-09(03) class: zero-padded - name: label value: AU-9(3) - name: label value: AU-09(03) class: sp800-53a - name: sort-id value: au-09.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-9' rel: required - href: '#au-10' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: au-9.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Implement cryptographic mechanisms to protect the integrity of audit information and audit tools. - id: au-9.3_gdn name: guidance prose: Cryptographic mechanisms used for protecting the integrity of audit information include signed hash functions using asymmetric cryptography. This enables the distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash. - id: au-9.3_fr name: item ns: http://fedramp.gov/ns/oscal title: AU-9 (3) Additional FedRAMP Requirements and Guidance parts: - id: au-9.3_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Note that this enhancement requires the use of cryptography which must be compliant with Federal requirements and utilize FIPS validated or NSA approved cryptography (see SC-13.) - id: au-9.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-09(03) class: sp800-53a prose: cryptographic mechanisms to protect the integrity of audit information and audit tools are implemented. links: - href: '#au-9.3_smt' rel: assessment-for - id: au-9.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-09(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy system security plan privacy plan access control policy and procedures procedures addressing protection of audit information system design documentation system hardware settings system configuration settings and associated documentation system audit records other relevant documents or records' - id: au-9.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-09(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers' - id: au-9.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-09(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Cryptographic mechanisms protecting the integrity of audit information and tools - id: au-9.4 class: SP800-53-enhancement title: Access by Subset of Privileged Users params: - id: au-09.04_odp props: - name: alt-identifier value: au-9.4_prm_1 - name: label value: AU-09(04)_ODP class: sp800-53a label: subset of privileged users or roles guidelines: - prose: a subset of privileged users or roles authorized to access management of audit logging functionality is defined; props: - name: label value: AU-09(04) class: zero-padded - name: label value: AU-9(4) - name: label value: AU-09(04) class: sp800-53a - name: sort-id value: au-09.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#au-9' rel: required - href: '#ac-5' rel: related parts: - id: au-9.4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Authorize access to management of audit logging functionality to only {{ insert: param, au-09.04_odp }}.' - id: au-9.4_gdn name: guidance prose: Individuals or roles with privileged access to a system and who are also the subject of an audit by that system may affect the reliability of the audit information by inhibiting audit activities or modifying audit records. Requiring privileged access to be further defined between audit-related privileges and other privileges limits the number of users or roles with audit-related privileges. - id: au-9.4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-09(04) class: sp800-53a prose: 'access to management of audit logging functionality is authorized only to {{ insert: param, au-09.04_odp }}.' links: - href: '#au-9.4_smt' rel: assessment-for - id: au-9.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-09(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy system security plan privacy plan access control policy and procedures procedures addressing protection of audit information system design documentation system configuration settings and associated documentation system-generated list of privileged users with access to management of audit functionality access authorizations access control list system audit records other relevant documents or records' - id: au-9.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-09(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators' - id: au-9.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-09(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms managing access to audit functionality - id: au-10 class: SP800-53 title: Non-repudiation params: - id: au-10_odp props: - name: alt-identifier value: au-10_prm_1 - name: alt-label value: actions to be covered by non-repudiation class: sp800-53 - name: label value: AU-10_ODP class: sp800-53a label: actions constraints: - description: minimum actions including the addition, modification, deletion, approval, sending, or receiving of data guidelines: - prose: actions to be covered by non-repudiation are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-10 class: zero-padded - name: label value: AU-10 - name: label value: AU-10 class: sp800-53a - name: sort-id value: au-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#eea3c092-42ed-4382-a6f4-1adadef01b9d' rel: reference - href: '#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1' rel: reference - href: '#a295ca19-8c75-4b4c-8800-98024732e181' rel: reference - href: '#1c71b420-2bd9-4e52-9fc8-390f58b85b59' rel: reference - href: '#au-9' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-12 rel: related - href: '#sa-8' rel: related - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-16 rel: related - href: '#sc-17' rel: related - href: '#sc-23' rel: related parts: - id: au-10_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Provide irrefutable evidence that an individual (or process acting on behalf of an individual) has performed {{ insert: param, au-10_odp }}.' - id: au-10_gdn name: guidance prose: Types of individual actions covered by non-repudiation include creating information, sending and receiving messages, and approving information. Non-repudiation protects against claims by authors of not having authored certain documents, senders of not having transmitted messages, receivers of not having received messages, and signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from an individual or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request, or receiving specific information). Organizations obtain non-repudiation services by employing various techniques or mechanisms, including digital signatures and digital message receipts. - id: au-10_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-10 class: sp800-53a prose: 'irrefutable evidence is provided that an individual (or process acting on behalf of an individual) has performed {{ insert: param, au-10_odp }}.' links: - href: '#au-10_smt' rel: assessment-for - id: au-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-10-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy system security plan privacy plan procedures addressing non-repudiation system design documentation system configuration settings and associated documentation system audit records other relevant documents or records' - id: au-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-10-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with information security and privacy responsibilities system/network administrators system developers' - id: au-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-10-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing non-repudiation capability - id: au-11 class: SP800-53 title: Audit Record Retention params: - id: au-11_odp props: - name: alt-identifier value: au-11_prm_1 - name: alt-label value: time period consistent with records retention policy class: sp800-53 - name: label value: AU-11_ODP class: sp800-53a label: time period constraints: - description: a time period in compliance with M-21-31 guidelines: - prose: a time period to retain audit records that is consistent with the records retention policy is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-11 class: zero-padded - name: label value: AU-11 - name: label value: AU-11 class: sp800-53a - name: sort-id value: au-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#au-2' rel: related - href: '#au-4' rel: related - href: '#au-5' rel: related - href: '#au-6' rel: related - href: '#au-9' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-14 rel: related - href: '#mp-6' rel: related - href: '#ra-5' rel: related - href: '#si-12' rel: related parts: - id: au-11_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Retain audit records for {{ insert: param, au-11_odp }} to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements.' - id: au-11_gdn name: guidance prose: Organizations retain audit records until it is determined that the records are no longer needed for administrative, legal, audit, or other operational purposes. This includes the 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 records retention. - id: au-11_fr name: item ns: http://fedramp.gov/ns/oscal title: AU-11 Additional FedRAMP Requirements and Guidance parts: - id: au-11_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements. - id: au-11_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: The service provider must support Agency requirements to comply with M-21-31 (https://www.whitehouse.gov/wp-content/uploads/2021/08/M-21-31-Improving-the-Federal-Governments-Investigative-and-Remediation-Capabilities-Related-to-Cybersecurity-Incidents.pdf) - id: au-11_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: The service provider is encouraged to align with M-21-31 where possible - id: au-11_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-11 class: sp800-53a prose: 'audit records are retained for {{ insert: param, au-11_odp }} to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements.' links: - href: '#au-11_smt' rel: assessment-for - id: au-11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-11-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy system security plan privacy plan audit record retention policy and procedures security plan organization-defined retention period for audit records audit record archives audit logs audit records other relevant documents or records' - id: au-11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-11-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit record retention responsibilities organizational personnel with information security and privacy responsibilities system/network administrators' - id: au-12 class: SP800-53 title: Audit Record Generation params: - id: au-12_odp.01 props: - name: alt-identifier value: au-12_prm_1 - name: label value: AU-12_ODP[01] class: sp800-53a label: system components constraints: - description: all information system and network components where audit capability is deployed/available guidelines: - prose: system components that provide an audit record generation capability for the events types (defined in AU-02_ODP\[02\]) are defined; - id: au-12_odp.02 props: - name: alt-identifier value: au-12_prm_2 - name: label value: AU-12_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles allowed to select the event types that are to be logged by specific components of the system is/are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-12 class: zero-padded - name: label value: AU-12 - name: label value: AU-12 class: sp800-53a - name: sort-id value: au-12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-6' rel: related - href: '#ac-17' rel: related - href: '#au-2' rel: related - href: '#au-3' rel: related - href: '#au-4' rel: related - href: '#au-5' rel: related - href: '#au-6' rel: related - href: '#au-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-14 rel: related - href: '#cm-5' rel: related - href: '#ma-4' rel: related - href: '#mp-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-12 rel: related - href: '#sa-8' rel: related - href: '#sc-18' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related - href: '#si-10' rel: related parts: - id: au-12_smt name: statement parts: - id: au-12_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Provide audit record generation capability for the event types the system is capable of auditing as defined in [AU-2a](#au-2_smt.a) on {{ insert: param, au-12_odp.01 }};' - id: au-12_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Allow {{ insert: param, au-12_odp.02 }} to select the event types that are to be logged by specific components of the system; and' - id: au-12_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Generate audit records for the event types defined in [AU-2c](#au-2_smt.c) that include the audit record content defined in [AU-3](#au-3). - id: au-12_gdn name: guidance prose: Audit records can be generated from many different system components. The event types specified in [AU-2d](#au-2_smt.d) are the event types for which audit logs are to be generated and are a subset of all event types for which the system can generate audit records. - id: au-12_obj name: assessment-objective props: - name: label value: AU-12 class: sp800-53a parts: - id: au-12_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AU-12a. class: sp800-53a prose: 'audit record generation capability for the event types the system is capable of auditing (defined in AU-02_ODP\[01\]) is provided by {{ insert: param, au-12_odp.01 }};' links: - href: '#au-12_smt.a' rel: assessment-for - id: au-12_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: AU-12b. class: sp800-53a prose: '{{ insert: param, au-12_odp.02 }} is/are allowed to select the event types that are to be logged by specific components of the system;' links: - href: '#au-12_smt.b' rel: assessment-for - id: au-12_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-12c. class: sp800-53a prose: audit records for the event types defined in AU-02_ODP\[02\] that include the audit record content defined in AU-03 are generated. links: - href: '#au-12_smt.c' rel: assessment-for links: - href: '#au-12_smt' rel: assessment-for - id: au-12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-12-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy procedures addressing audit record generation system security plan privacy plan system design documentation system configuration settings and associated documentation list of auditable events system audit records other relevant documents or records' - id: au-12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-12-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit record generation responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers' - id: au-12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-12-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing audit record generation capability controls: - id: au-12.1 class: SP800-53-enhancement title: System-wide and Time-correlated Audit Trail params: - id: au-12.01_odp.01 props: - name: alt-identifier value: au-12.1_prm_1 - name: label value: AU-12(01)_ODP[01] class: sp800-53a label: system components constraints: - description: all network, data storage, and computing devices guidelines: - prose: system components from which audit records are to be compiled into a system-wide (logical or physical) audit trail are defined; - id: au-12.01_odp.02 props: - name: alt-identifier value: au-12.1_prm_2 - name: alt-label value: level of tolerance for the relationship between time stamps of individual records in the audit trail class: sp800-53 - name: label value: AU-12(01)_ODP[02] class: sp800-53a label: level of tolerance guidelines: - prose: level of tolerance for the relationship between timestamps of individual records in the audit trail is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-12(01) class: zero-padded - name: label value: AU-12(1) - name: label value: AU-12(01) class: sp800-53a - name: sort-id value: au-12.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-12' rel: required - href: '#au-8' rel: related - href: '#sc-45' rel: related parts: - id: au-12.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Compile audit records from {{ insert: param, au-12.01_odp.01 }} into a system-wide (logical or physical) audit trail that is time-correlated to within {{ insert: param, au-12.01_odp.02 }}.' - id: au-12.1_gdn name: guidance prose: Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances. - id: au-12.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-12(01) class: sp800-53a prose: 'audit records from {{ insert: param, au-12.01_odp.01 }} are compiled into a system-wide (logical or physical) audit trail that is time-correlated to within {{ insert: param, au-12.01_odp.02 }}.' links: - href: '#au-12.1_smt' rel: assessment-for - id: au-12.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-12(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy system security plan privacy plan procedures addressing audit record generation system design documentation system configuration settings and associated documentation system-wide audit trail (logical or physical) system audit records other relevant documents or records' - id: au-12.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-12(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit record generation responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers' - id: au-12.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-12(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing audit record generation capability - id: au-12.3 class: SP800-53-enhancement title: Changes by Authorized Individuals params: - id: au-12.03_odp.01 props: - name: alt-identifier value: au-12.3_prm_1 - name: label value: AU-12(03)_ODP[01] class: sp800-53a label: individuals or roles constraints: - description: service provider-defined individuals or roles with audit configuration responsibilities guidelines: - prose: individuals or roles authorized to change the logging on system components are defined; - id: au-12.03_odp.02 props: - name: alt-identifier value: au-12.3_prm_2 - name: label value: AU-12(03)_ODP[02] class: sp800-53a label: system components constraints: - description: all network, data storage, and computing devices guidelines: - prose: system components on which logging is to be performed are defined; - id: au-12.03_odp.03 props: - name: alt-identifier value: au-12.3_prm_3 - name: label value: AU-12(03)_ODP[03] class: sp800-53a label: selectable event criteria guidelines: - prose: selectable event criteria with which change logging is to be performed are defined; - id: au-12.03_odp.04 props: - name: alt-identifier value: au-12.3_prm_4 - name: label value: AU-12(03)_ODP[04] class: sp800-53a label: time thresholds guidelines: - prose: time thresholds in which logging actions are to change is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: AU-12(03) class: zero-padded - name: label value: AU-12(3) - name: label value: AU-12(03) class: sp800-53a - name: sort-id value: au-12.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-12' rel: required - href: '#ac-3' rel: related parts: - id: au-12.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Provide and implement the capability for {{ insert: param, au-12.03_odp.01 }} to change the logging to be performed on {{ insert: param, au-12.03_odp.02 }} based on {{ insert: param, au-12.03_odp.03 }} within {{ insert: param, au-12.03_odp.04 }}.' - id: au-12.3_gdn name: guidance prose: Permitting authorized individuals to make changes to system logging enables organizations to extend or limit logging as necessary to meet organizational requirements. Logging that is limited to conserve system resources may be extended (either temporarily or permanently) to address certain threat situations. In addition, logging may be limited to a specific set of event types to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which logging actions are changed (e.g., near real-time, within minutes, or within hours). - id: au-12.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: AU-12(03) class: sp800-53a parts: - id: au-12.3_obj-1 name: assessment-objective props: - name: label value: AU-12(03)[01] class: sp800-53a prose: 'the capability for {{ insert: param, au-12.03_odp.01 }} to change the logging to be performed on {{ insert: param, au-12.03_odp.02 }} based on {{ insert: param, au-12.03_odp.03 }} within {{ insert: param, au-12.03_odp.04 }} is provided;' links: - href: '#au-12.3_smt' rel: assessment-for - id: au-12.3_obj-2 name: assessment-objective props: - name: label value: AU-12(03)[02] class: sp800-53a prose: 'the capability for {{ insert: param, au-12.03_odp.01 }} to change the logging to be performed on {{ insert: param, au-12.03_odp.02 }} based on {{ insert: param, au-12.03_odp.03 }} within {{ insert: param, au-12.03_odp.04 }} is implemented.' links: - href: '#au-12.3_smt' rel: assessment-for links: - href: '#au-12.3_smt' rel: assessment-for - id: au-12.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-12(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Audit and accountability policy system security plan privacy plan procedures addressing audit record generation system design documentation system configuration settings and associated documentation system-generated list of individuals or roles authorized to change auditing to be performed system audit records other relevant documents or records' - id: au-12.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-12(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with audit record generation responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers' - id: au-12.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-12(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing audit record generation capability - id: ca class: family title: Assessment, Authorization, and Monitoring controls: - id: ca-1 class: SP800-53 title: Policy and Procedures params: - id: ca-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ca-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ca-01_odp.02 label: organization-defined personnel or roles - id: ca-01_odp.01 props: - name: label value: CA-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the assessment, authorization, and monitoring policy is to be disseminated is/are defined; - id: ca-01_odp.02 props: - name: label value: CA-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the assessment, authorization, and monitoring procedures are to be disseminated is/are defined; - id: ca-01_odp.03 props: - name: alt-identifier value: ca-1_prm_2 - name: label value: CA-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: ca-01_odp.04 props: - name: alt-identifier value: ca-1_prm_3 - name: label value: CA-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the assessment, authorization, and monitoring policy and procedures is defined; - id: ca-01_odp.05 props: - name: alt-identifier value: ca-1_prm_4 - name: label value: CA-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current assessment, authorization, and monitoring policy is reviewed and updated is defined; - id: ca-01_odp.06 props: - name: alt-identifier value: ca-1_prm_5 - name: label value: CA-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current assessment, authorization, and monitoring policy to be reviewed and updated are defined; - id: ca-01_odp.07 props: - name: alt-identifier value: ca-1_prm_6 - name: label value: CA-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current assessment, authorization, and monitoring procedures are reviewed and updated is defined; - id: ca-01_odp.08 props: - name: alt-identifier value: ca-1_prm_7 - name: label value: CA-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that would require assessment, authorization, and monitoring procedures to be reviewed and updated are defined; props: - name: label value: CA-01 class: zero-padded - name: label value: CA-1 - name: label value: CA-01 class: sp800-53a - name: sort-id value: ca-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: '#067223d8-1ec7-45c5-b21b-c848da6de8fb' rel: reference - href: '#62ea77ca-e450-4323-b210-e0d75390e785' rel: reference - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ps-8' rel: related - href: '#si-12' rel: related parts: - id: ca-1_smt name: statement parts: - id: ca-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses Assessment, Authorization, and Monitoring MUST be associated with CA-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses Assessment, Authorization, and Monitoring MUST be associated with CA-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, ca-1_prm_1 }}:' parts: - id: ca-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy that:' parts: - id: ca-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: ca-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: ca-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and the associated assessment, authorization, and monitoring controls; - id: ca-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, ca-01_odp.04 }} to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures; and' - id: ca-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current assessment, authorization, and monitoring:' parts: - id: ca-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, ca-01_odp.05 }} and following {{ insert: param, ca-01_odp.06 }} ; and' - id: ca-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, ca-01_odp.07 }} and following {{ insert: param, ca-01_odp.08 }}.' - id: ca-1_gdn name: guidance prose: Assessment, authorization, and monitoring policy and procedures address the controls in the CA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of assessment, authorization, and monitoring policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to assessment, authorization, and monitoring policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: ca-1_obj name: assessment-objective props: - name: label value: CA-01 class: sp800-53a parts: - id: ca-1_obj.a name: assessment-objective props: - name: label value: CA-01a. class: sp800-53a parts: - id: ca-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-01a.[01] class: sp800-53a prose: an assessment, authorization, and monitoring policy is developed and documented; links: - href: '#ca-1_smt.a' rel: assessment-for - id: ca-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-01a.[02] class: sp800-53a prose: 'the assessment, authorization, and monitoring policy is disseminated to {{ insert: param, ca-01_odp.01 }};' links: - href: '#ca-1_smt.a' rel: assessment-for - id: ca-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CA-01a.[03] class: sp800-53a prose: assessment, authorization, and monitoring procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and associated assessment, authorization, and monitoring controls are developed and documented; links: - href: '#ca-1_smt.a' rel: assessment-for - id: ca-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CA-01a.[04] class: sp800-53a prose: 'the assessment, authorization, and monitoring procedures are disseminated to {{ insert: param, ca-01_odp.02 }};' links: - href: '#ca-1_smt.a' rel: assessment-for - id: ca-1_obj.a.1 name: assessment-objective props: - name: label value: CA-01a.01 class: sp800-53a parts: - id: ca-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CA-01a.01(a) class: sp800-53a parts: - id: ca-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: CA-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses purpose;' links: - href: '#ca-1_smt.a.1.a' rel: assessment-for - id: ca-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: CA-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses scope;' links: - href: '#ca-1_smt.a.1.a' rel: assessment-for - id: ca-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: CA-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses roles;' links: - href: '#ca-1_smt.a.1.a' rel: assessment-for - id: ca-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: CA-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses responsibilities;' links: - href: '#ca-1_smt.a.1.a' rel: assessment-for - id: ca-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: CA-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses management commitment;' links: - href: '#ca-1_smt.a.1.a' rel: assessment-for - id: ca-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: CA-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses coordination among organizational entities;' links: - href: '#ca-1_smt.a.1.a' rel: assessment-for - id: ca-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: CA-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses compliance;' links: - href: '#ca-1_smt.a.1.a' rel: assessment-for links: - href: '#ca-1_smt.a.1.a' rel: assessment-for - id: ca-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CA-01a.01(b) class: sp800-53a prose: 'the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;' links: - href: '#ca-1_smt.a.1.b' rel: assessment-for links: - href: '#ca-1_smt.a.1' rel: assessment-for links: - href: '#ca-1_smt.a' rel: assessment-for - id: ca-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-01b. class: sp800-53a prose: 'the {{ insert: param, ca-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures;' links: - href: '#ca-1_smt.b' rel: assessment-for - id: ca-1_obj.c name: assessment-objective props: - name: label value: CA-01c. class: sp800-53a parts: - id: ca-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-01c.01 class: sp800-53a parts: - id: ca-1_obj.c.1-1 name: assessment-objective props: - name: label value: CA-01c.01[01] class: sp800-53a prose: 'the current assessment, authorization, and monitoring policy is reviewed and updated {{ insert: param, ca-01_odp.05 }};' links: - href: '#ca-1_smt.c.1' rel: assessment-for - id: ca-1_obj.c.1-2 name: assessment-objective props: - name: label value: CA-01c.01[02] class: sp800-53a prose: 'the current assessment, authorization, and monitoring policy is reviewed and updated following {{ insert: param, ca-01_odp.06 }};' links: - href: '#ca-1_smt.c.1' rel: assessment-for links: - href: '#ca-1_smt.c.1' rel: assessment-for - id: ca-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-01c.02 class: sp800-53a parts: - id: ca-1_obj.c.2-1 name: assessment-objective props: - name: label value: CA-01c.02[01] class: sp800-53a prose: 'the current assessment, authorization, and monitoring procedures are reviewed and updated {{ insert: param, ca-01_odp.07 }};' links: - href: '#ca-1_smt.c.2' rel: assessment-for - id: ca-1_obj.c.2-2 name: assessment-objective props: - name: label value: CA-01c.02[02] class: sp800-53a prose: 'the current assessment, authorization, and monitoring procedures are reviewed and updated following {{ insert: param, ca-01_odp.08 }}.' links: - href: '#ca-1_smt.c.2' rel: assessment-for links: - href: '#ca-1_smt.c.2' rel: assessment-for links: - href: '#ca-1_smt.c' rel: assessment-for links: - href: '#ca-1_smt' rel: assessment-for - id: ca-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Assessment, authorization, and monitoring policy and procedures system security plan privacy plan other relevant documents or records' - id: ca-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with assessment, authorization, and monitoring policy responsibilities organizational personnel with information security and privacy responsibilities' - id: ca-2 class: SP800-53 title: Control Assessments params: - id: ca-02_odp.01 props: - name: alt-identifier value: ca-2_prm_1 - name: alt-label value: frequency class: sp800-53 - name: label value: CA-02_ODP[01] class: sp800-53a label: assessment frequency constraints: - description: at least annually guidelines: - prose: the frequency at which to assess controls in the system and its environment of operation is defined; - id: ca-02_odp.02 props: - name: alt-identifier value: ca-2_prm_2 - name: label value: CA-02_ODP[02] class: sp800-53a label: individuals or roles constraints: - description: individuals or roles to include FedRAMP PMO guidelines: - prose: individuals or roles to whom control assessment results are to be provided are defined; props: - name: label value: CA-02 class: zero-padded - name: label value: CA-2 - name: label value: CA-02 class: sp800-53a - name: sort-id value: ca-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#30eb758a-2707-4bca-90ad-949a74d4eb16' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d' rel: reference - href: '#122177fa-c4ed-485d-8345-3082c0fb9a06' rel: reference - href: '#067223d8-1ec7-45c5-b21b-c848da6de8fb' rel: reference - href: '#bbac9fc2-df5b-4f2d-bf99-90d0ade45349' rel: reference - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference - href: '#ac-20' rel: related - href: '#ca-5' rel: related - href: '#ca-6' rel: related - href: '#ca-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ra-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ra-10 rel: related - href: '#sa-11' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-38 rel: related - href: '#si-3' rel: related - href: '#si-12' rel: related - href: '#sr-2' rel: related - href: '#sr-3' rel: related parts: - id: ca-2_smt name: statement parts: - id: ca-2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Select the appropriate assessor or assessment team for the type of assessment to be conducted; - id: ca-2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Develop a control assessment plan that describes the scope of the assessment including:' parts: - id: ca-2_smt.b.1 name: item props: - name: label value: '1.' prose: Controls and control enhancements under assessment; - id: ca-2_smt.b.2 name: item props: - name: label value: '2.' prose: Assessment procedures to be used to determine control effectiveness; and - id: ca-2_smt.b.3 name: item props: - name: label value: '3.' prose: Assessment environment, assessment team, and assessment roles and responsibilities; - id: ca-2_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Ensure the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment; - id: ca-2_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: 'Assess the controls in the system and its environment of operation {{ insert: param, ca-02_odp.01 }} to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security and privacy requirements;' - id: ca-2_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: Produce a control assessment report that document the results of the assessment; and - id: ca-2_smt.f name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: f. prose: 'Provide the results of the control assessment to {{ insert: param, ca-02_odp.02 }}.' - id: ca-2_gdn name: guidance prose: 'Organizations ensure that control assessors possess the required skills and technical expertise to develop effective assessment plans and to conduct assessments of system-specific, hybrid, common, and program management controls, as appropriate. The required skills include general knowledge of risk management concepts and approaches as well as comprehensive knowledge of and experience with the hardware, software, and firmware system components implemented. Organizations assess controls in systems and the environments in which those systems operate as part of initial and ongoing authorizations, continuous monitoring, FISMA annual assessments, system design and development, systems security engineering, privacy engineering, and the system development life cycle. Assessments help to ensure that organizations meet information security and privacy requirements, identify weaknesses and deficiencies in the system design and development process, provide essential information needed to make risk-based decisions as part of authorization processes, and comply with vulnerability mitigation procedures. Organizations conduct assessments on the implemented controls as documented in security and privacy plans. Assessments can also be conducted throughout the system development life cycle as part of systems engineering and systems security engineering processes. The design for controls can be assessed as RFPs are developed, responses assessed, and design reviews conducted. If a design to implement controls and subsequent implementation in accordance with the design are assessed during development, the final control testing can be a simple confirmation utilizing previously completed control assessment and aggregating the outcomes. Organizations may develop a single, consolidated security and privacy assessment plan for the system or maintain separate plans. A consolidated assessment plan clearly delineates the roles and responsibilities for control assessment. If multiple organizations participate in assessing a system, a coordinated approach can reduce redundancies and associated costs. Organizations can use other types of assessment activities, such as vulnerability scanning and system monitoring, to maintain the security and privacy posture of systems during the system life cycle. Assessment reports document assessment results in sufficient detail, as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting requirements. Assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of authorization decisions are provided to authorizing officials, senior agency officials for privacy, senior agency information security officers, and authorizing official designated representatives. To satisfy annual assessment requirements, organizations can use assessment results from the following sources: initial or ongoing system authorizations, continuous monitoring, systems engineering processes, or system development life cycle activities. Organizations ensure that assessment results are current, relevant to the determination of control effectiveness, and obtained with the appropriate level of assessor independence. Existing control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. After the initial authorizations, organizations assess controls during continuous monitoring. Organizations also establish the frequency for ongoing assessments in accordance with organizational continuous monitoring strategies. External audits, including audits by external entities such as regulatory agencies, are outside of the scope of [CA-2](#ca-2).' - id: ca-2_fr name: item ns: http://fedramp.gov/ns/oscal title: CA-2 Additional FedRAMP Requirements and Guidance parts: - id: ca-2_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Reference FedRAMP Annual Assessment Guidance. - id: ca-2_obj name: assessment-objective props: - name: label value: CA-02 class: sp800-53a parts: - id: ca-2_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CA-02a. class: sp800-53a prose: an appropriate assessor or assessment team is selected for the type of assessment to be conducted; links: - href: '#ca-2_smt.a' rel: assessment-for - id: ca-2_obj.b name: assessment-objective props: - name: label value: CA-02b. class: sp800-53a parts: - id: ca-2_obj.b.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-02b.01 class: sp800-53a prose: a control assessment plan is developed that describes the scope of the assessment, including controls and control enhancements under assessment; links: - href: '#ca-2_smt.b.1' rel: assessment-for - id: ca-2_obj.b.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-02b.02 class: sp800-53a prose: a control assessment plan is developed that describes the scope of the assessment, including assessment procedures to be used to determine control effectiveness; links: - href: '#ca-2_smt.b.2' rel: assessment-for - id: ca-2_obj.b.3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-02b.03 class: sp800-53a parts: - id: ca-2_obj.b.3-1 name: assessment-objective props: - name: label value: CA-02b.03[01] class: sp800-53a prose: a control assessment plan is developed that describes the scope of the assessment, including the assessment environment; links: - href: '#ca-2_smt.b.3' rel: assessment-for - id: ca-2_obj.b.3-2 name: assessment-objective props: - name: label value: CA-02b.03[02] class: sp800-53a prose: a control assessment plan is developed that describes the scope of the assessment, including the assessment team; links: - href: '#ca-2_smt.b.3' rel: assessment-for - id: ca-2_obj.b.3-3 name: assessment-objective props: - name: label value: CA-02b.03[03] class: sp800-53a prose: a control assessment plan is developed that describes the scope of the assessment, including assessment roles and responsibilities; links: - href: '#ca-2_smt.b.3' rel: assessment-for links: - href: '#ca-2_smt.b.3' rel: assessment-for links: - href: '#ca-2_smt.b' rel: assessment-for - id: ca-2_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-02c. class: sp800-53a prose: the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment; links: - href: '#ca-2_smt.c' rel: assessment-for - id: ca-2_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-02d. class: sp800-53a parts: - id: ca-2_obj.d-1 name: assessment-objective props: - name: label value: CA-02d.[01] class: sp800-53a prose: 'controls are assessed in the system and its environment of operation {{ insert: param, ca-02_odp.01 }} 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;' links: - href: '#ca-2_smt.d' rel: assessment-for - id: ca-2_obj.d-2 name: assessment-objective props: - name: label value: CA-02d.[02] class: sp800-53a prose: 'controls are assessed in the system and its environment of operation {{ insert: param, ca-02_odp.01 }} to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established privacy requirements;' links: - href: '#ca-2_smt.d' rel: assessment-for links: - href: '#ca-2_smt.d' rel: assessment-for - id: ca-2_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CA-02e. class: sp800-53a prose: a control assessment report is produced that documents the results of the assessment; links: - href: '#ca-2_smt.e' rel: assessment-for - id: ca-2_obj.f name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CA-02f. class: sp800-53a prose: 'the results of the control assessment are provided to {{ insert: param, ca-02_odp.02 }}.' links: - href: '#ca-2_smt.f' rel: assessment-for links: - href: '#ca-2_smt' rel: assessment-for - id: ca-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Assessment, authorization, and monitoring policy procedures addressing assessment planning procedures addressing control assessments control assessment plan control assessment report system security plan privacy plan other relevant documents or records' - id: ca-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with control assessment responsibilities organizational personnel with information security and privacy responsibilities' - id: ca-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-02-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting control assessment, control assessment plan development, and/or control assessment reporting controls: - id: ca-2.1 class: SP800-53-enhancement title: Independent Assessors props: - name: label value: CA-02(01) class: zero-padded - name: label value: CA-2(1) - name: label value: CA-02(01) class: sp800-53a - name: sort-id value: ca-02.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ca-2' rel: required parts: - id: ca-2.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Employ independent assessors or assessment teams to conduct control assessments. - id: ca-2.1_gdn name: guidance prose: 'Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of systems. Impartiality means that assessors are free from any perceived or actual conflicts of interest regarding the development, operation, sustainment, or management of the systems under assessment or the determination of control effectiveness. To achieve impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted, assess their own work, act as management or employees of the organizations they are serving, or place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of systems and/or the risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. Assessor independence determination includes whether contracted assessment services have sufficient independence, such as when system owners are not directly involved in contracting processes or cannot influence the impartiality of the assessors conducting the assessments. During the system design and development phase, having independent assessors is analogous to having independent SMEs involved in design reviews. When organizations that own the systems are small or the structures of the organizations require that assessments be conducted by individuals that are in the developmental, operational, or management chain of the system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Assessments performed for purposes other than to support authorization decisions are more likely to be useable for such decisions when performed by assessors with sufficient independence, thereby reducing the need to repeat assessments.' - id: ca-2.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-02(01) class: sp800-53a prose: independent assessors or assessment teams are employed to conduct control assessments. links: - href: '#ca-2.1_smt' rel: assessment-for - id: ca-2.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-02(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Assessment, authorization, and monitoring policy procedures addressing control assessments previous control assessment plan previous control assessment report plan of action and milestones existing authorization statement system security plan privacy plan other relevant documents or records' - id: ca-2.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-02(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with security assessment responsibilities organizational personnel with information security and privacy responsibilities' - id: ca-2.2 class: SP800-53-enhancement title: Specialized Assessments params: - id: ca-02.02_odp.01 props: - name: alt-identifier value: ca-2.2_prm_1 - name: alt-label value: frequency class: sp800-53 - name: label value: CA-02(02)_ODP[01] class: sp800-53a label: specialized assessment frequency constraints: - description: at least annually guidelines: - prose: frequency at which to include specialized assessments as part of the control assessment is defined; - id: ca-02.02_odp.02 props: - name: alt-identifier value: ca-2.2_prm_2 - name: label value: CA-02(02)_ODP[02] class: sp800-53a select: choice: - announced - unannounced - id: ca-02.02_odp.03 props: - name: alt-identifier value: ca-2.2_prm_3 - name: label value: CA-02(02)_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - in-depth monitoring - security instrumentation - automated security test cases - vulnerability scanning - malicious user testing - insider threat assessment - performance and load testing - data leakage or data loss assessment - '{{ insert: param, ca-02.02_odp.04 }}' - id: ca-02.02_odp.04 props: - name: alt-identifier value: ca-2.2_prm_4 - name: label value: CA-02(02)_ODP[04] class: sp800-53a label: other forms of assessment guidelines: - prose: other forms of assessment are defined (if selected); props: - name: label value: CA-02(02) class: zero-padded - name: label value: CA-2(2) - name: label value: CA-02(02) class: sp800-53a - name: sort-id value: ca-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ca-2' rel: required - href: '#pe-3' rel: related - href: '#si-2' rel: related parts: - id: ca-2.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Include as part of control assessments, {{ insert: param, ca-02.02_odp.01 }}, {{ insert: param, ca-02.02_odp.02 }}, {{ insert: param, ca-02.02_odp.03 }}.' - id: ca-2.2_gdn name: guidance prose: Organizations can conduct specialized assessments, including verification and validation, system monitoring, insider threat assessments, malicious user testing, and other forms of testing. These assessments can improve readiness by exercising organizational capabilities and indicating current levels of performance as a means of focusing actions to improve security and privacy. Organizations conduct specialized assessments in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can include vulnerabilities uncovered during assessments into vulnerability remediation processes. Specialized assessments can also be conducted early in the system development life cycle (e.g., during initial design, development, and unit testing). - id: ca-2.2_fr name: item ns: http://fedramp.gov/ns/oscal title: CA-2 (2) Additional FedRAMP Requirements and Guidance parts: - id: ca-2.2_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: To include ‘announced’, ‘vulnerability scanning’ - id: ca-2.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-02(02) class: sp800-53a prose: '{{ insert: param, ca-02.02_odp.01 }} {{ insert: param, ca-02.02_odp.02 }} {{ insert: param, ca-02.02_odp.03 }} are included as part of control assessments.' links: - href: '#ca-2.2_smt' rel: assessment-for - id: ca-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Assessment, authorization, and monitoring policy procedures addressing control assessments control assessment plan control assessment report control assessment evidence system security plan privacy plan other relevant documents or records' - id: ca-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with control assessment responsibilities organizational personnel with information security and privacy responsibilities' - id: ca-2.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-02(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting control assessment - id: ca-2.3 class: SP800-53-enhancement title: Leveraging Results from External Organizations params: - id: ca-02.03_odp.01 props: - name: alt-identifier value: ca-2.3_prm_1 - name: alt-label value: external organization class: sp800-53 - name: label value: CA-02(03)_ODP[01] class: sp800-53a label: external organization(s) constraints: - description: any FedRAMP Accredited 3PAO guidelines: - prose: external organization(s) from which the results of control assessments are leveraged are defined; - id: ca-02.03_odp.02 props: - name: alt-identifier value: ca-2.3_prm_2 - name: label value: CA-02(03)_ODP[02] class: sp800-53a label: system guidelines: - prose: system on which a control assessment was performed by an external organization is defined; - id: ca-02.03_odp.03 props: - name: alt-identifier value: ca-2.3_prm_3 - name: label value: CA-02(03)_ODP[03] class: sp800-53a label: requirements constraints: - description: the conditions of the AO in the FedRAMP Repository guidelines: - prose: requirements to be met by the control assessment performed by an external organization on the system are defined; props: - name: label value: CA-02(03) class: zero-padded - name: label value: CA-2(3) - name: label value: CA-02(03) class: sp800-53a - name: sort-id value: ca-02.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ca-2' rel: required - href: '#sa-4' rel: related parts: - id: ca-2.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Leverage the results of control assessments performed by {{ insert: param, ca-02.03_odp.01 }} on {{ insert: param, ca-02.03_odp.02 }} when the assessment meets {{ insert: param, ca-02.03_odp.03 }}.' - id: ca-2.3_gdn name: guidance prose: Organizations may rely on control assessments of organizational systems by other (external) organizations. Using such assessments and reusing existing assessment evidence can decrease the time and resources required for assessments by limiting the independent assessment activities that organizations need to perform. The factors that organizations consider in determining whether to accept assessment results from external organizations can vary. Such factors include the organization’s past experience with the organization that conducted the assessment, the reputation of the assessment organization, the level of detail of supporting assessment evidence provided, and mandates imposed by applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Accredited testing laboratories that support the Common Criteria Program [ISO 15408-1](#6afc1b04-c9d6-4023-adbc-f8fbe33a3c73) , the NIST Cryptographic Module Validation Program (CMVP), or the NIST Cryptographic Algorithm Validation Program (CAVP) can provide independent assessment results that organizations can leverage. - id: ca-2.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-02(03) class: sp800-53a prose: 'the results of control assessments performed by {{ insert: param, ca-02.03_odp.01 }} on {{ insert: param, ca-02.03_odp.02 }} are leveraged when the assessment meets {{ insert: param, ca-02.03_odp.03 }}.' links: - href: '#ca-2.3_smt' rel: assessment-for - id: ca-2.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-02(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Assessment, authorization, and monitoring policy procedures addressing control assessments control assessment requirements control assessment plan control assessment report control assessment evidence plan of action and milestones system security plan privacy plan other relevant documents or records' - id: ca-2.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-02(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with control assessment responsibilities organizational personnel with information security and privacy responsibilities personnel performing control assessments for the specified external organization' - id: ca-3 class: SP800-53 title: Information Exchange params: - id: ca-03_odp.01 props: - name: alt-identifier value: ca-3_prm_1 - name: label value: CA-03_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - interconnection security agreements - information exchange security agreements - memoranda of understanding or agreement - service level agreements - user agreements - non-disclosure agreements - '{{ insert: param, ca-03_odp.02 }}' - id: ca-03_odp.02 props: - name: alt-identifier value: ca-3_prm_2 - name: label value: CA-03_ODP[02] class: sp800-53a label: type of agreement guidelines: - prose: the type of agreement used to approve and manage the exchange of information is defined (if selected); - id: ca-03_odp.03 props: - name: alt-identifier value: ca-3_prm_3 - name: label value: CA-03_ODP[03] class: sp800-53a label: frequency constraints: - description: at least annually and on input from AO guidelines: - prose: the frequency at which to review and update agreements is defined; props: - name: label value: CA-03 class: zero-padded - name: label value: CA-3 - name: label value: CA-03 class: sp800-53a - name: sort-id value: ca-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#c3a76872-e160-4267-99e8-6952de967d04' rel: reference - href: '#ac-4' rel: related - href: '#ac-20' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-16 rel: related - href: '#ca-6' rel: related - href: '#ia-3' rel: related - href: '#ir-4' rel: related - href: '#pl-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-7 rel: related - href: '#ra-3' rel: related - href: '#sa-9' rel: related - href: '#sc-7' rel: related - href: '#si-12' rel: related parts: - id: ca-3_smt name: statement parts: - id: ca-3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Approve and manage the exchange of information between the system and other systems using {{ insert: param, ca-03_odp.01 }};' - id: ca-3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Document, as part of each exchange agreement, the interface characteristics, security and privacy requirements, controls, and responsibilities for each system, and the impact level of the information communicated; and - id: ca-3_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Review and update the agreements {{ insert: param, ca-03_odp.03 }}.' - id: ca-3_gdn name: guidance prose: 'System information exchange requirements apply to information exchanges between two or more systems. System information exchanges include connections via leased lines or virtual private networks, connections to internet service providers, database sharing or exchanges of database transaction information, connections and exchanges with cloud services, exchanges via web-based services, or exchanges of files via file transfer protocols, network protocols (e.g., IPv4, IPv6), email, or other organization-to-organization communications. Organizations consider the risk related to new or increased threats that may be introduced when systems exchange information with other systems that may have different security and privacy requirements and controls. This includes systems within the same organization and systems that are external to the organization. A joint authorization of the systems exchanging information, as described in [CA-6(1)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ca-6.1) or [CA-6(2)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ca-6.2) , may help to communicate and reduce risk. Authorizing officials determine the risk associated with system information exchange and the controls needed for appropriate risk mitigation. The types of agreements selected are based on factors such as the impact level of the information being exchanged, the relationship between the organizations exchanging information (e.g., government to government, government to business, business to business, government or business to service provider, government or business to individual), or the level of access to the organizational system by users of the other system. If systems that exchange information have the same authorizing official, organizations need not develop agreements. Instead, the interface characteristics between the systems (e.g., how the information is being exchanged. how the information is protected) are described in the respective security and privacy plans. If the systems that exchange information have different authorizing officials within the same organization, the organizations can develop agreements or provide the same information that would be provided in the appropriate agreement type from [CA-3a](#ca-3_smt.a) in the respective security and privacy plans for the systems. Organizations may incorporate agreement information into formal contracts, especially for information exchanges established between federal agencies and nonfederal organizations (including service providers, contractors, system developers, and system integrators). Risk considerations include systems that share the same networks.' - id: ca-3_obj name: assessment-objective props: - name: label value: CA-03 class: sp800-53a parts: - id: ca-3_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-03a. class: sp800-53a prose: 'the exchange of information between the system and other systems is approved and managed using {{ insert: param, ca-03_odp.01 }};' links: - href: '#ca-3_smt.a' rel: assessment-for - id: ca-3_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CA-03b. class: sp800-53a parts: - id: ca-3_obj.b-1 name: assessment-objective props: - name: label value: CA-03b.[01] class: sp800-53a prose: the interface characteristics are documented as part of each exchange agreement; links: - href: '#ca-3_smt.b' rel: assessment-for - id: ca-3_obj.b-2 name: assessment-objective props: - name: label value: CA-03b.[02] class: sp800-53a prose: security requirements are documented as part of each exchange agreement; links: - href: '#ca-3_smt.b' rel: assessment-for - id: ca-3_obj.b-3 name: assessment-objective props: - name: label value: CA-03b.[03] class: sp800-53a prose: privacy requirements are documented as part of each exchange agreement; links: - href: '#ca-3_smt.b' rel: assessment-for - id: ca-3_obj.b-4 name: assessment-objective props: - name: label value: CA-03b.[04] class: sp800-53a prose: controls are documented as part of each exchange agreement; links: - href: '#ca-3_smt.b' rel: assessment-for - id: ca-3_obj.b-5 name: assessment-objective props: - name: label value: CA-03b.[05] class: sp800-53a prose: responsibilities for each system are documented as part of each exchange agreement; links: - href: '#ca-3_smt.b' rel: assessment-for - id: ca-3_obj.b-6 name: assessment-objective props: - name: label value: CA-03b.[06] class: sp800-53a prose: the impact level of the information communicated is documented as part of each exchange agreement; links: - href: '#ca-3_smt.b' rel: assessment-for links: - href: '#ca-3_smt.b' rel: assessment-for - id: ca-3_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-03c. class: sp800-53a prose: 'agreements are reviewed and updated {{ insert: param, ca-03_odp.03 }}.' links: - href: '#ca-3_smt.c' rel: assessment-for links: - href: '#ca-3_smt' rel: assessment-for - id: ca-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-03-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing system connections system and communications protection policy system interconnection security agreements information exchange security agreements memoranda of understanding or agreements service level agreements non-disclosure agreements system design documentation enterprise architecture system architecture system configuration settings and associated documentation system security plan privacy plan other relevant documents or records' - id: ca-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-03-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for developing, implementing, or approving system interconnection agreements organizational personnel with information security and privacy responsibilities personnel managing the system(s) to which the interconnection security agreement applies' controls: - id: ca-3.6 class: SP800-53-enhancement title: Transfer Authorizations props: - name: label value: CA-03(06) class: zero-padded - name: label value: CA-3(6) - name: label value: CA-03(06) class: sp800-53a - name: sort-id value: ca-03.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ca-3' rel: required - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-4' rel: related parts: - id: ca-3.6_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (i.e., write permissions or privileges) prior to accepting such data. - id: ca-3.6_gdn name: guidance prose: To prevent unauthorized individuals and systems from making information transfers to protected systems, the protected system verifies—via independent means— whether the individual or system attempting to transfer information is authorized to do so. Verification of the authorization to transfer information also applies to control plane traffic (e.g., routing and DNS) and services (e.g., authenticated SMTP relays). - id: ca-3.6_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-03(06) class: sp800-53a prose: individuals or systems transferring data between interconnecting systems have the requisite authorizations (i.e., write permissions or privileges) prior to accepting such data. links: - href: '#ca-3.6_smt' rel: assessment-for - id: ca-3.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-03(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Access control policy procedures addressing system connections system and communications protection policy system interconnection agreements information exchange security agreements memoranda of understanding or agreements service level agreements non-disclosure agreements system design documentation system configuration settings and associated documentation control assessment report system audit records system security plan privacy plan other relevant documents or records' - id: ca-3.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-03(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for managing connections to external systems network administrators organizational personnel with information security and privacy responsibilities' - id: ca-3.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-03(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing restrictions on external system connections - id: ca-5 class: SP800-53 title: Plan of Action and Milestones params: - id: ca-05_odp props: - name: alt-identifier value: ca-5_prm_1 - name: label value: CA-05_ODP class: sp800-53a label: frequency constraints: - description: at least monthly guidelines: - prose: the frequency at which to update an existing plan of action and milestones based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities is defined; props: - name: label value: CA-05 class: zero-padded - name: label value: CA-5 - name: label value: CA-05 class: sp800-53a - name: sort-id value: ca-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#ca-2' rel: related - href: '#ca-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-4 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ra-7' rel: related - href: '#si-2' rel: related - href: '#si-12' rel: related parts: - id: ca-5_smt name: statement parts: - id: ca-5_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Develop a plan of action and milestones for the system to document the planned remediation actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system; and - id: ca-5_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Update existing plan of action and milestones {{ insert: param, ca-05_odp }} based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities.' - id: ca-5_gdn name: guidance prose: Plans of action and milestones are useful for any type of organization to track planned remedial actions. Plans of action and milestones are required in authorization packages and subject to federal reporting requirements established by OMB. - id: ca-5_fr name: item ns: http://fedramp.gov/ns/oscal title: CA-5 Additional FedRAMP Requirements and Guidance parts: - id: ca-5_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: POA\&Ms must be provided at least monthly. - id: ca-5_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Reference FedRAMP-POAM-Template - id: ca-5_obj name: assessment-objective props: - name: label value: CA-05 class: sp800-53a parts: - id: ca-5_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-05a. class: sp800-53a prose: a plan of action and milestones for the system is developed to document the planned remediation actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system; links: - href: '#ca-5_smt.a' rel: assessment-for - id: ca-5_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-05b. class: sp800-53a prose: 'existing plan of action and milestones are updated {{ insert: param, ca-05_odp }} based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities.' links: - href: '#ca-5_smt.b' rel: assessment-for links: - href: '#ca-5_smt' rel: assessment-for - id: ca-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-05-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Assessment, authorization, and monitoring policy procedures addressing plan of action and milestones control assessment plan control assessment report control assessment evidence plan of action and milestones system security plan privacy plan other relevant documents or records' - id: ca-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-05-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with plan of action and milestones development and implementation responsibilities organizational personnel with information security and privacy responsibilities' - id: ca-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-05-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms for developing, implementing, and maintaining plan of action and milestones - id: ca-6 class: SP800-53 title: Authorization params: - id: ca-06_odp props: - name: alt-identifier value: ca-6_prm_1 - name: label value: CA-06_ODP class: sp800-53a label: frequency constraints: - description: in accordance with OMB A-130 requirements or when a significant change occurs guidelines: - prose: frequency at which to update the authorizations is defined; props: - name: label value: CA-06 class: zero-padded - name: label value: CA-6 - name: label value: CA-06 class: sp800-53a - name: sort-id value: ca-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#067223d8-1ec7-45c5-b21b-c848da6de8fb' rel: reference - href: '#ca-2' rel: related - href: '#ca-3' rel: related - href: '#ca-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-10 rel: related - href: '#ra-3' rel: related - href: '#sa-10' rel: related - href: '#si-12' rel: related parts: - id: ca-6_smt name: statement parts: - id: ca-6_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Assign a senior official as the authorizing official for the system; - id: ca-6_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Assign a senior official as the authorizing official for common controls available for inheritance by organizational systems; - id: ca-6_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Ensure that the authorizing official for the system, before commencing operations:' parts: - id: ca-6_smt.c.1 name: item props: - name: label value: '1.' prose: Accepts the use of common controls inherited by the system; and - id: ca-6_smt.c.2 name: item props: - name: label value: '2.' prose: Authorizes the system to operate; - id: ca-6_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Ensure that the authorizing official for common controls authorizes the use of those controls for inheritance by organizational systems; - id: ca-6_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: 'Update the authorizations {{ insert: param, ca-06_odp }}.' - id: ca-6_gdn name: guidance prose: 'Authorizations are official management decisions by senior officials to authorize operation of systems, authorize the use of common controls for inheritance by organizational systems, and explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon controls. Authorizing officials provide budgetary oversight for organizational systems and common controls or assume responsibility for the mission and business functions supported by those systems or common controls. The authorization process is a federal responsibility, and therefore, authorizing officials must be federal employees. Authorizing officials are both responsible and accountable for security and privacy risks associated with the operation and use of organizational systems. Nonfederal organizations may have similar processes to authorize systems and senior officials that assume the authorization role and associated responsibilities. Authorizing officials issue ongoing authorizations of systems based on evidence produced from implemented continuous monitoring programs. Robust continuous monitoring programs reduce the need for separate reauthorization processes. Through the employment of comprehensive continuous monitoring processes, the information contained in authorization packages (i.e., security and privacy plans, assessment reports, and plans of action and milestones) is updated on an ongoing basis. This provides authorizing officials, common control providers, and system owners with an up-to-date status of the security and privacy posture of their systems, controls, and operating environments. To reduce the cost of reauthorization, authorizing officials can leverage the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.' - id: ca-6_fr name: item ns: http://fedramp.gov/ns/oscal title: CA-6 Additional FedRAMP Requirements and Guidance parts: - id: ca-6_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: '(e) Guidance:' prose: Significant change is defined in NIST Special Publication 800-37 Revision 2, Appendix F and according to FedRAMP Significant Change Policies and Procedures. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the AO. - id: ca-6_obj name: assessment-objective props: - name: label value: CA-06 class: sp800-53a parts: - id: ca-6_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-06a. class: sp800-53a prose: a senior official is assigned as the authorizing official for the system; links: - href: '#ca-6_smt.a' rel: assessment-for - id: ca-6_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-06b. class: sp800-53a prose: a senior official is assigned as the authorizing official for common controls available for inheritance by organizational systems; links: - href: '#ca-6_smt.b' rel: assessment-for - id: ca-6_obj.c name: assessment-objective props: - name: label value: CA-06c. class: sp800-53a parts: - id: ca-6_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-06c.01 class: sp800-53a prose: before commencing operations, the authorizing official for the system accepts the use of common controls inherited by the system; links: - href: '#ca-6_smt.c.1' rel: assessment-for - id: ca-6_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-06c.02 class: sp800-53a prose: before commencing operations, the authorizing official for the system authorizes the system to operate; links: - href: '#ca-6_smt.c.2' rel: assessment-for links: - href: '#ca-6_smt.c' rel: assessment-for - id: ca-6_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-06d. class: sp800-53a prose: the authorizing official for common controls authorizes the use of those controls for inheritance by organizational systems; links: - href: '#ca-6_smt.d' rel: assessment-for - id: ca-6_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CA-06e. class: sp800-53a prose: 'the authorizations are updated {{ insert: param, ca-06_odp }}.' links: - href: '#ca-6_smt.e' rel: assessment-for links: - href: '#ca-6_smt' rel: assessment-for - id: ca-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-06-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Assessment, authorization, and monitoring policy procedures addressing authorization system security plan, privacy plan, assessment report, plan of action and milestones authorization statement other relevant documents or records' - id: ca-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-06-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with authorization responsibilities organizational personnel with information security and privacy responsibilities' - id: ca-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-06-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms that facilitate authorizations and updates - id: ca-7 class: SP800-53 title: Continuous Monitoring params: - id: ca-7_prm_4 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ca-07_odp.04 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ca-07_odp.06 label: organization-defined personnel or roles - id: ca-7_prm_5 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ca-07_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ca-07_odp.07 label: organization-defined frequency - id: ca-07_odp.01 props: - name: alt-identifier value: ca-7_prm_1 - name: label value: CA-07_ODP[01] class: sp800-53a label: system-level metrics guidelines: - prose: system-level metrics to be monitored are defined; - id: ca-07_odp.02 props: - name: alt-identifier value: ca-7_prm_2 - name: label value: CA-07_ODP[02] class: sp800-53a label: frequencies guidelines: - prose: frequencies at which to monitor control effectiveness are defined; - id: ca-07_odp.03 props: - name: alt-identifier value: ca-7_prm_3 - name: label value: CA-07_ODP[03] class: sp800-53a label: frequencies guidelines: - prose: frequencies at which to assess control effectiveness are defined; - id: ca-07_odp.04 props: - name: label value: CA-07_ODP[04] class: sp800-53a label: personnel or roles constraints: - description: to include AO guidelines: - prose: personnel or roles to whom the security status of the system is reported are defined; - id: ca-07_odp.05 props: - name: label value: CA-07_ODP[05] class: sp800-53a label: frequency guidelines: - prose: frequency at which the security status of the system is reported is defined; - id: ca-07_odp.06 props: - name: label value: CA-07_ODP[06] class: sp800-53a label: personnel or roles constraints: - description: to include AO guidelines: - prose: personnel or roles to whom the privacy status of the system is reported are defined; - id: ca-07_odp.07 props: - name: label value: CA-07_ODP[07] class: sp800-53a label: frequency guidelines: - prose: frequency at which the privacy status of the system is reported is defined; props: - name: label value: CA-07 class: zero-padded - name: label value: CA-7 - name: label value: CA-07 class: sp800-53a - name: sort-id value: ca-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d' rel: reference - href: '#122177fa-c4ed-485d-8345-3082c0fb9a06' rel: reference - href: '#067223d8-1ec7-45c5-b21b-c848da6de8fb' rel: reference - href: '#bbac9fc2-df5b-4f2d-bf99-90d0ade45349' rel: reference - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference - href: '#ac-2' rel: related - href: '#ac-6' rel: related - href: '#ac-17' rel: related - href: '#at-4' rel: related - href: '#au-6' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-13 rel: related - href: '#ca-2' rel: related - href: '#ca-5' rel: related - href: '#ca-6' rel: related - href: '#cm-3' rel: related - href: '#cm-4' rel: related - href: '#cm-6' rel: related - href: '#cm-11' rel: related - href: '#ia-5' rel: related - href: '#ir-5' rel: related - href: '#ma-2' rel: related - href: '#ma-3' rel: related - href: '#ma-4' rel: related - href: '#pe-3' rel: related - href: '#pe-6' rel: related - href: '#pe-14' rel: related - href: '#pe-16' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pe-20 rel: related - href: '#pl-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-4 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-6 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-10 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-12 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-14 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-23 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-28 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-31 rel: related - href: '#ps-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-7 rel: related - href: '#ra-3' rel: related - href: '#ra-5' rel: related - href: '#ra-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ra-10 rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: '#sa-11' rel: related - href: '#sc-5' rel: related - href: '#sc-7' rel: related - href: '#sc-18' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-38 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-43 rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-12' rel: related - href: '#sr-6' rel: related parts: - id: ca-7_smt name: statement prose: 'Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes:' parts: - id: ca-7_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Establishing the following system-level metrics to be monitored: {{ insert: param, ca-07_odp.01 }};' - id: ca-7_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Establishing {{ insert: param, ca-07_odp.02 }} for monitoring and {{ insert: param, ca-07_odp.03 }} for assessment of control effectiveness;' - id: ca-7_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Ongoing control assessments in accordance with the continuous monitoring strategy; - id: ca-7_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Ongoing monitoring of system and organization-defined metrics in accordance with the continuous monitoring strategy; - id: ca-7_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: Correlation and analysis of information generated by control assessments and monitoring; - id: ca-7_smt.f name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: f. prose: Response actions to address results of the analysis of control assessment and monitoring information; and - id: ca-7_smt.g name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: g. prose: 'Reporting the security and privacy status of the system to {{ insert: param, ca-7_prm_4 }} {{ insert: param, ca-7_prm_5 }}.' - id: ca-7_gdn name: guidance prose: 'Continuous monitoring at the system level facilitates ongoing awareness of the system security and privacy posture to support organizational risk management decisions. The terms "continuous" and "ongoing" imply that organizations assess and monitor their controls and risks at a frequency sufficient to support risk-based decisions. Different types of controls may require different monitoring frequencies. The results of continuous monitoring generate risk response actions by organizations. When monitoring the effectiveness of multiple controls that have been grouped into capabilities, a root-cause analysis may be needed to determine the specific control that has failed. Continuous monitoring programs allow organizations to maintain the authorizations of systems and common controls in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security and privacy information on a continuing basis through reports and dashboards gives organizational officials the ability to make effective and timely risk management decisions, including ongoing authorization decisions. Automation supports more frequent updates to hardware, software, and firmware inventories, authorization packages, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of systems. Monitoring requirements, including the need for specific monitoring, may be referenced in other controls and control enhancements, such as [AC-2g](#ac-2_smt.g), [AC-2(7)](#ac-2.7), [AC-2(12)(a)](#ac-2.12_smt.a), [AC-2(7)(b)](#ac-2.7_smt.b), [AC-2(7)(c)](#ac-2.7_smt.c), [AC-17(1)](#ac-17.1), [AT-4a](#at-4_smt.a), [AU-13](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-13), [AU-13(1)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-13.1), [AU-13(2)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-13.2), [CM-3f](#cm-3_smt.f), [CM-6d](#cm-6_smt.d), [CM-11c](#cm-11_smt.c), [IR-5](#ir-5), [MA-2b](#ma-2_smt.b), [MA-3a](#ma-3_smt.a), [MA-4a](#ma-4_smt.a), [PE-3d](#pe-3_smt.d), [PE-6](#pe-6), [PE-14b](#pe-14_smt.b), [PE-16](#pe-16), [PE-20](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pe-20), [PM-6](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-6), [PM-23](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-23), [PM-31](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-31), [PS-7e](#ps-7_smt.e), [SA-9c](#sa-9_smt.c), [SR-4](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-4), [SC-5(3)(b)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-5.3_smt.b), [SC-7a](#sc-7_smt.a), [SC-7(24)(b)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-7.24_smt.b), [SC-18b](#sc-18_smt.b), [SC-43b](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-43_smt.b) , and [SI-4](#si-4).' - id: ca-7_fr name: item ns: http://fedramp.gov/ns/oscal title: CA-7 Additional FedRAMP Requirements and Guidance parts: - id: ca-7_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: 'Operating System, Database, Web Application, Container, and Service Configuration Scans: at least monthly. All scans performed by Independent Assessor: at least annually.' - id: ca-7_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: CSOs with more than one agency ATO must implement a collaborative Continuous Monitoring (ConMon) approach described in the FedRAMP Guide for Multi-Agency Continuous Monitoring. This requirement applies to CSOs authorized via the Agency path as each agency customer is responsible for performing ConMon oversight. - id: ca-7_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: FedRAMP does not provide a template for the Continuous Monitoring Plan. CSPs should reference the FedRAMP Continuous Monitoring Strategy Guide when developing the Continuous Monitoring Plan. - id: ca-7_obj name: assessment-objective props: - name: label value: CA-07 class: sp800-53a parts: - id: ca-7_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-07[01] class: sp800-53a prose: a system-level continuous monitoring strategy is developed; links: - href: '#ca-7_smt' rel: assessment-for - id: ca-7_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-07[02] class: sp800-53a prose: system-level continuous monitoring is implemented in accordance with the organization-level continuous monitoring strategy; links: - href: '#ca-7_smt' rel: assessment-for - id: ca-7_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-07a. class: sp800-53a prose: 'system-level continuous monitoring includes establishment of the following system-level metrics to be monitored: {{ insert: param, ca-07_odp.01 }};' links: - href: '#ca-7_smt.a' rel: assessment-for - id: ca-7_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-07b. class: sp800-53a parts: - id: ca-7_obj.b-1 name: assessment-objective props: - name: label value: CA-07b.[01] class: sp800-53a prose: 'system-level continuous monitoring includes established {{ insert: param, ca-07_odp.02 }} for monitoring;' links: - href: '#ca-7_smt.b' rel: assessment-for - id: ca-7_obj.b-2 name: assessment-objective props: - name: label value: CA-07b.[02] class: sp800-53a prose: 'system-level continuous monitoring includes established {{ insert: param, ca-07_odp.03 }} for assessment of control effectiveness;' links: - href: '#ca-7_smt.b' rel: assessment-for links: - href: '#ca-7_smt.b' rel: assessment-for - id: ca-7_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-07c. class: sp800-53a prose: system-level continuous monitoring includes ongoing control assessments in accordance with the continuous monitoring strategy; links: - href: '#ca-7_smt.c' rel: assessment-for - id: ca-7_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-07d. class: sp800-53a prose: system-level continuous monitoring includes ongoing monitoring of system and organization-defined metrics in accordance with the continuous monitoring strategy; links: - href: '#ca-7_smt.d' rel: assessment-for - id: ca-7_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-07e. class: sp800-53a prose: system-level continuous monitoring includes correlation and analysis of information generated by control assessments and monitoring; links: - href: '#ca-7_smt.e' rel: assessment-for - id: ca-7_obj.f name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-07f. class: sp800-53a prose: system-level continuous monitoring includes response actions to address the results of the analysis of control assessment and monitoring information; links: - href: '#ca-7_smt.f' rel: assessment-for - id: ca-7_obj.g name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-07g. class: sp800-53a parts: - id: ca-7_obj.g-1 name: assessment-objective props: - name: label value: CA-07g.[01] class: sp800-53a prose: 'system-level continuous monitoring includes reporting the security status of the system to {{ insert: param, ca-07_odp.04 }} {{ insert: param, ca-07_odp.05 }};' links: - href: '#ca-7_smt.g' rel: assessment-for - id: ca-7_obj.g-2 name: assessment-objective props: - name: label value: CA-07g.[02] class: sp800-53a prose: 'system-level continuous monitoring includes reporting the privacy status of the system to {{ insert: param, ca-07_odp.06 }} {{ insert: param, ca-07_odp.07 }}.' links: - href: '#ca-7_smt.g' rel: assessment-for links: - href: '#ca-7_smt.g' rel: assessment-for links: - href: '#ca-7_smt' rel: assessment-for - id: ca-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-07-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Assessment, authorization, and monitoring policy organizational continuous monitoring strategy system-level continuous monitoring strategy procedures addressing continuous monitoring of system controls procedures addressing configuration management control assessment report plan of action and milestones system monitoring records configuration management records impact analyses status reports system security plan privacy plan other relevant documents or records' - id: ca-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-07-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with continuous monitoring responsibilities organizational personnel with information security and privacy responsibilities system/network administrators' - id: ca-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-07-Test class: sp800-53a parts: - name: assessment-objects prose: 'Mechanisms implementing continuous monitoring mechanisms supporting response actions to address assessment and monitoring results mechanisms supporting security and privacy status reporting' controls: - id: ca-7.1 class: SP800-53-enhancement title: Independent Assessment props: - name: label value: CA-07(01) class: zero-padded - name: label value: CA-7(1) - name: label value: CA-07(01) class: sp800-53a - name: sort-id value: ca-07.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ca-7' rel: required parts: - id: ca-7.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Employ independent assessors or assessment teams to monitor the controls in the system on an ongoing basis. - id: ca-7.1_gdn name: guidance prose: Organizations maximize the value of control assessments by requiring that assessments be conducted by assessors with appropriate levels of independence. The level of required independence is based on organizational continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted, assess their own work, act as management or employees of the organizations they are serving, or place themselves in advocacy positions for the organizations acquiring their services. - id: ca-7.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-07(01) class: sp800-53a prose: independent assessors or assessment teams are employed to monitor the controls in the system on an ongoing basis. links: - href: '#ca-7.1_smt' rel: assessment-for - id: ca-7.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-07(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Assessment, authorization, and monitoring policy organizational continuous monitoring strategy system-level continuous monitoring strategy procedures addressing continuous monitoring of system controls control assessment report plan of action and milestones system monitoring records impact analyses status reports system security plan privacy plan other relevant documents or records' - id: ca-7.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-07(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with continuous monitoring responsibilities organizational personnel with information security and privacy responsibilities' - id: ca-7.4 class: SP800-53-enhancement title: Risk Monitoring props: - name: label value: CA-07(04) class: zero-padded - name: label value: CA-7(4) - name: label value: CA-07(04) class: sp800-53a - name: sort-id value: ca-07.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ca-7' rel: required parts: - id: ca-7.4_smt name: statement prose: 'Ensure risk monitoring is an integral part of the continuous monitoring strategy that includes the following:' parts: - id: ca-7.4_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: Effectiveness monitoring; - id: ca-7.4_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Compliance monitoring; and - id: ca-7.4_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (c) prose: Change monitoring. - id: ca-7.4_gdn name: guidance prose: Risk monitoring is informed by the established organizational risk tolerance. Effectiveness monitoring determines the ongoing effectiveness of the implemented risk response measures. Compliance monitoring verifies that required risk response measures are implemented. It also verifies that security and privacy requirements are satisfied. Change monitoring identifies changes to organizational systems and environments of operation that may affect security and privacy risk. - id: ca-7.4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-07(04) class: sp800-53a prose: risk monitoring is an integral part of the continuous monitoring strategy; parts: - id: ca-7.4_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-07(04)(a) class: sp800-53a prose: effectiveness monitoring is included in risk monitoring; links: - href: '#ca-7.4_smt.a' rel: assessment-for - id: ca-7.4_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-07(04)(b) class: sp800-53a prose: compliance monitoring is included in risk monitoring; links: - href: '#ca-7.4_smt.b' rel: assessment-for - id: ca-7.4_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-07(04)(c) class: sp800-53a prose: change monitoring is included in risk monitoring. links: - href: '#ca-7.4_smt.c' rel: assessment-for links: - href: '#ca-7.4_smt' rel: assessment-for - id: ca-7.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-07(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Assessment, authorization, and monitoring policy organizational continuous monitoring strategy system-level continuous monitoring strategy procedures addressing continuous monitoring of system controls assessment report plan of action and milestones system monitoring records impact analyses status reports system security plan privacy plan other relevant documents or records' - id: ca-7.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-07(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with continuous monitoring responsibilities organizational personnel with information security and privacy responsibilities' - id: ca-7.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-07(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting risk monitoring - id: ca-8 class: SP800-53 title: Penetration Testing params: - id: ca-08_odp.01 props: - name: alt-identifier value: ca-8_prm_1 - name: label value: CA-08_ODP[01] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: frequency at which to conduct penetration testing on systems or system components is defined; - id: ca-08_odp.02 props: - name: alt-identifier value: ca-8_prm_2 - name: alt-label value: systems or system components class: sp800-53 - name: label value: CA-08_ODP[02] class: sp800-53a label: system(s) or system components guidelines: - prose: systems or system components on which penetration testing is to be conducted are defined; props: - name: label value: CA-08 class: zero-padded - name: label value: CA-8 - name: label value: CA-08 class: sp800-53a - name: sort-id value: ca-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ra-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ra-10 rel: related - href: '#sa-11' rel: related - href: '#sr-5' rel: related - href: '#sr-6' rel: related parts: - id: ca-8_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Conduct penetration testing {{ insert: param, ca-08_odp.01 }} on {{ insert: param, ca-08_odp.02 }}.' - id: ca-8_gdn name: guidance prose: 'Penetration testing is a specialized type of assessment conducted on systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Penetration testing goes beyond automated vulnerability scanning and is conducted by agents and teams with demonstrable skills and experience that include technical expertise in network, operating system, and/or application level security. Penetration testing can be used to validate vulnerabilities or determine the degree of penetration resistance of systems to adversaries within specified constraints. Such constraints include time, resources, and skills. Penetration testing attempts to duplicate the actions of adversaries and provides a more in-depth analysis of security- and privacy-related weaknesses or deficiencies. Penetration testing is especially important when organizations are transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). Organizations can use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted internally or externally on the hardware, software, or firmware components of a system and can exercise both physical and technical controls. A standard method for penetration testing includes a pretest analysis based on full knowledge of the system, pretest identification of potential vulnerabilities based on the pretest analysis, and testing designed to determine the exploitability of vulnerabilities. All parties agree to the rules of engagement before commencing penetration testing scenarios. Organizations correlate the rules of engagement for the penetration tests with the tools, techniques, and procedures that are anticipated to be employed by adversaries. Penetration testing may result in the exposure of information that is protected by laws or regulations, to individuals conducting the testing. Rules of engagement, contracts, or other appropriate mechanisms can be used to communicate expectations for how to protect this information. Risk assessments guide the decisions on the level of independence required for the personnel conducting penetration testing.' - id: ca-8_fr name: item ns: http://fedramp.gov/ns/oscal title: CA-8 Additional FedRAMP Requirements and Guidance parts: - id: ca-8_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Reference the FedRAMP Penetration Test Guidance. - id: ca-8_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-08 class: sp800-53a prose: 'penetration testing is conducted {{ insert: param, ca-08_odp.01 }} on {{ insert: param, ca-08_odp.02 }}.' links: - href: '#ca-8_smt' rel: assessment-for - id: ca-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-08-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Assessment, authorization, and monitoring policy procedures addressing penetration testing assessment plan penetration test report assessment report assessment evidence system security plan privacy plan other relevant documents or records' - id: ca-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-08-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with control assessment responsibilities organizational personnel with information security and privacy responsibilities system/network administrators' - id: ca-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-08-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting penetration testing controls: - id: ca-8.1 class: SP800-53-enhancement title: Independent Penetration Testing Agent or Team props: - name: label value: CA-08(01) class: zero-padded - name: label value: CA-8(1) - name: label value: CA-08(01) class: sp800-53a - name: sort-id value: ca-08.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ca-8' rel: required - href: '#ca-2' rel: related parts: - id: ca-8.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Employ an independent penetration testing agent or team to perform penetration testing on the system or system components. - id: ca-8.1_gdn name: guidance prose: Independent penetration testing agents or teams are individuals or groups who conduct impartial penetration testing of organizational systems. Impartiality implies that penetration testing agents or teams are free from perceived or actual conflicts of interest with respect to the development, operation, or management of the systems that are the targets of the penetration testing. [CA-2(1)](#ca-2.1) provides additional information on independent assessments that can be applied to penetration testing. - id: ca-8.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-08(01) class: sp800-53a prose: an independent penetration testing agent or team is employed to perform penetration testing on the system or system components. links: - href: '#ca-8.1_smt' rel: assessment-for - id: ca-8.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-08(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Assessment, authorization, and monitoring policy procedures addressing penetration testing assessment plan penetration test report assessment report security assessment evidence system security plan privacy plan other relevant documents or records' - id: ca-8.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-08(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with assessment responsibilities organizational personnel with information security and privacy responsibilities' - id: ca-8.2 class: SP800-53-enhancement title: Red Team Exercises params: - id: ca-08.02_odp props: - name: alt-identifier value: ca-8.2_prm_1 - name: label value: CA-08(02)_ODP class: sp800-53a label: red team exercises guidelines: - prose: red team exercises to simulate attempts by adversaries to compromise organizational systems are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: CA-08(02) class: zero-padded - name: label value: CA-8(2) - name: label value: CA-08(02) class: sp800-53a - name: sort-id value: ca-08.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ca-8' rel: required parts: - id: ca-8.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Employ the following red-team exercises to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement: {{ insert: param, ca-08.02_odp }}.' - id: ca-8.2_gdn name: guidance prose: Red team exercises extend the objectives of penetration testing by examining the security and privacy posture of organizations and the capability to implement effective cyber defenses. Red team exercises simulate attempts by adversaries to compromise mission and business functions and provide a comprehensive assessment of the security and privacy posture of systems and organizations. Such attempts may include technology-based attacks and social engineering-based attacks. Technology-based attacks include interactions with hardware, software, or firmware components and/or mission and business processes. Social engineering-based attacks include interactions via email, telephone, shoulder surfing, or personal conversations. Red team exercises are most effective when conducted by penetration testing agents and teams with knowledge of and experience with current adversarial tactics, techniques, procedures, and tools. While penetration testing may be primarily laboratory-based testing, organizations can use red team exercises to provide more comprehensive assessments that reflect real-world conditions. The results from red team exercises can be used by organizations to improve security and privacy awareness and training and to assess control effectiveness. - id: ca-8.2_fr name: item ns: http://fedramp.gov/ns/oscal title: CA-8(2) Additional FedRAMP Requirements and Guidance parts: - id: ca-8.2_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'See the FedRAMP Documents page\> Penetration Test Guidance https://www.FedRAMP.gov/documents/' - id: ca-8.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-08(02) class: sp800-53a prose: '{{ insert: param, ca-08.02_odp }} are employed to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement.' links: - href: '#ca-8.2_smt' rel: assessment-for - id: ca-8.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-08(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Assessment, authorization, and monitoring policy procedures addressing penetration testing procedures addressing red team exercises assessment plan results of red team exercises penetration test report assessment report rules of engagement assessment evidence system security plan privacy plan other relevant documents or records' - id: ca-8.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-08(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with assessment responsibilities organizational personnel with information security and privacy responsibilities system/network administrators' - id: ca-8.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-08(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting the employment of red team exercises - id: ca-9 class: SP800-53 title: Internal System Connections params: - id: ca-09_odp.01 props: - name: alt-identifier value: ca-9_prm_1 - name: alt-label value: system components or classes of components class: sp800-53 - name: label value: CA-09_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components or classes of components requiring internal connections to the system are defined; - id: ca-09_odp.02 props: - name: alt-identifier value: ca-9_prm_2 - name: label value: CA-09_ODP[02] class: sp800-53a label: conditions guidelines: - prose: conditions requiring termination of internal connections are defined; - id: ca-09_odp.03 props: - name: alt-identifier value: ca-9_prm_3 - name: label value: CA-09_ODP[03] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: frequency at which to review the continued need for each internal connection is defined; props: - name: label value: CA-09 class: zero-padded - name: label value: CA-9 - name: label value: CA-09 class: sp800-53a - name: sort-id value: ca-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#0f66be67-85e7-4ca6-bd19-39453e9f4394' rel: reference - href: '#4c501da5-9d79-4cb6-ba80-97260e1ce327' rel: reference - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#cm-2' rel: related - href: '#ia-3' rel: related - href: '#sc-7' rel: related - href: '#si-12' rel: related parts: - id: ca-9_smt name: statement parts: - id: ca-9_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Authorize internal connections of {{ insert: param, ca-09_odp.01 }} to the system;' - id: ca-9_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Document, for each internal connection, the interface characteristics, security and privacy requirements, and the nature of the information communicated; - id: ca-9_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Terminate internal system connections after {{ insert: param, ca-09_odp.02 }} ; and' - id: ca-9_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: 'Review {{ insert: param, ca-09_odp.03 }} the continued need for each internal connection.' - id: ca-9_gdn name: guidance prose: Internal system connections are connections between organizational systems and separate constituent system components (i.e., connections between components that are part of the same system) including components used for system development. Intra-system connections include connections with mobile devices, notebook and desktop computers, tablets, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each internal system connection individually, organizations can authorize internal connections for a class of system components with common characteristics and/or configurations, including printers, scanners, and copiers with a specified processing, transmission, and storage capability or smart phones and tablets with a specific baseline configuration. The continued need for an internal system connection is reviewed from the perspective of whether it provides support for organizational missions or business functions. - id: ca-9_obj name: assessment-objective props: - name: label value: CA-09 class: sp800-53a parts: - id: ca-9_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-09a. class: sp800-53a prose: 'internal connections of {{ insert: param, ca-09_odp.01 }} to the system are authorized;' links: - href: '#ca-9_smt.a' rel: assessment-for - id: ca-9_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CA-09b. class: sp800-53a parts: - id: ca-9_obj.b-1 name: assessment-objective props: - name: label value: CA-09b.[01] class: sp800-53a prose: for each internal connection, the interface characteristics are documented; links: - href: '#ca-9_smt.b' rel: assessment-for - id: ca-9_obj.b-2 name: assessment-objective props: - name: label value: CA-09b.[02] class: sp800-53a prose: for each internal connection, the security requirements are documented; links: - href: '#ca-9_smt.b' rel: assessment-for - id: ca-9_obj.b-3 name: assessment-objective props: - name: label value: CA-09b.[03] class: sp800-53a prose: for each internal connection, the privacy requirements are documented; links: - href: '#ca-9_smt.b' rel: assessment-for - id: ca-9_obj.b-4 name: assessment-objective props: - name: label value: CA-09b.[04] class: sp800-53a prose: for each internal connection, the nature of the information communicated is documented; links: - href: '#ca-9_smt.b' rel: assessment-for links: - href: '#ca-9_smt.b' rel: assessment-for - id: ca-9_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-09c. class: sp800-53a prose: 'internal system connections are terminated after {{ insert: param, ca-09_odp.02 }};' links: - href: '#ca-9_smt.c' rel: assessment-for - id: ca-9_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CA-09d. class: sp800-53a prose: 'the continued need for each internal connection is reviewed {{ insert: param, ca-09_odp.03 }}.' links: - href: '#ca-9_smt.d' rel: assessment-for links: - href: '#ca-9_smt' rel: assessment-for - id: ca-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-09-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Assessment, authorization, and monitoring policy access control policy procedures addressing system connections system and communications protection policy system design documentation system configuration settings and associated documentation list of components or classes of components authorized as internal system connections assessment report system audit records system security plan privacy plan other relevant documents or records' - id: ca-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-09-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for developing, implementing, or authorizing internal system connections organizational personnel with information security and privacy responsibilities' - id: ca-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-09-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting internal system connections - id: cm class: family title: Configuration Management controls: - id: cm-1 class: SP800-53 title: Policy and Procedures params: - id: cm-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-01_odp.02 label: organization-defined personnel or roles - id: cm-01_odp.01 props: - name: label value: CM-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the configuration management policy is to be disseminated is/are defined; - id: cm-01_odp.02 props: - name: label value: CM-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the configuration management procedures are to be disseminated is/are defined; - id: cm-01_odp.03 props: - name: alt-identifier value: cm-1_prm_2 - name: label value: CM-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: cm-01_odp.04 props: - name: alt-identifier value: cm-1_prm_3 - name: label value: CM-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the configuration management policy and procedures is defined; - id: cm-01_odp.05 props: - name: alt-identifier value: cm-1_prm_4 - name: label value: CM-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current configuration management policy is reviewed and updated is defined; - id: cm-01_odp.06 props: - name: alt-identifier value: cm-1_prm_5 - name: label value: CM-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current configuration management policy to be reviewed and updated are defined; - id: cm-01_odp.07 props: - name: alt-identifier value: cm-1_prm_6 - name: label value: CM-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current configuration management procedures are reviewed and updated is defined; - id: cm-01_odp.08 props: - name: alt-identifier value: cm-1_prm_7 - name: label value: CM-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that would require configuration management procedures to be reviewed and updated are defined; props: - name: label value: CM-01 class: zero-padded - name: label value: CM-1 - name: label value: CM-01 class: sp800-53a - name: sort-id value: cm-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ps-8' rel: related - href: '#sa-8' rel: related - href: '#si-12' rel: related parts: - id: cm-1_smt name: statement parts: - id: cm-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses Configuration Management MUST be associated with CM-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses Configuration Management MUST be associated with CM-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, cm-1_prm_1 }}:' parts: - id: cm-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, cm-01_odp.03 }} configuration management policy that:' parts: - id: cm-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: cm-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: cm-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the configuration management policy and the associated configuration management controls; - id: cm-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, cm-01_odp.04 }} to manage the development, documentation, and dissemination of the configuration management policy and procedures; and' - id: cm-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current configuration management:' parts: - id: cm-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, cm-01_odp.05 }} and following {{ insert: param, cm-01_odp.06 }} ; and' - id: cm-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, cm-01_odp.07 }} and following {{ insert: param, cm-01_odp.08 }}.' - id: cm-1_gdn name: guidance prose: Configuration management policy and procedures address the controls in the CM family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of configuration management policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to configuration management policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: cm-1_obj name: assessment-objective props: - name: label value: CM-01 class: sp800-53a parts: - id: cm-1_obj.a name: assessment-objective props: - name: label value: CM-01a. class: sp800-53a parts: - id: cm-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-01a.[01] class: sp800-53a prose: a configuration management policy is developed and documented; links: - href: '#cm-1_smt.a' rel: assessment-for - id: cm-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-01a.[02] class: sp800-53a prose: 'the configuration management policy is disseminated to {{ insert: param, cm-01_odp.01 }};' links: - href: '#cm-1_smt.a' rel: assessment-for - id: cm-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CM-01a.[03] class: sp800-53a prose: configuration management procedures to facilitate the implementation of the configuration management policy and associated configuration management controls are developed and documented; links: - href: '#cm-1_smt.a' rel: assessment-for - id: cm-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CM-01a.[04] class: sp800-53a prose: 'the configuration management procedures are disseminated to {{ insert: param, cm-01_odp.02 }};' links: - href: '#cm-1_smt.a' rel: assessment-for - id: cm-1_obj.a.1 name: assessment-objective props: - name: label value: CM-01a.01 class: sp800-53a parts: - id: cm-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CM-01a.01(a) class: sp800-53a parts: - id: cm-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: CM-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses purpose;' links: - href: '#cm-1_smt.a.1.a' rel: assessment-for - id: cm-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: CM-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses scope;' links: - href: '#cm-1_smt.a.1.a' rel: assessment-for - id: cm-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: CM-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses roles;' links: - href: '#cm-1_smt.a.1.a' rel: assessment-for - id: cm-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: CM-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses responsibilities;' links: - href: '#cm-1_smt.a.1.a' rel: assessment-for - id: cm-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: CM-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses management commitment;' links: - href: '#cm-1_smt.a.1.a' rel: assessment-for - id: cm-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: CM-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses coordination among organizational entities;' links: - href: '#cm-1_smt.a.1.a' rel: assessment-for - id: cm-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: CM-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses compliance;' links: - href: '#cm-1_smt.a.1.a' rel: assessment-for links: - href: '#cm-1_smt.a.1.a' rel: assessment-for - id: cm-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CM-01a.01(b) class: sp800-53a prose: the configuration management policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; links: - href: '#cm-1_smt.a.1.b' rel: assessment-for links: - href: '#cm-1_smt.a.1' rel: assessment-for links: - href: '#cm-1_smt.a' rel: assessment-for - id: cm-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-01b. class: sp800-53a prose: 'the {{ insert: param, cm-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the configuration management policy and procedures;' links: - href: '#cm-1_smt.b' rel: assessment-for - id: cm-1_obj.c name: assessment-objective props: - name: label value: CM-01c. class: sp800-53a parts: - id: cm-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-01c.01 class: sp800-53a parts: - id: cm-1_obj.c.1-1 name: assessment-objective props: - name: label value: CM-01c.01[01] class: sp800-53a prose: 'the current configuration management policy is reviewed and updated {{ insert: param, cm-01_odp.05 }};' links: - href: '#cm-1_smt.c.1' rel: assessment-for - id: cm-1_obj.c.1-2 name: assessment-objective props: - name: label value: CM-01c.01[02] class: sp800-53a prose: 'the current configuration management policy is reviewed and updated following {{ insert: param, cm-01_odp.06 }};' links: - href: '#cm-1_smt.c.1' rel: assessment-for links: - href: '#cm-1_smt.c.1' rel: assessment-for - id: cm-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-01c.02 class: sp800-53a parts: - id: cm-1_obj.c.2-1 name: assessment-objective props: - name: label value: CM-01c.02[01] class: sp800-53a prose: 'the current configuration management procedures are reviewed and updated {{ insert: param, cm-01_odp.07 }};' links: - href: '#cm-1_smt.c.2' rel: assessment-for - id: cm-1_obj.c.2-2 name: assessment-objective props: - name: label value: CM-01c.02[02] class: sp800-53a prose: 'the current configuration management procedures are reviewed and updated following {{ insert: param, cm-01_odp.08 }}.' links: - href: '#cm-1_smt.c.2' rel: assessment-for links: - href: '#cm-1_smt.c.2' rel: assessment-for links: - href: '#cm-1_smt.c' rel: assessment-for links: - href: '#cm-1_smt' rel: assessment-for - id: cm-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy and procedures security and privacy program policies and procedures assessment or audit findings documentation of security incidents or breaches system security plan privacy plan risk management strategy other relevant artifacts, documents, or records' - id: cm-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with configuration management responsibilities organizational personnel with information security and privacy responsibilities' - id: cm-2 class: SP800-53 title: Baseline Configuration params: - id: cm-02_odp.01 props: - name: alt-identifier value: cm-2_prm_1 - name: label value: CM-02_ODP[01] class: sp800-53a label: frequency constraints: - description: at least annually and when a significant change occurs guidelines: - prose: the frequency of baseline configuration review and update is defined; - id: cm-02_odp.02 props: - name: alt-identifier value: cm-2_prm_2 - name: label value: CM-02_ODP[02] class: sp800-53a label: circumstances constraints: - description: to include when directed by the AO guidelines: - prose: the circumstances requiring baseline configuration review and update are defined; props: - name: label value: CM-02 class: zero-padded - name: label value: CM-2 - name: label value: CM-02 class: sp800-53a - name: sort-id value: cm-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#0f66be67-85e7-4ca6-bd19-39453e9f4394' rel: reference - href: '#20db4e66-e257-450c-b2e4-2bb9a62a2c88' rel: reference - href: '#ac-19' rel: related - href: '#au-6' rel: related - href: '#ca-9' rel: related - href: '#cm-1' rel: related - href: '#cm-3' rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: '#cm-8' rel: related - href: '#cm-9' rel: related - href: '#cp-9' rel: related - href: '#cp-10' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cp-12 rel: related - href: '#ma-2' rel: related - href: '#pl-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-5 rel: related - href: '#sa-8' rel: related - href: '#sa-10' rel: related - href: '#sa-15' rel: related - href: '#sc-18' rel: related parts: - id: cm-2_smt name: statement parts: - id: cm-2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Develop, document, and maintain under configuration control, a current baseline configuration of the system; and - id: cm-2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Review and update the baseline configuration of the system:' parts: - id: cm-2_smt.b.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, cm-02_odp.01 }};' - id: cm-2_smt.b.2 name: item props: - name: label value: '2.' prose: 'When required due to {{ insert: param, cm-02_odp.02 }} ; and' - id: cm-2_smt.b.3 name: item props: - name: label value: '3.' prose: When system components are installed or upgraded. - id: cm-2_gdn name: guidance prose: Baseline configurations for systems and system components include connectivity, operational, and communications aspects of systems. Baseline configurations are documented, formally reviewed, and agreed-upon specifications for systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, or changes to systems and include security and privacy control implementations, operational procedures, information about system components, network topology, and logical placement of components in the system architecture. Maintaining baseline configurations requires creating new baselines as organizational systems change over time. Baseline configurations of systems reflect the current enterprise architecture. - id: cm-2_fr name: item ns: http://fedramp.gov/ns/oscal title: CM-2 Additional FedRAMP Requirements and Guidance parts: - id: cm-2_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: '(b)(1) Guidance:' prose: Significant change is defined in NIST Special Publication 800-37 Revision 2, Appendix F. - id: cm-2_obj name: assessment-objective props: - name: label value: CM-02 class: sp800-53a parts: - id: cm-2_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CM-02a. class: sp800-53a parts: - id: cm-2_obj.a-1 name: assessment-objective props: - name: label value: CM-02a.[01] class: sp800-53a prose: a current baseline configuration of the system is developed and documented; links: - href: '#cm-2_smt.a' rel: assessment-for - id: cm-2_obj.a-2 name: assessment-objective props: - name: label value: CM-02a.[02] class: sp800-53a prose: a current baseline configuration of the system is maintained under configuration control; links: - href: '#cm-2_smt.a' rel: assessment-for links: - href: '#cm-2_smt.a' rel: assessment-for - id: cm-2_obj.b name: assessment-objective props: - name: label value: CM-02b. class: sp800-53a parts: - id: cm-2_obj.b.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-02b.01 class: sp800-53a prose: 'the baseline configuration of the system is reviewed and updated {{ insert: param, cm-02_odp.01 }};' links: - href: '#cm-2_smt.b.1' rel: assessment-for - id: cm-2_obj.b.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-02b.02 class: sp800-53a prose: 'the baseline configuration of the system is reviewed and updated when required due to {{ insert: param, cm-02_odp.02 }};' links: - href: '#cm-2_smt.b.2' rel: assessment-for - id: cm-2_obj.b.3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-02b.03 class: sp800-53a prose: the baseline configuration of the system is reviewed and updated when system components are installed or upgraded. links: - href: '#cm-2_smt.b.3' rel: assessment-for links: - href: '#cm-2_smt.b' rel: assessment-for links: - href: '#cm-2_smt' rel: assessment-for - id: cm-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing the baseline configuration of the system configuration management plan enterprise architecture documentation system design documentation system security plan privacy plan system architecture and configuration documentation system configuration settings and associated documentation system component inventory change control records other relevant documents or records' - id: cm-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with configuration management responsibilities organizational personnel with information security and privacy responsibilities system/network administrators' - id: cm-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-02-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for managing baseline configurations mechanisms supporting configuration control of the baseline configuration' controls: - id: cm-2.2 class: SP800-53-enhancement title: Automation Support for Accuracy and Currency params: - id: cm-02.02_odp props: - name: alt-identifier value: cm-2.2_prm_1 - name: label value: CM-02(02)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms for maintaining baseline configuration of the system are defined; props: - name: label value: CM-02(02) class: zero-padded - name: label value: CM-2(2) - name: label value: CM-02(02) class: sp800-53a - name: sort-id value: cm-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#cm-2' rel: required - href: '#cm-7' rel: related - href: '#ia-3' rel: related - href: '#ra-5' rel: related parts: - id: cm-2.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Maintain the currency, completeness, accuracy, and availability of the baseline configuration of the system using {{ insert: param, cm-02.02_odp }}.' - id: cm-2.2_gdn name: guidance prose: Automated mechanisms that help organizations maintain consistent baseline configurations for systems include configuration management tools, hardware, software, firmware inventory tools, and network management tools. Automated tools can be used at the organization level, mission and business process level, or system level on workstations, servers, notebook computers, network components, or mobile devices. Tools can be used to track version numbers on operating systems, applications, types of software installed, and current patch levels. Automation support for accuracy and currency can be satisfied by the implementation of [CM-8(2)](#cm-8.2) for organizations that combine system component inventory and baseline configuration activities. - id: cm-2.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-02(02) class: sp800-53a parts: - id: cm-2.2_obj-1 name: assessment-objective props: - name: label value: CM-02(02)[01] class: sp800-53a prose: 'the currency of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }};' links: - href: '#cm-2.2_smt' rel: assessment-for - id: cm-2.2_obj-2 name: assessment-objective props: - name: label value: CM-02(02)[02] class: sp800-53a prose: 'the completeness of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }};' links: - href: '#cm-2.2_smt' rel: assessment-for - id: cm-2.2_obj-3 name: assessment-objective props: - name: label value: CM-02(02)[03] class: sp800-53a prose: 'the accuracy of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }};' links: - href: '#cm-2.2_smt' rel: assessment-for - id: cm-2.2_obj-4 name: assessment-objective props: - name: label value: CM-02(02)[04] class: sp800-53a prose: 'the availability of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }}.' links: - href: '#cm-2.2_smt' rel: assessment-for links: - href: '#cm-2.2_smt' rel: assessment-for - id: cm-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing the baseline configuration of the system configuration management plan system design documentation system architecture and configuration documentation system configuration settings and associated documentation system component inventory configuration change control records system security plan other relevant documents or records' - id: cm-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with configuration management responsibilities organizational personnel with information security responsibilities system/network administrators' - id: cm-2.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-02(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for managing baseline configurations automated mechanisms implementing baseline configuration maintenance' - id: cm-2.3 class: SP800-53-enhancement title: Retention of Previous Configurations params: - id: cm-02.03_odp props: - name: alt-identifier value: cm-2.3_prm_1 - name: label value: CM-02(03)_ODP class: sp800-53a label: number constraints: - description: organization-defined number of previous versions of baseline configurations of the previously approved baseline configuration of IS components guidelines: - prose: the number of previous baseline configuration versions to be retained is defined; props: - name: label value: CM-02(03) class: zero-padded - name: label value: CM-2(3) - name: label value: CM-02(03) class: sp800-53a - name: sort-id value: cm-02.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#cm-2' rel: required parts: - id: cm-2.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Retain {{ insert: param, cm-02.03_odp }} of previous versions of baseline configurations of the system to support rollback.' - id: cm-2.3_gdn name: guidance prose: Retaining previous versions of baseline configurations to support rollback include hardware, software, firmware, configuration files, configuration records, and associated documentation. - id: cm-2.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CM-02(03) class: sp800-53a prose: '{{ insert: param, cm-02.03_odp }} of previous baseline configuration version(s) of the system is/are retained to support rollback.' links: - href: '#cm-2.3_smt' rel: assessment-for - id: cm-2.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-02(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing the baseline configuration of the system configuration management plan system architecture and configuration documentation system configuration settings and associated documentation copies of previous baseline configuration versions system security plan other relevant documents or records' - id: cm-2.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-02(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with configuration management responsibilities organizational personnel with information security responsibilities system/network administrators' - id: cm-2.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-02(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for managing baseline configurations - id: cm-2.7 class: SP800-53-enhancement title: Configure Systems and Components for High-risk Areas params: - id: cm-02.07_odp.01 props: - name: alt-identifier value: cm-2.7_prm_1 - name: label value: CM-02(07)_ODP[01] class: sp800-53a label: systems or system components guidelines: - prose: the systems or system components to be issued when individuals travel to high-risk areas are defined; - id: cm-02.07_odp.02 props: - name: alt-identifier value: cm-2.7_prm_2 - name: label value: CM-02(07)_ODP[02] class: sp800-53a label: configurations guidelines: - prose: configurations for systems or system components to be issued when individuals travel to high-risk areas are defined; - id: cm-02.07_odp.03 props: - name: alt-identifier value: cm-2.7_prm_3 - name: label value: CM-02(07)_ODP[03] class: sp800-53a label: controls guidelines: - prose: the controls to be applied when the individuals return from travel are defined; props: - name: label value: CM-02(07) class: zero-padded - name: label value: CM-2(7) - name: label value: CM-02(07) class: sp800-53a - name: sort-id value: cm-02.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#cm-2' rel: required - href: '#mp-4' rel: related - href: '#mp-5' rel: related parts: - id: cm-2.7_smt name: statement parts: - id: cm-2.7_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Issue {{ insert: param, cm-02.07_odp.01 }} with {{ insert: param, cm-02.07_odp.02 }} to individuals traveling to locations that the organization deems to be of significant risk; and' - id: cm-2.7_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'Apply the following controls to the systems or components when the individuals return from travel: {{ insert: param, cm-02.07_odp.03 }}.' - id: cm-2.7_gdn name: guidance prose: When it is known that systems or system components will be in high-risk areas external to the organization, additional controls may be implemented to counter the increased threat in such areas. For example, organizations can take actions for notebook computers used by individuals departing on and returning from travel. Actions include determining the locations that are of concern, defining the required configurations for the components, ensuring that components are configured as intended before travel is initiated, and applying controls to the components after travel is completed. Specially configured notebook computers include computers with sanitized hard drives, limited applications, and more stringent configuration settings. Controls applied to mobile devices upon return from travel include examining the mobile device for signs of physical tampering and purging and reimaging disk drives. Protecting information that resides on mobile devices is addressed in the [MP](#mp) (Media Protection) family. - id: cm-2.7_obj name: assessment-objective props: - name: label value: CM-02(07) class: sp800-53a parts: - id: cm-2.7_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-02(07)(a) class: sp800-53a prose: '{{ insert: param, cm-02.07_odp.01 }} with {{ insert: param, cm-02.07_odp.02 }} are issued to individuals traveling to locations that the organization deems to be of significant risk;' links: - href: '#cm-2.7_smt.a' rel: assessment-for - id: cm-2.7_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-02(07)(b) class: sp800-53a prose: '{{ insert: param, cm-02.07_odp.03 }} are applied to the systems or system components when the individuals return from travel.' links: - href: '#cm-2.7_smt.b' rel: assessment-for links: - href: '#cm-2.7_smt' rel: assessment-for - id: cm-2.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-02(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy configuration management plan procedures addressing the baseline configuration of the system procedures addressing system component installations and upgrades system architecture and configuration documentation system configuration settings and associated documentation system component inventory records of system baseline configuration reviews and updates system component installations/upgrades and associated records change control records system security plan other relevant documents or records' - id: cm-2.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-02(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with configuration management responsibilities organizational personnel with information security responsibilities system/network administrators' - id: cm-2.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-02(07)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for managing baseline configurations - id: cm-3 class: SP800-53 title: Configuration Change Control params: - id: cm-03_odp.01 props: - name: alt-identifier value: cm-3_prm_1 - name: label value: CM-03_ODP[01] class: sp800-53a label: time period guidelines: - prose: the time period to retain records of configuration-controlled changes is defined; - id: cm-03_odp.02 props: - name: alt-identifier value: cm-3_prm_2 - name: label value: CM-03_ODP[02] class: sp800-53a label: configuration change control element guidelines: - prose: the configuration change control element responsible for coordinating and overseeing change control activities is defined; - id: cm-03_odp.03 props: - name: alt-identifier value: cm-3_prm_3 - name: label value: CM-03_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - '{{ insert: param, cm-03_odp.04 }}' - 'when {{ insert: param, cm-03_odp.05 }}' - id: cm-03_odp.04 props: - name: alt-identifier value: cm-3_prm_4 - name: label value: CM-03_ODP[04] class: sp800-53a label: frequency guidelines: - prose: the frequency at which the configuration control element convenes is defined (if selected); - id: cm-03_odp.05 props: - name: alt-identifier value: cm-3_prm_5 - name: label value: CM-03_ODP[05] class: sp800-53a label: configuration change conditions guidelines: - prose: configuration change conditions that prompt the configuration control element to convene are defined (if selected); props: - name: label value: CM-03 class: zero-padded - name: label value: CM-3 - name: label value: CM-03 class: sp800-53a - name: sort-id value: cm-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#0f66be67-85e7-4ca6-bd19-39453e9f4394' rel: reference - href: '#20db4e66-e257-450c-b2e4-2bb9a62a2c88' rel: reference - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference - href: '#ca-7' rel: related - href: '#cm-2' rel: related - href: '#cm-4' rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: '#cm-9' rel: related - href: '#cm-11' rel: related - href: '#ia-3' rel: related - href: '#ma-2' rel: related - href: '#pe-16' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-6 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ra-8 rel: related - href: '#sa-8' rel: related - href: '#sa-10' rel: related - href: '#sc-28' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-34 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-37 rel: related - href: '#si-2' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related - href: '#si-10' rel: related - href: '#sr-11' rel: related parts: - id: cm-3_smt name: statement parts: - id: cm-3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Determine and document the types of changes to the system that are configuration-controlled; - id: cm-3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Review proposed configuration-controlled changes to the system and approve or disapprove such changes with explicit consideration for security and privacy impact analyses; - id: cm-3_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Document configuration change decisions associated with the system; - id: cm-3_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Implement approved configuration-controlled changes to the system; - id: cm-3_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: 'Retain records of configuration-controlled changes to the system for {{ insert: param, cm-03_odp.01 }};' - id: cm-3_smt.f name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: f. prose: Monitor and review activities associated with configuration-controlled changes to the system; and - id: cm-3_smt.g name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: g. prose: 'Coordinate and provide oversight for configuration change control activities through {{ insert: param, cm-03_odp.02 }} that convenes {{ insert: param, cm-03_odp.03 }}.' - id: cm-3_gdn name: guidance prose: Configuration change control for organizational systems involves the systematic proposal, justification, implementation, testing, review, and disposition of system changes, including system upgrades and modifications. Configuration change control includes changes to baseline configurations, configuration items of systems, operational procedures, configuration settings for system components, remediate vulnerabilities, and unscheduled or unauthorized changes. Processes for managing configuration changes to systems include Configuration Control Boards or Change Advisory Boards that review and approve proposed changes. For changes that impact privacy risk, the senior agency official for privacy updates privacy impact assessments and system of records notices. For new systems or major upgrades, organizations consider including representatives from the development organizations on the Configuration Control Boards or Change Advisory Boards. Auditing of changes includes activities before and after changes are made to systems and the auditing activities required to implement such changes. See also [SA-10](#sa-10). - id: cm-3_fr name: item ns: http://fedramp.gov/ns/oscal title: CM-3 Additional FedRAMP Requirements and Guidance parts: - id: cm-3_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: The service provider establishes a central means of communicating major changes to or developments in the information system or environment of operations that may affect its services to the federal government and associated service consumers (e.g., electronic bulletin board, web status page). The means of communication are approved and accepted by the AO. - id: cm-3_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: '(e) Guidance:' prose: In accordance with record retention policies and procedures. - id: cm-3_obj name: assessment-objective props: - name: label value: CM-03 class: sp800-53a parts: - id: cm-3_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-03a. class: sp800-53a prose: the types of changes to the system that are configuration-controlled are determined and documented; links: - href: '#cm-3_smt.a' rel: assessment-for - id: cm-3_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-03b. class: sp800-53a parts: - id: cm-3_obj.b-1 name: assessment-objective props: - name: label value: CM-03b.[01] class: sp800-53a prose: proposed configuration-controlled changes to the system are reviewed; links: - href: '#cm-3_smt.b' rel: assessment-for - id: cm-3_obj.b-2 name: assessment-objective props: - name: label value: CM-03b.[02] class: sp800-53a prose: proposed configuration-controlled changes to the system are approved or disapproved with explicit consideration for security and privacy impact analyses; links: - href: '#cm-3_smt.b' rel: assessment-for links: - href: '#cm-3_smt.b' rel: assessment-for - id: cm-3_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-03c. class: sp800-53a prose: configuration change decisions associated with the system are documented; links: - href: '#cm-3_smt.c' rel: assessment-for - id: cm-3_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CM-03d. class: sp800-53a prose: approved configuration-controlled changes to the system are implemented; links: - href: '#cm-3_smt.d' rel: assessment-for - id: cm-3_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CM-03e. class: sp800-53a prose: 'records of configuration-controlled changes to the system are retained for {{ insert: param, cm-03_odp.01 }};' links: - href: '#cm-3_smt.e' rel: assessment-for - id: cm-3_obj.f name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-03f. class: sp800-53a parts: - id: cm-3_obj.f-1 name: assessment-objective props: - name: label value: CM-03f.[01] class: sp800-53a prose: activities associated with configuration-controlled changes to the system are monitored; links: - href: '#cm-3_smt.f' rel: assessment-for - id: cm-3_obj.f-2 name: assessment-objective props: - name: label value: CM-03f.[02] class: sp800-53a prose: activities associated with configuration-controlled changes to the system are reviewed; links: - href: '#cm-3_smt.f' rel: assessment-for links: - href: '#cm-3_smt.f' rel: assessment-for - id: cm-3_obj.g name: assessment-objective props: - name: label value: CM-03g. class: sp800-53a parts: - id: cm-3_obj.g-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-03g.[01] class: sp800-53a prose: 'configuration change control activities are coordinated and overseen by {{ insert: param, cm-03_odp.02 }};' links: - href: '#cm-3_smt.g' rel: assessment-for - id: cm-3_obj.g-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-03g.[02] class: sp800-53a prose: 'the configuration control element convenes {{ insert: param, cm-03_odp.03 }}.' links: - href: '#cm-3_smt.g' rel: assessment-for links: - href: '#cm-3_smt.g' rel: assessment-for links: - href: '#cm-3_smt' rel: assessment-for - id: cm-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-03-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing system configuration change control configuration management plan system architecture and configuration documentation change control records system audit records change control audit and review reports agenda/minutes/documentation from configuration change control oversight meetings system security plan privacy plan privacy impact assessments system of records notices other relevant documents or records' - id: cm-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-03-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with configuration change control responsibilities organizational personnel with information security and privacy responsibilities system/network administrators members of change control board or similar' - id: cm-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-03-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for configuration change control mechanisms that implement configuration change control' controls: - id: cm-3.1 class: SP800-53-enhancement title: Automated Documentation, Notification, and Prohibition of Changes params: - id: cm-03.01_odp.01 props: - name: alt-identifier value: cm-3.1_prm_1 - name: label value: CM-03(01)_ODP[01] class: sp800-53a label: automated mechanisms guidelines: - prose: mechanisms used to automate configuration change control are defined; - id: cm-03.01_odp.02 props: - name: alt-identifier value: cm-3.1_prm_2 - name: label value: CM-03(01)_ODP[02] class: sp800-53a label: approval authorities guidelines: - prose: approval authorities to be notified of and request approval for proposed changes to the system are defined; - id: cm-03.01_odp.03 props: - name: alt-identifier value: cm-3.1_prm_3 - name: label value: CM-03(01)_ODP[03] class: sp800-53a label: time period constraints: - description: organization agreed upon time period guidelines: - prose: the time period after which to highlight changes that have not been approved or disapproved is defined; - id: cm-03.01_odp.04 props: - name: alt-identifier value: cm-3.1_prm_4 - name: label value: CM-03(01)_ODP[04] class: sp800-53a label: personnel constraints: - description: organization defined configuration management approval authorities guidelines: - prose: personnel to be notified when approved changes are complete is/are defined; props: - name: label value: CM-03(01) class: zero-padded - name: label value: CM-3(1) - name: label value: CM-03(01) class: sp800-53a - name: sort-id value: cm-03.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#cm-3' rel: required parts: - id: cm-3.1_smt name: statement prose: 'Use {{ insert: param, cm-03.01_odp.01 }} to:' parts: - id: cm-3.1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: Document proposed changes to the system; - id: cm-3.1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'Notify {{ insert: param, cm-03.01_odp.02 }} of proposed changes to the system and request change approval;' - id: cm-3.1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (c) prose: 'Highlight proposed changes to the system that have not been approved or disapproved within {{ insert: param, cm-03.01_odp.03 }};' - id: cm-3.1_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (d) prose: Prohibit changes to the system until designated approvals are received; - id: cm-3.1_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (e) prose: Document all changes to the system; and - id: cm-3.1_smt.f name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (f) prose: 'Notify {{ insert: param, cm-03.01_odp.04 }} when approved changes to the system are completed.' - id: cm-3.1_gdn name: guidance prose: None. - id: cm-3.1_obj name: assessment-objective props: - name: label value: CM-03(01) class: sp800-53a parts: - id: cm-3.1_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-03(01)(a) class: sp800-53a prose: '{{ insert: param, cm-03.01_odp.01 }} are used to document proposed changes to the system;' links: - href: '#cm-3.1_smt.a' rel: assessment-for - id: cm-3.1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-03(01)(b) class: sp800-53a prose: '{{ insert: param, cm-03.01_odp.01 }} are used to notify {{ insert: param, cm-03.01_odp.02 }} of proposed changes to the system and request change approval;' links: - href: '#cm-3.1_smt.b' rel: assessment-for - id: cm-3.1_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-03(01)(c) class: sp800-53a prose: '{{ insert: param, cm-03.01_odp.01 }} are used to highlight proposed changes to the system that have not been approved or disapproved within {{ insert: param, cm-03.01_odp.03 }};' links: - href: '#cm-3.1_smt.c' rel: assessment-for - id: cm-3.1_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-03(01)(d) class: sp800-53a prose: '{{ insert: param, cm-03.01_odp.01 }} are used to prohibit changes to the system until designated approvals are received;' links: - href: '#cm-3.1_smt.d' rel: assessment-for - id: cm-3.1_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-03(01)(e) class: sp800-53a prose: '{{ insert: param, cm-03.01_odp.01 }} are used to document all changes to the system;' links: - href: '#cm-3.1_smt.e' rel: assessment-for - id: cm-3.1_obj.f name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-03(01)(f) class: sp800-53a prose: '{{ insert: param, cm-03.01_odp.01 }} are used to notify {{ insert: param, cm-03.01_odp.04 }} when approved changes to the system are completed.' links: - href: '#cm-3.1_smt.f' rel: assessment-for links: - href: '#cm-3.1_smt' rel: assessment-for - id: cm-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing system configuration change control configuration management plan system design documentation system architecture and configuration documentation automated configuration control mechanisms system configuration settings and associated documentation change control records system audit records change approval requests change approvals system security plan other relevant documents or records' - id: cm-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with configuration change control responsibilities organizational personnel with information security responsibilities system/network administrators system developers members of change control board or similar' - id: cm-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-03(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for configuration change control automated mechanisms implementing configuration change control activities' - id: cm-3.2 class: SP800-53-enhancement title: Testing, Validation, and Documentation of Changes props: - name: label value: CM-03(02) class: zero-padded - name: label value: CM-3(2) - name: label value: CM-03(02) class: sp800-53a - name: sort-id value: cm-03.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#cm-3' rel: required parts: - id: cm-3.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Test, validate, and document changes to the system before finalizing the implementation of the changes. - id: cm-3.2_gdn name: guidance prose: Changes to systems include modifications to hardware, software, or firmware components and configuration settings defined in [CM-6](#cm-6) . Organizations ensure that testing does not interfere with system operations that support organizational mission and business functions. Individuals or groups conducting tests understand security and privacy policies and procedures, system security and privacy policies and procedures, and the health, safety, and environmental risks associated with specific facilities or processes. Operational systems may need to be taken offline, or replicated to the extent feasible, before testing can be conducted. If systems must be taken offline for testing, the tests are scheduled to occur during planned system outages whenever possible. If the testing cannot be conducted on operational systems, organizations employ compensating controls. - id: cm-3.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-03(02) class: sp800-53a parts: - id: cm-3.2_obj-1 name: assessment-objective props: - name: label value: CM-03(02)[01] class: sp800-53a prose: changes to the system are tested before finalizing the implementation of the changes; links: - href: '#cm-3.2_smt' rel: assessment-for - id: cm-3.2_obj-2 name: assessment-objective props: - name: label value: CM-03(02)[02] class: sp800-53a prose: changes to the system are validated before finalizing the implementation of the changes; links: - href: '#cm-3.2_smt' rel: assessment-for - id: cm-3.2_obj-3 name: assessment-objective props: - name: label value: CM-03(02)[03] class: sp800-53a prose: changes to the system are documented before finalizing the implementation of the changes. links: - href: '#cm-3.2_smt' rel: assessment-for links: - href: '#cm-3.2_smt' rel: assessment-for - id: cm-3.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-03(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy configuration management plan procedures addressing system configuration change control system design documentation system architecture and configuration documentation system configuration settings and associated documentation test records validation records change control records system audit records system security plan other relevant documents or records' - id: cm-3.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-03(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with configuration change control responsibilities organizational personnel with information security responsibilities system/network administrators system developers members of change control board or similar' - id: cm-3.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-03(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for configuration change control mechanisms supporting and/or implementing, testing, validating, and documenting system changes' - id: cm-3.4 class: SP800-53-enhancement title: Security and Privacy Representatives params: - id: cm-3.4_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-03.04_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-03.04_odp.02 label: organization-defined security and privacy representatives - id: cm-03.04_odp.01 props: - name: label value: CM-03(04)_ODP[01] class: sp800-53a label: security representatives guidelines: - prose: security representatives required to be members of the change control element are defined; - id: cm-03.04_odp.02 props: - name: label value: CM-03(04)_ODP[02] class: sp800-53a label: privacy representatives guidelines: - prose: privacy representatives required to be members of the change control element are defined; - id: cm-03.04_odp.03 props: - name: alt-identifier value: cm-3.4_prm_2 - name: label value: CM-03(04)_ODP[03] class: sp800-53a label: configuration change control element constraints: - description: Configuration control board (CCB) or similar (as defined in CM-3) guidelines: - prose: the configuration change control element of which the security and privacy representatives are to be members is defined; props: - name: label value: CM-03(04) class: zero-padded - name: label value: CM-3(4) - name: label value: CM-03(04) class: sp800-53a - name: sort-id value: cm-03.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-3' rel: required parts: - id: cm-3.4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Require {{ insert: param, cm-3.4_prm_1 }} to be members of the {{ insert: param, cm-03.04_odp.03 }}.' - id: cm-3.4_gdn name: guidance prose: Information security and privacy representatives include system security officers, senior agency information security officers, senior agency officials for privacy, or system privacy officers. Representation by personnel with information security and privacy expertise is important because changes to system configurations can have unintended side effects, some of which may be security- or privacy-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security and privacy posture of systems. The configuration change control element referred to in the second organization-defined parameter reflects the change control elements defined by organizations in [CM-3g](#cm-3_smt.g). - id: cm-3.4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-03(04) class: sp800-53a parts: - id: cm-3.4_obj-1 name: assessment-objective props: - name: label value: CM-03(04)[01] class: sp800-53a prose: '{{ insert: param, cm-03.04_odp.01 }} are required to be members of the {{ insert: param, cm-03.04_odp.03 }};' links: - href: '#cm-3.4_smt' rel: assessment-for - id: cm-3.4_obj-2 name: assessment-objective props: - name: label value: CM-03(04)[02] class: sp800-53a prose: '{{ insert: param, cm-03.04_odp.02 }} are required to be members of the {{ insert: param, cm-03.04_odp.03 }}.' links: - href: '#cm-3.4_smt' rel: assessment-for links: - href: '#cm-3.4_smt' rel: assessment-for - id: cm-3.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-03(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing system configuration change control configuration management plan system security plan privacy plan other relevant documents or records' - id: cm-3.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-03(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with configuration change control responsibilities organizational personnel with information security and privacy responsibilities members of change control board or similar' - id: cm-3.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-03(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for configuration change control - id: cm-3.6 class: SP800-53-enhancement title: Cryptography Management params: - id: cm-03.06_odp props: - name: alt-identifier value: cm-3.6_prm_1 - name: label value: CM-03(06)_ODP class: sp800-53a label: controls constraints: - description: All security safeguards that rely on cryptography guidelines: - prose: controls provided by cryptographic mechanisms that are to be under configuration management are defined; props: - name: label value: CM-03(06) class: zero-padded - name: label value: CM-3(6) - name: label value: CM-03(06) class: sp800-53a - name: sort-id value: cm-03.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-3' rel: required - href: '#sc-12' rel: related parts: - id: cm-3.6_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Ensure that cryptographic mechanisms used to provide the following controls are under configuration management: {{ insert: param, cm-03.06_odp }}.' - id: cm-3.6_gdn name: guidance prose: The controls referenced in the control enhancement refer to security and privacy controls from the control catalog. Regardless of the cryptographic mechanisms employed, processes and procedures are in place to manage those mechanisms. For example, if system components use certificates for identification and authentication, a process is implemented to address the expiration of those certificates. - id: cm-3.6_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-03(06) class: sp800-53a prose: 'cryptographic mechanisms used to provide {{ insert: param, cm-03.06_odp }} are under configuration management.' links: - href: '#cm-3.6_smt' rel: assessment-for - id: cm-3.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-03(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing system configuration change control configuration management plan system design documentation system architecture and configuration documentation system configuration settings and associated documentation system security plan other relevant documents or records' - id: cm-3.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-03(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with configuration change control responsibilities organizational personnel with information security responsibilities system/network administrators system developers members of change control board or similar' - id: cm-3.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-03(06)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for configuration change control cryptographic mechanisms implementing organizational security safeguards (controls)' - id: cm-4 class: SP800-53 title: Impact Analyses props: - name: label value: CM-04 class: zero-padded - name: label value: CM-4 - name: label value: CM-04 class: sp800-53a - name: sort-id value: cm-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#20db4e66-e257-450c-b2e4-2bb9a62a2c88' rel: reference - href: '#ca-7' rel: related - href: '#cm-3' rel: related - href: '#cm-8' rel: related - href: '#cm-9' rel: related - href: '#ma-2' rel: related - href: '#ra-3' rel: related - href: '#ra-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ra-8 rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-10' rel: related - href: '#si-2' rel: related parts: - id: cm-4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Analyze changes to the system to determine potential security and privacy impacts prior to change implementation. - id: cm-4_gdn name: guidance prose: Organizational personnel with security or privacy responsibilities conduct impact analyses. Individuals conducting impact analyses possess the necessary skills and technical expertise to analyze the changes to systems as well as the security or privacy ramifications. Impact analyses include reviewing security and privacy plans, policies, and procedures to understand control requirements; reviewing system design documentation and operational procedures to understand control implementation and how specific system changes might affect the controls; reviewing the impact of changes on organizational supply chain partners with stakeholders; and determining how potential changes to a system create new risks to the privacy of individuals and the ability of implemented controls to mitigate those risks. Impact analyses also include risk assessments to understand the impact of the changes and determine if additional controls are required. - id: cm-4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-04 class: sp800-53a parts: - id: cm-4_obj-1 name: assessment-objective props: - name: label value: CM-04[01] class: sp800-53a prose: changes to the system are analyzed to determine potential security impacts prior to change implementation; links: - href: '#cm-4_smt' rel: assessment-for - id: cm-4_obj-2 name: assessment-objective props: - name: label value: CM-04[02] class: sp800-53a prose: changes to the system are analyzed to determine potential privacy impacts prior to change implementation. links: - href: '#cm-4_smt' rel: assessment-for links: - href: '#cm-4_smt' rel: assessment-for - id: cm-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-04-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing security impact analyses for changes to the system procedures addressing privacy impact analyses for changes to the system configuration management plan security impact analysis documentation privacy impact analysis documentation privacy impact assessment privacy risk assessment documentation, system design documentation analysis tools and associated outputs change control records system audit records system security plan privacy plan other relevant documents or records' - id: cm-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-04-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibility for conducting security impact analyses organizational personnel with responsibility for conducting privacy impact analyses organizational personnel with information security and privacy responsibilities system developer system/network administrators members of change control board or similar' - id: cm-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-04-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for security impact analyses organizational processes for privacy impact analyses' controls: - id: cm-4.1 class: SP800-53-enhancement title: Separate Test Environments props: - name: label value: CM-04(01) class: zero-padded - name: label value: CM-4(1) - name: label value: CM-04(01) class: sp800-53a - name: sort-id value: cm-04.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#cm-4' rel: required - href: '#sa-11' rel: related - href: '#sc-7' rel: related parts: - id: cm-4.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Analyze changes to the system in a separate test environment before implementation in an operational environment, looking for security and privacy impacts due to flaws, weaknesses, incompatibility, or intentional malice. - id: cm-4.1_gdn name: guidance prose: A separate test environment requires an environment that is physically or logically separate and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment and that information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not implemented, organizations determine the strength of mechanism required when implementing logical separation. - id: cm-4.1_obj name: assessment-objective props: - name: label value: CM-04(01) class: sp800-53a parts: - id: cm-4.1_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-04(01)[01] class: sp800-53a prose: changes to the system are analyzed in a separate test environment before implementation in an operational environment; links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-04(01)[02] class: sp800-53a prose: changes to the system are analyzed for security impacts due to flaws; links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_obj-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-04(01)[03] class: sp800-53a prose: changes to the system are analyzed for privacy impacts due to flaws; links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_obj-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-04(01)[04] class: sp800-53a prose: changes to the system are analyzed for security impacts due to weaknesses; links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_obj-5 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-04(01)[05] class: sp800-53a prose: changes to the system are analyzed for privacy impacts due to weaknesses; links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_obj-6 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-04(01)[06] class: sp800-53a prose: changes to the system are analyzed for security impacts due to incompatibility; links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_obj-7 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-04(01)[07] class: sp800-53a prose: changes to the system are analyzed for privacy impacts due to incompatibility; links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_obj-8 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-04(01)[08] class: sp800-53a prose: changes to the system are analyzed for security impacts due to intentional malice; links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_obj-9 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-04(01)[09] class: sp800-53a prose: changes to the system are analyzed for privacy impacts due to intentional malice. links: - href: '#cm-4.1_smt' rel: assessment-for links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing security impact analyses for changes to the system procedures addressing privacy impact analyses for changes to the system configuration management plan security impact analysis documentation privacy impact analysis documentation privacy impact assessment privacy risk assessment documentation analysis tools and associated outputs system design documentation system architecture and configuration documentation change control records procedures addressing the authority to test with PII system audit records documentation of separate test and operational environments system security plan privacy plan other relevant documents or records' - id: cm-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibility for conducting security and privacy impact analyses organizational personnel with information security and privacy responsibilities system/network administrators members of change control board or similar' - id: cm-4.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-04(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for security and privacy impact analyses mechanisms supporting and/or implementing security and privacy impact analyses of changes' - id: cm-4.2 class: SP800-53-enhancement title: Verification of Controls props: - name: label value: CM-04(02) class: zero-padded - name: label value: CM-4(2) - name: label value: CM-04(02) class: sp800-53a - name: sort-id value: cm-04.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#cm-4' rel: required - href: '#sa-11' rel: related - href: '#sc-3' rel: related - href: '#si-6' rel: related parts: - id: cm-4.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: After system changes, verify that the impacted controls are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security and privacy requirements for the system. - id: cm-4.2_gdn name: guidance prose: Implementation in this context refers to installing changed code in the operational system that may have an impact on security or privacy controls. - id: cm-4.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-04(02) class: sp800-53a parts: - id: cm-4.2_obj-1 name: assessment-objective props: - name: label value: CM-04(02)[01] class: sp800-53a prose: the impacted controls are implemented correctly with regard to meeting the security requirements for the system after system changes; links: - href: '#cm-4.2_smt' rel: assessment-for - id: cm-4.2_obj-2 name: assessment-objective props: - name: label value: CM-04(02)[02] class: sp800-53a prose: the impacted controls are implemented correctly with regard to meeting the privacy requirements for the system after system changes; links: - href: '#cm-4.2_smt' rel: assessment-for - id: cm-4.2_obj-3 name: assessment-objective props: - name: label value: CM-04(02)[03] class: sp800-53a prose: the impacted controls are operating as intended with regard to meeting the security requirements for the system after system changes; links: - href: '#cm-4.2_smt' rel: assessment-for - id: cm-4.2_obj-4 name: assessment-objective props: - name: label value: CM-04(02)[04] class: sp800-53a prose: the impacted controls are operating as intended with regard to meeting the privacy requirements for the system after system changes; links: - href: '#cm-4.2_smt' rel: assessment-for - id: cm-4.2_obj-5 name: assessment-objective props: - name: label value: CM-04(02)[05] class: sp800-53a prose: the impacted controls are producing the desired outcome with regard to meeting the security requirements for the system after system changes; links: - href: '#cm-4.2_smt' rel: assessment-for - id: cm-4.2_obj-6 name: assessment-objective props: - name: label value: CM-04(02)[06] class: sp800-53a prose: the impacted controls are producing the desired outcome with regard to meeting the privacy requirements for the system after system changes. links: - href: '#cm-4.2_smt' rel: assessment-for links: - href: '#cm-4.2_smt' rel: assessment-for - id: cm-4.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-04(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing security impact analyses for changes to the system procedures addressing privacy impact analyses for changes to the system privacy risk assessment documentation configuration management plan security and privacy impact analysis documentation privacy impact assessment analysis tools and associated outputs change control records control assessment results system audit records system component inventory system security plan privacy plan other relevant documents or records' - id: cm-4.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-04(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibility for conducting security and privacy impact analyses organizational personnel with information security and privacy responsibilities system/network administrators security and privacy assessors' - id: cm-4.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-04(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for security and privacy impact analyses mechanisms supporting and/or implementing security and privacy impact analyses of changes' - id: cm-5 class: SP800-53 title: Access Restrictions for Change props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: CM-05 class: zero-padded - name: label value: CM-5 - name: label value: CM-05 class: sp800-53a - name: sort-id value: cm-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1' rel: reference - href: '#ac-3' rel: related - href: '#ac-5' rel: related - href: '#ac-6' rel: related - href: '#cm-9' rel: related - href: '#pe-3' rel: related - href: '#sc-28' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-34 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-37 rel: related - href: '#si-2' rel: related - href: '#si-10' rel: related parts: - id: cm-5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Define, document, approve, and enforce physical and logical access restrictions associated with changes to the system. - id: cm-5_gdn name: guidance prose: Changes to the hardware, software, or firmware components of systems or the operational procedures related to the system can potentially have significant effects on the security of the systems or individuals’ privacy. Therefore, organizations permit only qualified and authorized individuals to access systems for purposes of initiating changes. Access restrictions include physical and logical access controls (see [AC-3](#ac-3) and [PE-3](#pe-3) ), software libraries, workflow automation, media libraries, abstract layers (i.e., changes implemented into external interfaces rather than directly into systems), and change windows (i.e., changes occur only during specified times). - id: cm-5_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-05 class: sp800-53a parts: - id: cm-5_obj-1 name: assessment-objective props: - name: label value: CM-05[01] class: sp800-53a prose: physical access restrictions associated with changes to the system are defined and documented; links: - href: '#cm-5_smt' rel: assessment-for - id: cm-5_obj-2 name: assessment-objective props: - name: label value: CM-05[02] class: sp800-53a prose: physical access restrictions associated with changes to the system are approved; links: - href: '#cm-5_smt' rel: assessment-for - id: cm-5_obj-3 name: assessment-objective props: - name: label value: CM-05[03] class: sp800-53a prose: physical access restrictions associated with changes to the system are enforced; links: - href: '#cm-5_smt' rel: assessment-for - id: cm-5_obj-4 name: assessment-objective props: - name: label value: CM-05[04] class: sp800-53a prose: logical access restrictions associated with changes to the system are defined and documented; links: - href: '#cm-5_smt' rel: assessment-for - id: cm-5_obj-5 name: assessment-objective props: - name: label value: CM-05[05] class: sp800-53a prose: logical access restrictions associated with changes to the system are approved; links: - href: '#cm-5_smt' rel: assessment-for - id: cm-5_obj-6 name: assessment-objective props: - name: label value: CM-05[06] class: sp800-53a prose: logical access restrictions associated with changes to the system are enforced. links: - href: '#cm-5_smt' rel: assessment-for links: - href: '#cm-5_smt' rel: assessment-for - id: cm-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-05-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing access restrictions for changes to the system configuration management plan system design documentation system architecture and configuration documentation system configuration settings and associated documentation logical access approvals physical access approvals access credentials change control records system audit records system security plan other relevant documents or records' - id: cm-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-05-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with logical access control responsibilities organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities system/network administrators' - id: cm-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-05-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for managing access restrictions to change mechanisms supporting, implementing, or enforcing access restrictions associated with changes to the system' controls: - id: cm-5.1 class: SP800-53-enhancement title: Automated Access Enforcement and Audit Records params: - id: cm-05.01_odp props: - name: alt-identifier value: cm-5.1_prm_1 - name: label value: CM-05(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: mechanisms used to automate the enforcement of access restrictions are defined; props: - name: label value: CM-05(01) class: zero-padded - name: label value: CM-5(1) - name: label value: CM-05(01) class: sp800-53a - name: sort-id value: cm-05.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#cm-5' rel: required - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#au-12' rel: related - href: '#cm-6' rel: related - href: '#cm-11' rel: related - href: '#si-12' rel: related parts: - id: cm-5.1_smt name: statement parts: - id: cm-5.1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Enforce access restrictions using {{ insert: param, cm-05.01_odp }} ; and' - id: cm-5.1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Automatically generate audit records of the enforcement actions. - id: cm-5.1_gdn name: guidance prose: Organizations log system accesses associated with applying configuration changes to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes. - id: cm-5.1_obj name: assessment-objective props: - name: label value: CM-05(01) class: sp800-53a parts: - id: cm-5.1_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CM-05(01)(a) class: sp800-53a prose: 'access restrictions for change are enforced using {{ insert: param, cm-05.01_odp }};' links: - href: '#cm-5.1_smt.a' rel: assessment-for - id: cm-5.1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-05(01)(b) class: sp800-53a prose: audit records of enforcement actions are automatically generated. links: - href: '#cm-5.1_smt.b' rel: assessment-for links: - href: '#cm-5.1_smt' rel: assessment-for - id: cm-5.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-05(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing access restrictions for changes to the system system design documentation system architecture and configuration documentation system configuration settings and associated documentation change control records system audit records system security plan other relevant documents or records' - id: cm-5.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-05(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with logical access control responsibilities organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities system/network administrators' - id: cm-5.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-05(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for managing access restrictions to change automated mechanisms implementing the enforcement of access restrictions for changes to the system automated mechanisms supporting auditing of enforcement actions' - id: cm-5.5 class: SP800-53-enhancement title: Privilege Limitation for Production and Operation params: - id: cm-5.5_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-05.05_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-05.05_odp.02 label: organization-defined frequency - id: cm-05.05_odp.01 props: - name: label value: CM-05(05)_ODP[01] class: sp800-53a label: frequency constraints: - description: at least quarterly guidelines: - prose: frequency at which to review privileges is defined; - id: cm-05.05_odp.02 props: - name: label value: CM-05(05)_ODP[02] class: sp800-53a label: frequency constraints: - description: at least quarterly guidelines: - prose: frequency at which to reevaluate privileges is defined; props: - name: label value: CM-05(05) class: zero-padded - name: label value: CM-5(5) - name: label value: CM-05(05) class: sp800-53a - name: sort-id value: cm-05.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-5' rel: required - href: '#ac-2' rel: related parts: - id: cm-5.5_smt name: statement parts: - id: cm-5.5_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: Limit privileges to change system components and system-related information within a production or operational environment; and - id: cm-5.5_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'Review and reevaluate privileges {{ insert: param, cm-5.5_prm_1 }}.' - id: cm-5.5_gdn name: guidance prose: In many organizations, systems support multiple mission and business functions. Limiting privileges to change system components with respect to operational systems is necessary because changes to a system component may have far-reaching effects on mission and business processes supported by the system. The relationships between systems and mission/business processes are, in some cases, unknown to developers. System-related information includes operational procedures. - id: cm-5.5_obj name: assessment-objective props: - name: label value: CM-05(05) class: sp800-53a parts: - id: cm-5.5_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CM-05(05)(a) class: sp800-53a parts: - id: cm-5.5_obj.a-1 name: assessment-objective props: - name: label value: CM-05(05)(a)[01] class: sp800-53a prose: privileges to change system components within a production or operational environment are limited; links: - href: '#cm-5.5_smt.a' rel: assessment-for - id: cm-5.5_obj.a-2 name: assessment-objective props: - name: label value: CM-05(05)(a)[02] class: sp800-53a prose: privileges to change system-related information within a production or operational environment are limited; links: - href: '#cm-5.5_smt.a' rel: assessment-for links: - href: '#cm-5.5_smt.a' rel: assessment-for - id: cm-5.5_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-05(05)(b) class: sp800-53a parts: - id: cm-5.5_obj.b-1 name: assessment-objective props: - name: label value: CM-05(05)(b)[01] class: sp800-53a prose: 'privileges are reviewed {{ insert: param, cm-05.05_odp.01 }};' links: - href: '#cm-5.5_smt.b' rel: assessment-for - id: cm-5.5_obj.b-2 name: assessment-objective props: - name: label value: CM-05(05)(b)[02] class: sp800-53a prose: 'privileges are reevaluated {{ insert: param, cm-05.05_odp.02 }}.' links: - href: '#cm-5.5_smt.b' rel: assessment-for links: - href: '#cm-5.5_smt.b' rel: assessment-for links: - href: '#cm-5.5_smt' rel: assessment-for - id: cm-5.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-05(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing access restrictions for changes to the system configuration management plan system design documentation system architecture and configuration documentation system configuration settings and associated documentation user privilege reviews user privilege recertifications system component inventory change control records system audit records system security plan other relevant documents or records' - id: cm-5.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-05(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with information security responsibilities system/network administrators' - id: cm-5.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-05(05)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for managing access restrictions to change mechanisms supporting and/or implementing access restrictions for change' - id: cm-6 class: SP800-53 title: Configuration Settings params: - id: cm-06_odp.01 props: - name: alt-identifier value: cm-6_prm_1 - name: label value: CM-06_ODP[01] class: sp800-53a label: common secure configurations guidelines: - prose: common secure configurations to establish and document configuration settings for components employed within the system are defined; - id: cm-06_odp.02 props: - name: alt-identifier value: cm-6_prm_2 - name: label value: CM-06_ODP[02] class: sp800-53a label: system components guidelines: - prose: system components for which approval of deviations is needed are defined; - id: cm-06_odp.03 props: - name: alt-identifier value: cm-6_prm_3 - name: label value: CM-06_ODP[03] class: sp800-53a label: operational requirements guidelines: - prose: operational requirements necessitating approval of deviations are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: CM-06 class: zero-padded - name: label value: CM-6 - name: label value: CM-06 class: sp800-53a - name: sort-id value: cm-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#4895b4cd-34c5-4667-bf8a-27d443c12047' rel: reference - href: '#8016d2ed-d30f-4416-9c45-0f42c7aa3232' rel: reference - href: '#20db4e66-e257-450c-b2e4-2bb9a62a2c88' rel: reference - href: '#98498928-3ca3-44b3-8b1e-f48685373087' rel: reference - href: '#d744d9a3-73eb-4085-b9ff-79e82e9e2d6e' rel: reference - href: '#aa66e14f-e7cb-4a37-99d2-07578dfd4608' rel: reference - href: '#ac-3' rel: related - href: '#ac-19' rel: related - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#ca-9' rel: related - href: '#cm-2' rel: related - href: '#cm-3' rel: related - href: '#cm-5' rel: related - href: '#cm-7' rel: related - href: '#cm-11' rel: related - href: '#cp-7' rel: related - href: '#cp-9' rel: related - href: '#cp-10' rel: related - href: '#ia-3' rel: related - href: '#ia-5' rel: related - href: '#pl-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pl-9 rel: related - href: '#ra-5' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: '#sc-18' rel: related - href: '#sc-28' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-43 rel: related - href: '#si-2' rel: related - href: '#si-4' rel: related - href: '#si-6' rel: related parts: - id: cm-6_smt name: statement parts: - id: cm-6_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Establish and document configuration settings for components employed within the system that reflect the most restrictive mode consistent with operational requirements using {{ insert: param, cm-06_odp.01 }};' - id: cm-6_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Implement the configuration settings; - id: cm-6_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Identify, document, and approve any deviations from established configuration settings for {{ insert: param, cm-06_odp.02 }} based on {{ insert: param, cm-06_odp.03 }} ; and' - id: cm-6_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Monitor and control changes to the configuration settings in accordance with organizational policies and procedures. - id: cm-6_gdn name: guidance prose: 'Configuration settings are the parameters that can be changed in the hardware, software, or firmware components of the system that affect the security and privacy posture or functionality of the system. Information technology products for which configuration settings can be defined include mainframe computers, servers, workstations, operating systems, mobile devices, input/output devices, protocols, and applications. Parameters that impact the security posture of systems include registry settings; account, file, or directory permission settings; and settings for functions, protocols, ports, services, and remote connections. Privacy parameters are parameters impacting the privacy posture of systems, including the parameters required to satisfy other privacy controls. Privacy parameters include settings for access controls, data processing preferences, and processing and retention permissions. Organizations establish organization-wide configuration settings and subsequently derive specific configuration settings for systems. The established settings become part of the configuration baseline for the system. Common secure configurations (also known as security configuration checklists, lockdown and hardening guides, and security reference guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for information technology products and platforms as well as instructions for configuring those products or platforms to meet operational requirements. Common secure configurations can be developed by a variety of organizations, including information technology product developers, manufacturers, vendors, federal agencies, consortia, academia, industry, and other organizations in the public and private sectors. Implementation of a common secure configuration may be mandated at the organization level, mission and business process level, system level, or at a higher level, including by a regulatory agency. Common secure configurations include the United States Government Configuration Baseline [USGCB](#98498928-3ca3-44b3-8b1e-f48685373087) and security technical implementation guides (STIGs), which affect the implementation of [CM-6](#cm-6) and other controls such as [AC-19](#ac-19) and [CM-7](#cm-7) . The Security Content Automation Protocol (SCAP) and the defined standards within the protocol provide an effective method to uniquely identify, track, and control configuration settings.' - id: cm-6_fr name: item ns: http://fedramp.gov/ns/oscal title: CM-6 Additional FedRAMP Requirements and Guidance parts: - id: cm-6_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(a) Requirement 1:' prose: The service provider shall use the DoD STIGs to establish configuration settings; Center for Internet Security up to Level 2 (CIS Level 2) guidelines shall be used if STIGs are not available; Custom baselines shall be used if CIS is not available. - id: cm-6_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(a) Requirement 2:' prose: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) validated or SCAP compatible (if validated checklists are not available). - id: cm-6_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'Compliance checks are used to evaluate configuration settings and provide general insight into the overall effectiveness of configuration management activities. CSPs and 3PAOs typically combine compliance check findings into a single CM-6 finding, which is acceptable. However, for initial assessments, annual assessments, and significant change requests, FedRAMP requires a clear understanding, on a per-control basis, where risks exist. Therefore, 3PAOs must also analyze compliance check findings as part of the controls assessment. Where a direct mapping exists, the 3PAO must document additional findings per control in the corresponding SAR Risk Exposure Table (RET), which are then documented in the CSP''s Plan of Action and Milestones (POA\&M). This will likely result in the details of individual control findings overlapping with those in the combined CM-6 finding, which is acceptable. During monthly continuous monitoring, new findings from CSP compliance checks may be combined into a single CM-6 POA\&M item. CSPs are not required to map the findings to specific controls because controls are only assessed during initial assessments, annual assessments, and significant change requests.' - id: cm-6_obj name: assessment-objective props: - name: label value: CM-06 class: sp800-53a parts: - id: cm-6_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CM-06a. class: sp800-53a prose: 'configuration settings that reflect the most restrictive mode consistent with operational requirements are established and documented for components employed within the system using {{ insert: param, cm-06_odp.01 }};' links: - href: '#cm-6_smt.a' rel: assessment-for - id: cm-6_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-06b. class: sp800-53a prose: the configuration settings documented in CM-06a are implemented; links: - href: '#cm-6_smt.b' rel: assessment-for - id: cm-6_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-06c. class: sp800-53a parts: - id: cm-6_obj.c-1 name: assessment-objective props: - name: label value: CM-06c.[01] class: sp800-53a prose: 'any deviations from established configuration settings for {{ insert: param, cm-06_odp.02 }} are identified and documented based on {{ insert: param, cm-06_odp.03 }};' links: - href: '#cm-6_smt.c' rel: assessment-for - id: cm-6_obj.c-2 name: assessment-objective props: - name: label value: CM-06c.[02] class: sp800-53a prose: 'any deviations from established configuration settings for {{ insert: param, cm-06_odp.02 }} are approved;' links: - href: '#cm-6_smt.c' rel: assessment-for links: - href: '#cm-6_smt.c' rel: assessment-for - id: cm-6_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-06d. class: sp800-53a parts: - id: cm-6_obj.d-1 name: assessment-objective props: - name: label value: CM-06d.[01] class: sp800-53a prose: changes to the configuration settings are monitored in accordance with organizational policies and procedures; links: - href: '#cm-6_smt.d' rel: assessment-for - id: cm-6_obj.d-2 name: assessment-objective props: - name: label value: CM-06d.[02] class: sp800-53a prose: changes to the configuration settings are controlled in accordance with organizational policies and procedures. links: - href: '#cm-6_smt.d' rel: assessment-for links: - href: '#cm-6_smt.d' rel: assessment-for links: - href: '#cm-6_smt' rel: assessment-for - id: cm-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-06-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing configuration settings for the system configuration management plan system design documentation system configuration settings and associated documentation common secure configuration checklists system component inventory evidence supporting approved deviations from established configuration settings change control records system data processing and retention permissions system audit records system security plan privacy plan other relevant documents or records' - id: cm-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-06-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with security configuration management responsibilities organizational personnel with privacy configuration management responsibilities organizational personnel with information security and privacy responsibilities system/network administrators' - id: cm-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-06-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for managing configuration settings mechanisms that implement, monitor, and/or control system configuration settings mechanisms that identify and/or document deviations from established configuration settings' controls: - id: cm-6.1 class: SP800-53-enhancement title: Automated Management, Application, and Verification params: - id: cm-6.1_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-06.01_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-06.01_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-06.01_odp.04 label: organization-defined automated mechanisms - id: cm-06.01_odp.01 props: - name: alt-identifier value: cm-6.1_prm_1 - name: label value: CM-06(01)_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components for which to manage, apply, and verify configuration settings are defined; - id: cm-06.01_odp.02 props: - name: label value: CM-06(01)_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms to manage configuration settings are defined; - id: cm-06.01_odp.03 props: - name: label value: CM-06(01)_ODP[03] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms to apply configuration settings are defined; - id: cm-06.01_odp.04 props: - name: label value: CM-06(01)_ODP[04] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms to verify configuration settings are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: CM-06(01) class: zero-padded - name: label value: CM-6(1) - name: label value: CM-06(01) class: sp800-53a - name: sort-id value: cm-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-6' rel: required - href: '#ca-7' rel: related parts: - id: cm-6.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Manage, apply, and verify configuration settings for {{ insert: param, cm-06.01_odp.01 }} using {{ insert: param, cm-6.1_prm_2 }}.' - id: cm-6.1_gdn name: guidance prose: Automated tools (e.g., hardening tools, baseline configuration tools) can improve the accuracy, consistency, and availability of configuration settings information. Automation can also provide data aggregation and data correlation capabilities, alerting mechanisms, and dashboards to support risk-based decision-making within the organization. - id: cm-6.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CM-06(01) class: sp800-53a parts: - id: cm-6.1_obj-1 name: assessment-objective props: - name: label value: CM-06(01)[01] class: sp800-53a prose: 'configuration settings for {{ insert: param, cm-06.01_odp.01 }} are managed using {{ insert: param, cm-06.01_odp.02 }};' links: - href: '#cm-6.1_smt' rel: assessment-for - id: cm-6.1_obj-2 name: assessment-objective props: - name: label value: CM-06(01)[02] class: sp800-53a prose: 'configuration settings for {{ insert: param, cm-06.01_odp.01 }} are applied using {{ insert: param, cm-06.01_odp.03 }};' links: - href: '#cm-6.1_smt' rel: assessment-for - id: cm-6.1_obj-3 name: assessment-objective props: - name: label value: CM-06(01)[03] class: sp800-53a prose: 'configuration settings for {{ insert: param, cm-06.01_odp.01 }} are verified using {{ insert: param, cm-06.01_odp.04 }}.' links: - href: '#cm-6.1_smt' rel: assessment-for links: - href: '#cm-6.1_smt' rel: assessment-for - id: cm-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-06(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing configuration settings for the system configuration management plan system design documentation system configuration settings and associated documentation system component inventory common secure configuration checklists change control records system audit records system security plan privacy plan other relevant documents or records' - id: cm-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-06(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with security configuration management responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers' - id: cm-6.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-06(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for managing configuration settings automated mechanisms implemented to manage, apply, and verify system configuration settings' - id: cm-6.2 class: SP800-53-enhancement title: Respond to Unauthorized Changes params: - id: cm-06.02_odp.01 props: - name: alt-identifier value: cm-6.2_prm_2 - name: label value: CM-06(02)_ODP[01] class: sp800-53a label: actions guidelines: - prose: actions to be taken upon an unauthorized change are defined; - id: cm-06.02_odp.02 props: - name: alt-identifier value: cm-6.2_prm_1 - name: label value: CM-06(02)_ODP[02] class: sp800-53a label: configuration settings guidelines: - prose: configuration settings requiring action upon an unauthorized change are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: CM-06(02) class: zero-padded - name: label value: CM-6(2) - name: label value: CM-06(02) class: sp800-53a - name: sort-id value: cm-06.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-6' rel: required - href: '#ir-4' rel: related - href: '#ir-6' rel: related - href: '#si-7' rel: related parts: - id: cm-6.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Take the following actions in response to unauthorized changes to {{ insert: param, cm-06.02_odp.02 }}: {{ insert: param, cm-06.02_odp.01 }}.' - id: cm-6.2_gdn name: guidance prose: Responses to unauthorized changes to configuration settings include alerting designated organizational personnel, restoring established configuration settings, or—in extreme cases—halting affected system processing. - id: cm-6.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-06(02) class: sp800-53a prose: '{{ insert: param, cm-06.02_odp.01 }} are taken in response to unauthorized changes to {{ insert: param, cm-06.02_odp.02 }}.' links: - href: '#cm-6.2_smt' rel: assessment-for - id: cm-6.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-06(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System security plan privacy plan configuration management policy procedures addressing configuration settings for the system configuration management plan system design documentation system configuration settings and associated documentation alerts/notifications of unauthorized changes to system configuration settings system component inventory documented responses to unauthorized changes to system configuration settings change control records system audit records other relevant documents or records' - id: cm-6.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-06(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with security configuration management responsibilities organizational personnel with security and privacy responsibilities system/network administrators' - id: cm-6.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-06(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational process for responding to unauthorized changes to system configuration settings mechanisms supporting and/or implementing actions in response to unauthorized changes' - id: cm-7 class: SP800-53 title: Least Functionality params: - id: cm-7_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-07_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-07_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-07_odp.04 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-07_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-07_odp.06 label: organization-defined prohibited or restricted functions, system ports, protocols, software, and/or services - id: cm-07_odp.01 props: - name: alt-identifier value: cm-7_prm_1 - name: alt-label value: mission essential capabilities class: sp800-53 - name: label value: CM-07_ODP[01] class: sp800-53a label: mission-essential capabilities guidelines: - prose: mission-essential capabilities for the system are defined; - id: cm-07_odp.02 props: - name: label value: CM-07_ODP[02] class: sp800-53a label: functions guidelines: - prose: functions to be prohibited or restricted are defined; - id: cm-07_odp.03 props: - name: label value: CM-07_ODP[03] class: sp800-53a label: ports guidelines: - prose: ports to be prohibited or restricted are defined; - id: cm-07_odp.04 props: - name: label value: CM-07_ODP[04] class: sp800-53a label: protocols guidelines: - prose: protocols to be prohibited or restricted are defined; - id: cm-07_odp.05 props: - name: label value: CM-07_ODP[05] class: sp800-53a label: software guidelines: - prose: software to be prohibited or restricted is defined; - id: cm-07_odp.06 props: - name: label value: CM-07_ODP[06] class: sp800-53a label: services guidelines: - prose: services to be prohibited or restricted are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: CM-07 class: zero-padded - name: label value: CM-7 - name: label value: CM-07 class: sp800-53a - name: sort-id value: cm-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#eea3c092-42ed-4382-a6f4-1adadef01b9d' rel: reference - href: '#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1' rel: reference - href: '#a295ca19-8c75-4b4c-8800-98024732e181' rel: reference - href: '#38f39739-1ebd-43b1-8b8c-00f591d89ebd' rel: reference - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#cm-2' rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: '#cm-11' rel: related - href: '#ra-5' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: '#sa-15' rel: related - href: '#sc-2' rel: related - href: '#sc-3' rel: related - href: '#sc-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-37 rel: related - href: '#si-4' rel: related parts: - id: cm-7_smt name: statement parts: - id: cm-7_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Configure the system to provide only {{ insert: param, cm-07_odp.01 }} ; and' - id: cm-7_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Prohibit or restrict the use of the following functions, ports, protocols, software, and/or services: {{ insert: param, cm-7_prm_2 }}.' - id: cm-7_gdn name: guidance prose: Systems provide a wide variety of functions and services. Some of the functions and services routinely provided by default may not be necessary to support essential organizational missions, functions, or operations. Additionally, it is sometimes convenient to provide multiple services from a single system component, but doing so increases risk over limiting the services provided by that single component. Where feasible, organizations limit component functionality to a single function per component. Organizations consider removing unused or unnecessary software and disabling unused or unnecessary physical and logical ports and protocols to prevent unauthorized connection of components, transfer of information, and tunneling. Organizations employ network scanning tools, intrusion detection and prevention systems, and end-point protection technologies, such as firewalls and host-based intrusion detection systems, to identify and prevent the use of prohibited functions, protocols, ports, and services. Least functionality can also be achieved as part of the fundamental design and development of the system (see [SA-8](#sa-8), [SC-2](#sc-2) , and [SC-3](#sc-3)). - id: cm-7_fr name: item ns: http://fedramp.gov/ns/oscal title: CM-7 Additional FedRAMP Requirements and Guidance parts: - id: cm-7_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(b) Requirement:' prose: The service provider shall use Security guidelines (See CM-6) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if STIGs or CIS is not available. - id: cm-7_obj name: assessment-objective props: - name: label value: CM-07 class: sp800-53a parts: - id: cm-7_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-07a. class: sp800-53a prose: 'the system is configured to provide only {{ insert: param, cm-07_odp.01 }};' links: - href: '#cm-7_smt.a' rel: assessment-for - id: cm-7_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CM-07b. class: sp800-53a parts: - id: cm-7_obj.b-1 name: assessment-objective props: - name: label value: CM-07b.[01] class: sp800-53a prose: 'the use of {{ insert: param, cm-07_odp.02 }} is prohibited or restricted;' links: - href: '#cm-7_smt.b' rel: assessment-for - id: cm-7_obj.b-2 name: assessment-objective props: - name: label value: CM-07b.[02] class: sp800-53a prose: 'the use of {{ insert: param, cm-07_odp.03 }} is prohibited or restricted;' links: - href: '#cm-7_smt.b' rel: assessment-for - id: cm-7_obj.b-3 name: assessment-objective props: - name: label value: CM-07b.[03] class: sp800-53a prose: 'the use of {{ insert: param, cm-07_odp.04 }} is prohibited or restricted;' links: - href: '#cm-7_smt.b' rel: assessment-for - id: cm-7_obj.b-4 name: assessment-objective props: - name: label value: CM-07b.[04] class: sp800-53a prose: 'the use of {{ insert: param, cm-07_odp.05 }} is prohibited or restricted;' links: - href: '#cm-7_smt.b' rel: assessment-for - id: cm-7_obj.b-5 name: assessment-objective props: - name: label value: CM-07b.[05] class: sp800-53a prose: 'the use of {{ insert: param, cm-07_odp.06 }} is prohibited or restricted.' links: - href: '#cm-7_smt.b' rel: assessment-for links: - href: '#cm-7_smt.b' rel: assessment-for links: - href: '#cm-7_smt' rel: assessment-for - id: cm-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-07-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing least functionality in the system configuration management plan system design documentation system configuration settings and associated documentation system component inventory common secure configuration checklists system security plan other relevant documents or records' - id: cm-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-07-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with security configuration management responsibilities organizational personnel with information security responsibilities system/network administrators system developers' - id: cm-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-07-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes prohibiting or restricting functions, ports, protocols, software, and/or services mechanisms implementing restrictions or prohibition of functions, ports, protocols, software, and/or services' controls: - id: cm-7.1 class: SP800-53-enhancement title: Periodic Review params: - id: cm-7.1_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-07.01_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-07.01_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-07.01_odp.04 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-07.01_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-07.01_odp.06 label: organization-defined functions, ports, protocols, software, and services within the system deemed to be unnecessary and/or nonsecure - id: cm-07.01_odp.01 props: - name: alt-identifier value: cm-7.1_prm_1 - name: label value: CM-07(01)_ODP[01] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which to review the system to identify unnecessary and/or non-secure functions, ports, protocols, software, and/or services is defined; - id: cm-07.01_odp.02 props: - name: label value: CM-07(01)_ODP[02] class: sp800-53a label: functions guidelines: - prose: functions to be disabled or removed when deemed unnecessary or non-secure are defined; - id: cm-07.01_odp.03 props: - name: label value: CM-07(01)_ODP[03] class: sp800-53a label: ports guidelines: - prose: ports to be disabled or removed when deemed unnecessary or non-secure are defined; - id: cm-07.01_odp.04 props: - name: label value: CM-07(01)_ODP[04] class: sp800-53a label: protocols guidelines: - prose: protocols to be disabled or removed when deemed unnecessary or non-secure are defined; - id: cm-07.01_odp.05 props: - name: label value: CM-07(01)_ODP[05] class: sp800-53a label: software guidelines: - prose: software to be disabled or removed when deemed unnecessary or non-secure is defined; - id: cm-07.01_odp.06 props: - name: label value: CM-07(01)_ODP[06] class: sp800-53a label: services guidelines: - prose: services to be disabled or removed when deemed unnecessary or non-secure are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: CM-07(01) class: zero-padded - name: label value: CM-7(1) - name: label value: CM-07(01) class: sp800-53a - name: sort-id value: cm-07.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#cm-7' rel: required - href: '#ac-18' rel: related parts: - id: cm-7.1_smt name: statement parts: - id: cm-7.1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Review the system {{ insert: param, cm-07.01_odp.01 }} to identify unnecessary and/or nonsecure functions, ports, protocols, software, and services; and' - id: cm-7.1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'Disable or remove {{ insert: param, cm-7.1_prm_2 }}.' - id: cm-7.1_gdn name: guidance prose: Organizations review functions, ports, protocols, and services provided by systems or system components to determine the functions and services that are candidates for elimination. Such reviews are especially important during transition periods from older technologies to newer technologies (e.g., transition from IPv4 to IPv6). These technology transitions may require implementing the older and newer technologies simultaneously during the transition period and returning to minimum essential functions, ports, protocols, and services at the earliest opportunity. Organizations can either decide the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Unsecure protocols include Bluetooth, FTP, and peer-to-peer networking. - id: cm-7.1_obj name: assessment-objective props: - name: label value: CM-07(01) class: sp800-53a parts: - id: cm-7.1_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-07(01)(a) class: sp800-53a prose: 'the system is reviewed {{ insert: param, cm-07.01_odp.01 }} to identify unnecessary and/or non-secure functions, ports, protocols, software, and services:' links: - href: '#cm-7.1_smt.a' rel: assessment-for - id: cm-7.1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-07(01)(b) class: sp800-53a parts: - id: cm-7.1_obj.b-1 name: assessment-objective props: - name: label value: CM-07(01)(b)[01] class: sp800-53a prose: '{{ insert: param, cm-07.01_odp.02 }} deemed to be unnecessary and/or non-secure are disabled or removed;' links: - href: '#cm-7.1_smt.b' rel: assessment-for - id: cm-7.1_obj.b-2 name: assessment-objective props: - name: label value: CM-07(01)(b)[02] class: sp800-53a prose: '{{ insert: param, cm-07.01_odp.03 }} deemed to be unnecessary and/or non-secure are disabled or removed;' links: - href: '#cm-7.1_smt.b' rel: assessment-for - id: cm-7.1_obj.b-3 name: assessment-objective props: - name: label value: CM-07(01)(b)[03] class: sp800-53a prose: '{{ insert: param, cm-07.01_odp.04 }} deemed to be unnecessary and/or non-secure are disabled or removed;' links: - href: '#cm-7.1_smt.b' rel: assessment-for - id: cm-7.1_obj.b-4 name: assessment-objective props: - name: label value: CM-07(01)(b)[04] class: sp800-53a prose: '{{ insert: param, cm-07.01_odp.05 }} deemed to be unnecessary and/or non-secure is disabled or removed;' links: - href: '#cm-7.1_smt.b' rel: assessment-for - id: cm-7.1_obj.b-5 name: assessment-objective props: - name: label value: CM-07(01)(b)[05] class: sp800-53a prose: '{{ insert: param, cm-07.01_odp.06 }} deemed to be unnecessary and/or non-secure are disabled or removed.' links: - href: '#cm-7.1_smt.b' rel: assessment-for links: - href: '#cm-7.1_smt.b' rel: assessment-for links: - href: '#cm-7.1_smt' rel: assessment-for - id: cm-7.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-07(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing least functionality in the system configuration management plan system design documentation system configuration settings and associated documentation common secure configuration checklists documented reviews of functions, ports, protocols, and/or services change control records system audit records system security plan other relevant documents or records' - id: cm-7.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-07(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the system organizational personnel with information security responsibilities system/network administrators system developers' - id: cm-7.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-07(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for reviewing or disabling functions, ports, protocols, and services on the system mechanisms implementing review and disabling of functions, ports, protocols, and/or services' - id: cm-7.2 class: SP800-53-enhancement title: Prevent Program Execution params: - id: cm-07.02_odp.01 props: - name: alt-identifier value: cm-7.2_prm_1 - name: label value: CM-07(02)_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - '{{ insert: param, cm-07.02_odp.02 }}' - rules authorizing the terms and conditions of software program usage - id: cm-07.02_odp.02 props: - name: alt-identifier value: cm-7.2_prm_2 - name: label value: CM-07(02)_ODP[02] class: sp800-53a label: policies, rules of behavior, and/or access agreements regarding software program usage and restrictions guidelines: - prose: policies, rules of behavior, and/or access agreements regarding software program usage and restrictions are defined (if selected); props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: CM-07(02) class: zero-padded - name: label value: CM-7(2) - name: label value: CM-07(02) class: sp800-53a - name: sort-id value: cm-07.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#cm-7' rel: required - href: '#cm-8' rel: related - href: '#pl-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pl-9 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-5 rel: related - href: '#ps-6' rel: related parts: - id: cm-7.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Prevent program execution in accordance with {{ insert: param, cm-07.02_odp.01 }}.' - id: cm-7.2_gdn name: guidance prose: Prevention of program execution addresses organizational policies, rules of behavior, and/or access agreements that restrict software usage and the terms and conditions imposed by the developer or manufacturer, including software licensing and copyrights. Restrictions include prohibiting auto-execute features, restricting roles allowed to approve program execution, permitting or prohibiting specific software programs, or restricting the number of program instances executed at the same time. - id: cm-7.2_fr name: item ns: http://fedramp.gov/ns/oscal title: CM-7 (2) Additional FedRAMP Requirements and Guidance parts: - id: cm-7.2_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: This control refers to software deployment by CSP personnel into the production environment. The control requires a policy that states conditions for deploying software. This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. allow-listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run. - id: cm-7.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CM-07(02) class: sp800-53a prose: 'program execution is prevented in accordance with {{ insert: param, cm-07.02_odp.01 }}.' links: - href: '#cm-7.2_smt' rel: assessment-for - id: cm-7.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-07(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing least functionality in the system configuration management plan system design documentation system configuration settings and associated documentation system component inventory common secure configuration checklists specifications for preventing software program execution change control records system audit records system security plan other relevant documents or records' - id: cm-7.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-07(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with information security responsibilities system/network administrators system developers' - id: cm-7.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-07(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes preventing program execution on the system organizational processes for software program usage and restrictions mechanisms preventing program execution on the system mechanisms supporting and/or implementing software program usage and restrictions' - id: cm-7.5 class: SP800-53-enhancement title: Authorized Software — Allow-by-exception params: - id: cm-07.05_odp.01 props: - name: alt-identifier value: cm-7.5_prm_1 - name: alt-label value: software programs authorized to execute on the system class: sp800-53 - name: label value: CM-07(05)_ODP[01] class: sp800-53a label: software programs guidelines: - prose: software programs authorized to execute on the system are defined; - id: cm-07.05_odp.02 props: - name: alt-identifier value: cm-7.5_prm_2 - name: label value: CM-07(05)_ODP[02] class: sp800-53a label: frequency constraints: - description: at least quarterly or when there is a change guidelines: - prose: frequency at which to review and update the list of authorized software programs is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: CM-07(05) class: zero-padded - name: label value: CM-7(5) - name: label value: CM-07(05) class: sp800-53a - name: sort-id value: cm-07.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#cm-7' rel: required - href: '#cm-2' rel: related - href: '#cm-6' rel: related - href: '#cm-8' rel: related - href: '#cm-10' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pl-9 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-5 rel: related - href: '#sa-10' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-34 rel: related - href: '#si-7' rel: related parts: - id: cm-7.5_smt name: statement parts: - id: cm-7.5_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Identify {{ insert: param, cm-07.05_odp.01 }};' - id: cm-7.5_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Employ a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system; and - id: cm-7.5_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (c) prose: 'Review and update the list of authorized software programs {{ insert: param, cm-07.05_odp.02 }}.' - id: cm-7.5_gdn name: guidance prose: Authorized software programs can be limited to specific versions or from a specific source. To facilitate a comprehensive authorized software process and increase the strength of protection for attacks that bypass application level authorized software, software programs may be decomposed into and monitored at different levels of detail. These levels include applications, application programming interfaces, application modules, scripts, system processes, system services, kernel functions, registries, drivers, and dynamic link libraries. The concept of permitting the execution of authorized software may also be applied to user actions, system ports and protocols, IP addresses/ranges, websites, and MAC addresses. Organizations consider verifying the integrity of authorized software programs using digital signatures, cryptographic checksums, or hash functions. Verification of authorized software can occur either prior to execution or at system startup. The identification of authorized URLs for websites is addressed in [CA-3(5)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ca-3.5) and [SC-7](#sc-7). - id: cm-7.5_obj name: assessment-objective props: - name: label value: CM-07(05) class: sp800-53a parts: - id: cm-7.5_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-07(05)(a) class: sp800-53a prose: '{{ insert: param, cm-07.05_odp.01 }} are identified;' links: - href: '#cm-7.5_smt.a' rel: assessment-for - id: cm-7.5_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CM-07(05)(b) class: sp800-53a prose: a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system is employed; links: - href: '#cm-7.5_smt.b' rel: assessment-for - id: cm-7.5_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-07(05)(c) class: sp800-53a prose: 'the list of authorized software programs is reviewed and updated {{ insert: param, cm-07.05_odp.02 }}.' links: - href: '#cm-7.5_smt.c' rel: assessment-for links: - href: '#cm-7.5_smt' rel: assessment-for - id: cm-7.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-07(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing least functionality in the system configuration management plan system design documentation system configuration settings and associated documentation list of software programs authorized to execute on the system system component inventory common secure configuration checklists review and update records associated with list of authorized software programs change control records system audit records system security plan other relevant documents or records' - id: cm-7.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-07(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for identifying software authorized to execute on the system organizational personnel with information security responsibilities system/network administrators' - id: cm-7.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-07(05)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational process for identifying, reviewing, and updating programs authorized to execute on the system organizational process for implementing authorized software policy mechanisms supporting and/or implementing authorized software policy' - id: cm-8 class: SP800-53 title: System Component Inventory params: - id: cm-08_odp.01 props: - name: alt-identifier value: cm-8_prm_1 - name: alt-label value: information deemed necessary to achieve effective system component accountability class: sp800-53 - name: label value: CM-08_ODP[01] class: sp800-53a label: information guidelines: - prose: information deemed necessary to achieve effective system component accountability is defined; - id: cm-08_odp.02 props: - name: alt-identifier value: cm-8_prm_2 - name: label value: CM-08_ODP[02] class: sp800-53a label: frequency constraints: - description: at least monthly guidelines: - prose: frequency at which to review and update the system component inventory is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: CM-08 class: zero-padded - name: label value: CM-8 - name: label value: CM-08 class: sp800-53a - name: sort-id value: cm-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#110e26af-4765-49e1-8740-6750f83fcda1' rel: reference - href: '#e7942589-e267-4a5a-a3d9-f39a7aae81f0' rel: reference - href: '#8306620b-1920-4d73-8b21-12008528595f' rel: reference - href: '#20db4e66-e257-450c-b2e4-2bb9a62a2c88' rel: reference - href: '#70402863-5078-43af-9a6c-e11b0f3ec370' rel: reference - href: '#996241f8-f692-42d5-91f1-ce8b752e39e6' rel: reference - href: '#cm-2' rel: related - href: '#cm-7' rel: related - href: '#cm-9' rel: related - href: '#cm-10' rel: related - href: '#cm-11' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-13 rel: related - href: '#cp-2' rel: related - href: '#cp-9' rel: related - href: '#ma-2' rel: related - href: '#ma-6' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pe-20 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pl-9 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-5 rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#si-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-4 rel: related parts: - id: cm-8_smt name: statement parts: - id: cm-8_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Develop and document an inventory of system components that:' parts: - id: cm-8_smt.a.1 name: item props: - name: label value: '1.' prose: Accurately reflects the system; - id: cm-8_smt.a.2 name: item props: - name: label value: '2.' prose: Includes all components within the system; - id: cm-8_smt.a.3 name: item props: - name: label value: '3.' prose: Does not include duplicate accounting of components or components assigned to any other system; - id: cm-8_smt.a.4 name: item props: - name: label value: '4.' prose: Is at the level of granularity deemed necessary for tracking and reporting; and - id: cm-8_smt.a.5 name: item props: - name: label value: '5.' prose: 'Includes the following information to achieve system component accountability: {{ insert: param, cm-08_odp.01 }} ; and' - id: cm-8_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Review and update the system component inventory {{ insert: param, cm-08_odp.02 }}.' - id: cm-8_gdn name: guidance prose: 'System components are discrete, identifiable information technology assets that include hardware, software, and firmware. Organizations may choose to implement centralized system component inventories that include components from all organizational systems. In such situations, organizations ensure that the inventories include system-specific information required for component accountability. The information necessary for effective accountability of system components includes the system name, software owners, software version numbers, hardware inventory specifications, software license information, and for networked components, the machine names and network addresses across all implemented protocols (e.g., IPv4, IPv6). Inventory specifications include date of receipt, cost, model, serial number, manufacturer, supplier information, component type, and physical location. Preventing duplicate accounting of system components addresses the lack of accountability that occurs when component ownership and system association is not known, especially in large or complex connected systems. Effective prevention of duplicate accounting of system components necessitates use of a unique identifier for each component. For software inventory, centrally managed software that is accessed via other systems is addressed as a component of the system on which it is installed and managed. Software installed on multiple organizational systems and managed at the system level is addressed for each individual system and may appear more than once in a centralized component inventory, necessitating a system association for each software instance in the centralized inventory to avoid duplicate accounting of components. Scanning systems implementing multiple network protocols (e.g., IPv4 and IPv6) can result in duplicate components being identified in different address spaces. The implementation of [CM-8(7)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-8.7) can help to eliminate duplicate accounting of components.' - id: cm-8_fr name: item ns: http://fedramp.gov/ns/oscal title: CM-8 Additional FedRAMP Requirements and Guidance parts: - id: cm-8_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: must be provided at least monthly or when there is a change. - id: cm-8_obj name: assessment-objective props: - name: label value: CM-08 class: sp800-53a parts: - id: cm-8_obj.a name: assessment-objective props: - name: label value: CM-08a. class: sp800-53a parts: - id: cm-8_obj.a.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-08a.01 class: sp800-53a prose: an inventory of system components that accurately reflects the system is developed and documented; links: - href: '#cm-8_smt.a.1' rel: assessment-for - id: cm-8_obj.a.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-08a.02 class: sp800-53a prose: an inventory of system components that includes all components within the system is developed and documented; links: - href: '#cm-8_smt.a.2' rel: assessment-for - id: cm-8_obj.a.3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-08a.03 class: sp800-53a prose: an inventory of system components that does not include duplicate accounting of components or components assigned to any other system is developed and documented; links: - href: '#cm-8_smt.a.3' rel: assessment-for - id: cm-8_obj.a.4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-08a.04 class: sp800-53a prose: an inventory of system components that is at the level of granularity deemed necessary for tracking and reporting is developed and documented; links: - href: '#cm-8_smt.a.4' rel: assessment-for - id: cm-8_obj.a.5 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-08a.05 class: sp800-53a prose: 'an inventory of system components that includes {{ insert: param, cm-08_odp.01 }} is developed and documented;' links: - href: '#cm-8_smt.a.5' rel: assessment-for links: - href: '#cm-8_smt.a' rel: assessment-for - id: cm-8_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-08b. class: sp800-53a prose: 'the system component inventory is reviewed and updated {{ insert: param, cm-08_odp.02 }}.' links: - href: '#cm-8_smt.b' rel: assessment-for links: - href: '#cm-8_smt' rel: assessment-for - id: cm-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-08-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing system component inventory configuration management plan system security plan system design documentation system component inventory inventory reviews and update records system security plan other relevant documents or records' - id: cm-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-08-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with component inventory management responsibilities organizational personnel with information security responsibilities system/network administrators' - id: cm-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-08-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for managing the system component inventory mechanisms supporting and/or implementing system component inventory' controls: - id: cm-8.1 class: SP800-53-enhancement title: Updates During Installation and Removal props: - name: label value: CM-08(01) class: zero-padded - name: label value: CM-8(1) - name: label value: CM-08(01) class: sp800-53a - name: sort-id value: cm-08.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#cm-8' rel: required - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-16 rel: related parts: - id: cm-8.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Update the inventory of system components as part of component installations, removals, and system updates. - id: cm-8.1_gdn name: guidance prose: Organizations can improve the accuracy, completeness, and consistency of system component inventories if the inventories are updated as part of component installations or removals or during general system updates. If inventories are not updated at these key times, there is a greater likelihood that the information will not be appropriately captured and documented. System updates include hardware, software, and firmware components. - id: cm-8.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-08(01) class: sp800-53a parts: - id: cm-8.1_obj-1 name: assessment-objective props: - name: label value: CM-08(01)[01] class: sp800-53a prose: the inventory of system components is updated as part of component installations; links: - href: '#cm-8.1_smt' rel: assessment-for - id: cm-8.1_obj-2 name: assessment-objective props: - name: label value: CM-08(01)[02] class: sp800-53a prose: the inventory of system components is updated as part of component removals; links: - href: '#cm-8.1_smt' rel: assessment-for - id: cm-8.1_obj-3 name: assessment-objective props: - name: label value: CM-08(01)[03] class: sp800-53a prose: the inventory of system components is updated as part of system updates. links: - href: '#cm-8.1_smt' rel: assessment-for links: - href: '#cm-8.1_smt' rel: assessment-for - id: cm-8.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-08(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing system component inventory configuration management plan system security plan system component inventory inventory reviews and update records change control records component installation records component removal records system security plan other relevant documents or records' - id: cm-8.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-08(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with component inventory updating responsibilities organizational personnel with information security responsibilities system/network administrators' - id: cm-8.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-08(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for updating the system component inventory mechanisms supporting and/or implementing system component inventory updates' - id: cm-8.2 class: SP800-53-enhancement title: Automated Maintenance params: - id: cm-8.2_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-08.02_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-08.02_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-08.02_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-08.02_odp.04 label: organization-defined automated mechanisms - id: cm-08.02_odp.01 props: - name: label value: CM-08(02)_ODP[01] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to maintain the currency of the system component inventory are defined; - id: cm-08.02_odp.02 props: - name: label value: CM-08(02)_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to maintain the completeness of the system component inventory are defined; - id: cm-08.02_odp.03 props: - name: label value: CM-08(02)_ODP[03] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to maintain the accuracy of the system component inventory are defined; - id: cm-08.02_odp.04 props: - name: label value: CM-08(02)_ODP[04] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to maintain the availability of the system component inventory are defined; props: - name: label value: CM-08(02) class: zero-padded - name: label value: CM-8(2) - name: label value: CM-08(02) class: sp800-53a - name: sort-id value: cm-08.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#cm-8' rel: required parts: - id: cm-8.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Maintain the currency, completeness, accuracy, and availability of the inventory of system components using {{ insert: param, cm-8.2_prm_1 }}.' - id: cm-8.2_gdn name: guidance prose: Organizations maintain system inventories to the extent feasible. For example, virtual machines can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. Automated maintenance can be achieved by the implementation of [CM-2(2)](#cm-2.2) for organizations that combine system component inventory and baseline configuration activities. - id: cm-8.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-08(02) class: sp800-53a parts: - id: cm-8.2_obj-1 name: assessment-objective props: - name: label value: CM-08(02)[01] class: sp800-53a prose: '{{ insert: param, cm-08.02_odp.01 }} are used to maintain the currency of the system component inventory;' links: - href: '#cm-8.2_smt' rel: assessment-for - id: cm-8.2_obj-2 name: assessment-objective props: - name: label value: CM-08(02)[02] class: sp800-53a prose: '{{ insert: param, cm-08.02_odp.02 }} are used to maintain the completeness of the system component inventory;' links: - href: '#cm-8.2_smt' rel: assessment-for - id: cm-8.2_obj-3 name: assessment-objective props: - name: label value: CM-08(02)[03] class: sp800-53a prose: '{{ insert: param, cm-08.02_odp.03 }} are used to maintain the accuracy of the system component inventory;' links: - href: '#cm-8.2_smt' rel: assessment-for - id: cm-8.2_obj-4 name: assessment-objective props: - name: label value: CM-08(02)[04] class: sp800-53a prose: '{{ insert: param, cm-08.02_odp.04 }} are used to maintain the availability of the system component inventory.' links: - href: '#cm-8.2_smt' rel: assessment-for links: - href: '#cm-8.2_smt' rel: assessment-for - id: cm-8.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-08(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing system component inventory configuration management plan system design documentation system security plan system component inventory change control records system maintenance records system audit records system security plan other relevant documents or records' - id: cm-8.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-08(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with component inventory management responsibilities organizational personnel with information security responsibilities system/network administrators system developers' - id: cm-8.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-08(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for maintaining the system component inventory automated mechanisms supporting and/or implementing the system component inventory' - id: cm-8.3 class: SP800-53-enhancement title: Automated Unauthorized Component Detection params: - id: cm-8.3_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-08.03_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-08.03_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-08.03_odp.03 label: organization-defined automated mechanisms - id: cm-08.03_odp.01 props: - name: label value: CM-08(03)_ODP[01] class: sp800-53a label: automated mechanisms constraints: - description: automated mechanisms with a maximum five-minute delay in detection guidelines: - prose: automated mechanisms used to detect the presence of unauthorized hardware within the system are defined; - id: cm-08.03_odp.02 props: - name: label value: CM-08(03)_ODP[02] class: sp800-53a label: automated mechanisms constraints: - description: automated mechanisms with a maximum five-minute delay in detection guidelines: - prose: automated mechanisms used to detect the presence of unauthorized software within the system are defined; - id: cm-08.03_odp.03 props: - name: label value: CM-08(03)_ODP[03] class: sp800-53a label: automated mechanisms constraints: - description: automated mechanisms with a maximum five-minute delay in detection guidelines: - prose: automated mechanisms used to detect the presence of unauthorized firmware within the system are defined; - id: cm-08.03_odp.04 props: - name: alt-identifier value: cm-8.3_prm_2 - name: label value: CM-08(03)_ODP[04] class: sp800-53a label: frequency constraints: - description: continuously guidelines: - prose: frequency at which automated mechanisms are used to detect the presence of unauthorized system components within the system is defined; - id: cm-08.03_odp.05 props: - name: alt-identifier value: cm-8.3_prm_3 - name: label value: CM-08(03)_ODP[05] class: sp800-53a select: how-many: one-or-more choice: - disable network access by unauthorized components - isolate unauthorized components - 'notify {{ insert: param, cm-08.03_odp.06 }}' - id: cm-08.03_odp.06 props: - name: alt-identifier value: cm-8.3_prm_4 - name: label value: CM-08(03)_ODP[06] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be notified when unauthorized components are detected is/are defined (if selected); props: - name: label value: CM-08(03) class: zero-padded - name: label value: CM-8(3) - name: label value: CM-08(03) class: sp800-53a - name: sort-id value: cm-08.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#cm-8' rel: required - href: '#ac-19' rel: related - href: '#ca-7' rel: related - href: '#ra-5' rel: related - href: '#sc-3' rel: related - href: '#sc-39' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-44 rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related parts: - id: cm-8.3_smt name: statement parts: - id: cm-8.3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Detect the presence of unauthorized hardware, software, and firmware components within the system using {{ insert: param, cm-8.3_prm_1 }} {{ insert: param, cm-08.03_odp.04 }} ; and' - id: cm-8.3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'Take the following actions when unauthorized components are detected: {{ insert: param, cm-08.03_odp.05 }}.' - id: cm-8.3_gdn name: guidance prose: Automated unauthorized component detection is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms may also be used to prevent the connection of unauthorized components (see [CM-7(9)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-7.9) ). Automated mechanisms can be implemented in systems or in separate system components. When acquiring and implementing automated mechanisms, organizations consider whether such mechanisms depend on the ability of the system component to support an agent or supplicant in order to be detected since some types of components do not have or cannot support agents (e.g., IoT devices, sensors). Isolation can be achieved , for example, by placing unauthorized system components in separate domains or subnets or quarantining such components. This type of component isolation is commonly referred to as "sandboxing." - id: cm-8.3_obj name: assessment-objective props: - name: label value: CM-08(03) class: sp800-53a parts: - id: cm-8.3_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CM-08(03)(a) class: sp800-53a parts: - id: cm-8.3_obj.a-1 name: assessment-objective props: - name: label value: CM-08(03)(a)[01] class: sp800-53a prose: 'the presence of unauthorized hardware within the system is detected using {{ insert: param, cm-08.03_odp.01 }} {{ insert: param, cm-08.03_odp.04 }};' links: - href: '#cm-8.3_smt.a' rel: assessment-for - id: cm-8.3_obj.a-2 name: assessment-objective props: - name: label value: CM-08(03)(a)[02] class: sp800-53a prose: 'the presence of unauthorized software within the system is detected using {{ insert: param, cm-08.03_odp.02 }} {{ insert: param, cm-08.03_odp.04 }};' links: - href: '#cm-8.3_smt.a' rel: assessment-for - id: cm-8.3_obj.a-3 name: assessment-objective props: - name: label value: CM-08(03)(a)[03] class: sp800-53a prose: 'the presence of unauthorized firmware within the system is detected using {{ insert: param, cm-08.03_odp.03 }} {{ insert: param, cm-08.03_odp.04 }};' links: - href: '#cm-8.3_smt.a' rel: assessment-for links: - href: '#cm-8.3_smt.a' rel: assessment-for - id: cm-8.3_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CM-08(03)(b) class: sp800-53a parts: - id: cm-8.3_obj.b-1 name: assessment-objective props: - name: label value: CM-08(03)(b)[01] class: sp800-53a prose: '{{ insert: param, cm-08.03_odp.05 }} are taken when unauthorized hardware is detected;' links: - href: '#cm-8.3_smt.b' rel: assessment-for - id: cm-8.3_obj.b-2 name: assessment-objective props: - name: label value: CM-08(03)(b)[02] class: sp800-53a prose: '{{ insert: param, cm-08.03_odp.05 }} are taken when unauthorized software is detected;' links: - href: '#cm-8.3_smt.b' rel: assessment-for - id: cm-8.3_obj.b-3 name: assessment-objective props: - name: label value: CM-08(03)(b)[03] class: sp800-53a prose: '{{ insert: param, cm-08.03_odp.05 }} are taken when unauthorized firmware is detected.' links: - href: '#cm-8.3_smt.b' rel: assessment-for links: - href: '#cm-8.3_smt.b' rel: assessment-for links: - href: '#cm-8.3_smt' rel: assessment-for - id: cm-8.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-08(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing system component inventory configuration management plan system design documentation system security plan system component inventory change control records alerts/notifications of unauthorized components within the system system monitoring records system maintenance records system audit records system security plan other relevant documents or records' - id: cm-8.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-08(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with component inventory management responsibilities organizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized system component detection organizational personnel with information security responsibilities system/network administrators system developers' - id: cm-8.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-08(03)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for detection of unauthorized system components organizational processes for taking action when unauthorized system components are detected automated mechanisms supporting and/or implementing the detection of unauthorized system components automated mechanisms supporting and/or implementing actions taken when unauthorized system components are detected' - id: cm-8.4 class: SP800-53-enhancement title: Accountability Information params: - id: cm-08.04_odp props: - name: alt-identifier value: cm-8.4_prm_1 - name: label value: CM-08(04)_ODP class: sp800-53a constraints: - description: position and role props: - name: label value: CM-08(04) class: zero-padded - name: label value: CM-8(4) - name: label value: CM-08(04) class: sp800-53a - name: sort-id value: cm-08.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#cm-8' rel: required - href: '#ac-3' rel: related parts: - id: cm-8.4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Include in the system component inventory information, a means for identifying by {{ insert: param, cm-08.04_odp }} , individuals responsible and accountable for administering those components.' - id: cm-8.4_gdn name: guidance prose: Identifying individuals who are responsible and accountable for administering system components ensures that the assigned components are properly administered and that organizations can contact those individuals if some action is required (e.g., when the component is determined to be the source of a breach, needs to be recalled or replaced, or needs to be relocated). - id: cm-8.4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-08(04) class: sp800-53a prose: 'individuals responsible and accountable for administering system components are identified by {{ insert: param, cm-08.04_odp }} in the system component inventory.' links: - href: '#cm-8.4_smt' rel: assessment-for - id: cm-8.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-08(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing system component inventory configuration management plan system security plan system component inventory system security plan other relevant documents or records' - id: cm-8.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-08(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with component inventory management responsibilities organizational personnel with information security responsibilities system/network administrators' - id: cm-8.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-08(04)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for managing the system component inventory mechanisms supporting and/or implementing the system component inventory' - id: cm-9 class: SP800-53 title: Configuration Management Plan params: - id: cm-09_odp props: - name: alt-identifier value: cm-9_prm_1 - name: label value: CM-09_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to review and approve the configuration management plan is/are defined; props: - name: label value: CM-09 class: zero-padded - name: label value: CM-9 - name: label value: CM-09 class: sp800-53a - name: sort-id value: cm-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#20db4e66-e257-450c-b2e4-2bb9a62a2c88' rel: reference - href: '#cm-2' rel: related - href: '#cm-3' rel: related - href: '#cm-4' rel: related - href: '#cm-5' rel: related - href: '#cm-8' rel: related - href: '#pl-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ra-8 rel: related - href: '#sa-10' rel: related - href: '#si-12' rel: related parts: - id: cm-9_smt name: statement prose: 'Develop, document, and implement a configuration management plan for the system that:' parts: - id: cm-9_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Addresses roles, responsibilities, and configuration management processes and procedures; - id: cm-9_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items; - id: cm-9_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Defines the configuration items for the system and places the configuration items under configuration management; - id: cm-9_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: 'Is reviewed and approved by {{ insert: param, cm-09_odp }} ; and' - id: cm-9_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: Protects the configuration management plan from unauthorized disclosure and modification. - id: cm-9_gdn name: guidance prose: 'Configuration management activities occur throughout the system development life cycle. As such, there are developmental configuration management activities (e.g., the control of code and software libraries) and operational configuration management activities (e.g., control of installed components and how the components are configured). Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual systems. Configuration management plans define processes and procedures for how configuration management is used to support system development life cycle activities. Configuration management plans are generated during the development and acquisition stage of the system development life cycle. The plans describe how to advance changes through change management processes; update configuration settings and baselines; maintain component inventories; control development, test, and operational environments; and develop, release, and update key documents. Organizations can employ templates to help ensure the consistent and timely development and implementation of configuration management plans. Templates can represent a configuration management plan for the organization with subsets of the plan implemented on a system by system basis. Configuration management approval processes include the designation of key stakeholders responsible for reviewing and approving proposed changes to systems, and personnel who conduct security and privacy impact analyses prior to the implementation of changes to the systems. Configuration items are the system components, such as the hardware, software, firmware, and documentation to be configuration-managed. As systems continue through the system development life cycle, new configuration items may be identified, and some existing configuration items may no longer need to be under configuration control.' - id: cm-9_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: FedRAMP does not provide a template for the Configuration Management Plan. However, NIST SP 800-128, Guide for Security-Focused Configuration Management of Information Systems, provides guidelines for the implementation of CM controls as well as a sample CMP outline in Appendix D of the Guide - id: cm-9_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CM-09 class: sp800-53a parts: - id: cm-9_obj-1 name: assessment-objective props: - name: label value: CM-09[01] class: sp800-53a prose: a configuration management plan for the system is developed and documented; links: - href: '#cm-9_smt' rel: assessment-for - id: cm-9_obj-2 name: assessment-objective props: - name: label value: CM-09[02] class: sp800-53a prose: a configuration management plan for the system is implemented; links: - href: '#cm-9_smt' rel: assessment-for - id: cm-9_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CM-09a. class: sp800-53a parts: - id: cm-9_obj.a-1 name: assessment-objective props: - name: label value: CM-09a.[01] class: sp800-53a prose: the configuration management plan addresses roles; links: - href: '#cm-9_smt.a' rel: assessment-for - id: cm-9_obj.a-2 name: assessment-objective props: - name: label value: CM-09a.[02] class: sp800-53a prose: the configuration management plan addresses responsibilities; links: - href: '#cm-9_smt.a' rel: assessment-for - id: cm-9_obj.a-3 name: assessment-objective props: - name: label value: CM-09a.[03] class: sp800-53a prose: the configuration management plan addresses configuration management processes and procedures; links: - href: '#cm-9_smt.a' rel: assessment-for links: - href: '#cm-9_smt.a' rel: assessment-for - id: cm-9_obj.b name: assessment-objective props: - name: label value: CM-09b. class: sp800-53a parts: - id: cm-9_obj.b-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-09b.[01] class: sp800-53a prose: the configuration management plan establishes a process for identifying configuration items throughout the system development life cycle; links: - href: '#cm-9_smt.b' rel: assessment-for - id: cm-9_obj.b-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CM-09b.[02] class: sp800-53a prose: the configuration management plan establishes a process for managing the configuration of the configuration items; links: - href: '#cm-9_smt.b' rel: assessment-for links: - href: '#cm-9_smt.b' rel: assessment-for - id: cm-9_obj.c name: assessment-objective props: - name: label value: CM-09c. class: sp800-53a parts: - id: cm-9_obj.c-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CM-09c.[01] class: sp800-53a prose: the configuration management plan defines the configuration items for the system; links: - href: '#cm-9_smt.c' rel: assessment-for - id: cm-9_obj.c-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CM-09c.[02] class: sp800-53a prose: the configuration management plan places the configuration items under configuration management; links: - href: '#cm-9_smt.c' rel: assessment-for links: - href: '#cm-9_smt.c' rel: assessment-for - id: cm-9_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-09d. class: sp800-53a prose: 'the configuration management plan is reviewed and approved by {{ insert: param, cm-09_odp }};' links: - href: '#cm-9_smt.d' rel: assessment-for - id: cm-9_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CM-09e. class: sp800-53a parts: - id: cm-9_obj.e-1 name: assessment-objective props: - name: label value: CM-09e.[01] class: sp800-53a prose: the configuration management plan is protected from unauthorized disclosure; links: - href: '#cm-9_smt.e' rel: assessment-for - id: cm-9_obj.e-2 name: assessment-objective props: - name: label value: CM-09e.[02] class: sp800-53a prose: the configuration management plan is protected from unauthorized modification. links: - href: '#cm-9_smt.e' rel: assessment-for links: - href: '#cm-9_smt.e' rel: assessment-for links: - href: '#cm-9_smt' rel: assessment-for - id: cm-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-09-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing configuration management planning configuration management plan system design documentation system security plan privacy plan other relevant documents or records' - id: cm-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-09-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for developing the configuration management plan organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan organizational personnel with responsibilities for protecting the configuration management plan organizational personnel with information security and privacy responsibilities system/network administrators' - id: cm-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-09-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for developing and documenting the configuration management plan organizational processes for identifying and managing configuration items organizational processes for protecting the configuration management plan mechanisms implementing the configuration management plan mechanisms for managing configuration items mechanisms for protecting the configuration management plan' - id: cm-10 class: SP800-53 title: Software Usage Restrictions props: - name: label value: CM-10 class: zero-padded - name: label value: CM-10 - name: label value: CM-10 class: sp800-53a - name: sort-id value: cm-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-17' rel: related - href: '#au-6' rel: related - href: '#cm-7' rel: related - href: '#cm-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-30 rel: related - href: '#sc-7' rel: related parts: - id: cm-10_smt name: statement parts: - id: cm-10_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Use software and associated documentation in accordance with contract agreements and copyright laws; - id: cm-10_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Track the use of software and associated documentation protected by quantity licenses to control copying and distribution; and - id: cm-10_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Control and document the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work. - id: cm-10_gdn name: guidance prose: Software license tracking can be accomplished by manual or automated methods, depending on organizational needs. Examples of contract agreements include software license agreements and non-disclosure agreements. - id: cm-10_obj name: assessment-objective props: - name: label value: CM-10 class: sp800-53a parts: - id: cm-10_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-10a. class: sp800-53a prose: software and associated documentation are used in accordance with contract agreements and copyright laws; links: - href: '#cm-10_smt.a' rel: assessment-for - id: cm-10_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-10b. class: sp800-53a prose: the use of software and associated documentation protected by quantity licenses is tracked to control copying and distribution; links: - href: '#cm-10_smt.b' rel: assessment-for - id: cm-10_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-10c. class: sp800-53a prose: the use of peer-to-peer file sharing technology is controlled and documented to ensure that peer-to-peer file sharing is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work. links: - href: '#cm-10_smt.c' rel: assessment-for links: - href: '#cm-10_smt' rel: assessment-for - id: cm-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-10-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy software usage restrictions software contract agreements and copyright laws site license documentation list of software usage restrictions software license tracking reports configuration management plan system security plan system security plan other relevant documents or records' - id: cm-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-10-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel operating, using, and/or maintaining the system organizational personnel with software license management responsibilities organizational personnel with information security responsibilities system/network administrators' - id: cm-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-10-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for tracking the use of software protected by quantity licenses organizational processes for controlling/documenting the use of peer-to-peer file sharing technology mechanisms implementing software license tracking mechanisms implementing and controlling the use of peer-to-peer files sharing technology' - id: cm-11 class: SP800-53 title: User-installed Software params: - id: cm-11_odp.01 props: - name: alt-identifier value: cm-11_prm_1 - name: label value: CM-11_ODP[01] class: sp800-53a label: policies guidelines: - prose: policies governing the installation of software by users are defined; - id: cm-11_odp.02 props: - name: alt-identifier value: cm-11_prm_2 - name: label value: CM-11_ODP[02] class: sp800-53a label: methods guidelines: - prose: methods used to enforce software installation policies are defined; - id: cm-11_odp.03 props: - name: alt-identifier value: cm-11_prm_3 - name: label value: CM-11_ODP[03] class: sp800-53a label: frequency constraints: - description: Continuously (via CM-7 (5)) guidelines: - prose: frequency with which to monitor compliance is defined; props: - name: label value: CM-11 class: zero-padded - name: label value: CM-11 - name: label value: CM-11 class: sp800-53a - name: sort-id value: cm-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-3' rel: related - href: '#au-6' rel: related - href: '#cm-2' rel: related - href: '#cm-3' rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: '#cm-7' rel: related - href: '#cm-8' rel: related - href: '#pl-4' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related parts: - id: cm-11_smt name: statement parts: - id: cm-11_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Establish {{ insert: param, cm-11_odp.01 }} governing the installation of software by users;' - id: cm-11_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Enforce software installation policies through the following methods: {{ insert: param, cm-11_odp.02 }} ; and' - id: cm-11_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Monitor policy compliance {{ insert: param, cm-11_odp.03 }}.' - id: cm-11_gdn name: guidance prose: If provided the necessary privileges, users can install software in organizational systems. To maintain control over the software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations include updates and security patches to existing software and downloading new applications from organization-approved "app stores." Prohibited software installations include software with unknown or suspect pedigrees or software that organizations consider potentially malicious. Policies selected for governing user-installed software are organization-developed or provided by some external entity. Policy enforcement methods can include procedural methods and automated methods. - id: cm-11_obj name: assessment-objective props: - name: label value: CM-11 class: sp800-53a parts: - id: cm-11_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-11a. class: sp800-53a prose: '{{ insert: param, cm-11_odp.01 }} governing the installation of software by users are established;' links: - href: '#cm-11_smt.a' rel: assessment-for - id: cm-11_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-11b. class: sp800-53a prose: 'software installation policies are enforced through {{ insert: param, cm-11_odp.02 }};' links: - href: '#cm-11_smt.b' rel: assessment-for - id: cm-11_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CM-11c. class: sp800-53a prose: 'compliance with {{ insert: param, cm-11_odp.01 }} is monitored {{ insert: param, cm-11_odp.03 }}.' links: - href: '#cm-11_smt.c' rel: assessment-for links: - href: '#cm-11_smt' rel: assessment-for - id: cm-11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-11-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing user-installed software configuration management plan system security plan system design documentation system configuration settings and associated documentation list of rules governing user installed software system monitoring records system audit records continuous monitoring strategy system security plan other relevant documents or records' - id: cm-11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-11-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for governing user-installed software organizational personnel operating, using, and/or maintaining the system organizational personnel monitoring compliance with user-installed software policy organizational personnel with information security responsibilities system/network administrators' - id: cm-11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-11-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes governing user-installed software on the system mechanisms enforcing policies and methods for governing the installation of software by users mechanisms monitoring policy compliance' - id: cm-12 class: SP800-53 title: Information Location params: - id: cm-12_odp props: - name: alt-identifier value: cm-12_prm_1 - name: label value: CM-12_ODP class: sp800-53a label: information guidelines: - prose: information for which the location is to be identified and documented is defined; props: - name: label value: CM-12 class: zero-padded - name: label value: CM-12 - name: label value: CM-12 class: sp800-53a - name: sort-id value: cm-12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a' rel: reference - href: '#9be5d661-421f-41ad-854e-86f98b811891' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-6' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-23 rel: related - href: '#cm-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-5 rel: related - href: '#ra-2' rel: related - href: '#sa-4' rel: related - href: '#sa-8' rel: related - href: '#sa-17' rel: related - href: '#sc-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-16 rel: related - href: '#sc-28' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related parts: - id: cm-12_smt name: statement parts: - id: cm-12_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Identify and document the location of {{ insert: param, cm-12_odp }} and the specific system components on which the information is processed and stored;' - id: cm-12_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Identify and document the users who have access to the system and system components where the information is processed and stored; and - id: cm-12_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Document changes to the location (i.e., system or system components) where the information is processed and stored. - id: cm-12_gdn name: guidance prose: Information location addresses the need to understand where information is being processed and stored. Information location includes identifying where specific information types and information reside in system components and how information is being processed so that information flow can be understood and adequate protection and policy management provided for such information and system components. The security category of the information is also a factor in determining the controls necessary to protect the information and the system component where the information resides (see [FIPS 199](#628d22a1-6a11-4784-bc59-5cd9497b5445) ). The location of the information and system components is also a factor in the architecture and design of the system (see [SA-4](#sa-4), [SA-8](#sa-8), [SA-17](#sa-17)). - id: cm-12_fr name: item ns: http://fedramp.gov/ns/oscal title: CM-12 Additional FedRAMP Requirements and Guidance parts: - id: cm-12_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: According to FedRAMP Authorization Boundary Guidance - id: cm-12_obj name: assessment-objective props: - name: label value: CM-12 class: sp800-53a parts: - id: cm-12_obj.a name: assessment-objective props: - name: label value: CM-12a. class: sp800-53a parts: - id: cm-12_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-12a.[01] class: sp800-53a prose: 'the location of {{ insert: param, cm-12_odp }} is identified and documented;' links: - href: '#cm-12_smt.a' rel: assessment-for - id: cm-12_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-12a.[02] class: sp800-53a prose: 'the specific system components on which {{ insert: param, cm-12_odp }} is processed are identified and documented;' links: - href: '#cm-12_smt.a' rel: assessment-for - id: cm-12_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-12a.[03] class: sp800-53a prose: 'the specific system components on which {{ insert: param, cm-12_odp }} is stored are identified and documented;' links: - href: '#cm-12_smt.a' rel: assessment-for links: - href: '#cm-12_smt.a' rel: assessment-for - id: cm-12_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-12b. class: sp800-53a parts: - id: cm-12_obj.b-1 name: assessment-objective props: - name: label value: CM-12b.[01] class: sp800-53a prose: 'the users who have access to the system and system components where {{ insert: param, cm-12_odp }} is processed are identified and documented;' links: - href: '#cm-12_smt.b' rel: assessment-for - id: cm-12_obj.b-2 name: assessment-objective props: - name: label value: CM-12b.[02] class: sp800-53a prose: 'the users who have access to the system and system components where {{ insert: param, cm-12_odp }} is stored are identified and documented;' links: - href: '#cm-12_smt.b' rel: assessment-for links: - href: '#cm-12_smt.b' rel: assessment-for - id: cm-12_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CM-12c. class: sp800-53a parts: - id: cm-12_obj.c-1 name: assessment-objective props: - name: label value: CM-12c.[01] class: sp800-53a prose: 'changes to the location (i.e., system or system components) where {{ insert: param, cm-12_odp }} is processed are documented;' links: - href: '#cm-12_smt.c' rel: assessment-for - id: cm-12_obj.c-2 name: assessment-objective props: - name: label value: CM-12c.[02] class: sp800-53a prose: 'changes to the location (i.e., system or system components) where {{ insert: param, cm-12_odp }} is stored are documented.' links: - href: '#cm-12_smt.c' rel: assessment-for links: - href: '#cm-12_smt.c' rel: assessment-for links: - href: '#cm-12_smt' rel: assessment-for - id: cm-12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-12-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing identification and documentation of information location configuration management plan system design documentation system architecture documentation PII inventory documentation data mapping documentation audit records list of users with system and system component access change control records system component inventory system security plan privacy plan other relevant documents or records' - id: cm-12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-12-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for managing information location and user access to information organizational personnel with responsibilities for operating, using, and/or maintaining the system organizational personnel with information security and privacy responsibilities system/network administrators system developers' - id: cm-12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-12-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes governing information location mechanisms enforcing policies and methods for governing information location' controls: - id: cm-12.1 class: SP800-53-enhancement title: Automated Tools to Support Information Location params: - id: cm-12.01_odp.01 props: - name: alt-identifier value: cm-12.1_prm_1 - name: label value: CM-12(01)_ODP[01] class: sp800-53a label: information by information type constraints: - description: Federal data and system data that must be protected at the High or Moderate impact levels guidelines: - prose: information to be protected is defined by information type; - id: cm-12.01_odp.02 props: - name: alt-identifier value: cm-12.1_prm_2 - name: label value: CM-12(01)_ODP[02] class: sp800-53a label: system components guidelines: - prose: system components where the information is located are defined; props: - name: label value: CM-12(01) class: zero-padded - name: label value: CM-12(1) - name: label value: CM-12(01) class: sp800-53a - name: sort-id value: cm-12.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#cm-12' rel: required parts: - id: cm-12.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Use automated tools to identify {{ insert: param, cm-12.01_odp.01 }} on {{ insert: param, cm-12.01_odp.02 }} to ensure controls are in place to protect organizational information and individual privacy.' - id: cm-12.1_gdn name: guidance prose: The use of automated tools helps to increase the effectiveness and efficiency of the information location capability implemented within the system. Automation also helps organizations manage the data produced during information location activities and share such information across the organization. The output of automated information location tools can be used to guide and inform system architecture and design decisions. - id: cm-12.1_fr name: item ns: http://fedramp.gov/ns/oscal title: CM-12 (1) Additional FedRAMP Requirements and Guidance parts: - id: cm-12.1_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: According to FedRAMP Authorization Boundary Guidance. - id: cm-12.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CM-12(01) class: sp800-53a prose: 'automated tools are used to identify {{ insert: param, cm-12.01_odp.01 }} on {{ insert: param, cm-12.01_odp.02 }} to ensure that controls are in place to protect organizational information and individual privacy.' links: - href: '#cm-12.1_smt' rel: assessment-for - id: cm-12.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-12(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing identification and documentation of information location configuration management plan system design documentation PII inventory documentation data mapping documentation change control records system component inventory system security plan privacy plan other relevant documents or records' - id: cm-12.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-12(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for managing information location organizational personnel with information security responsibilities system/network administrators system developers' - id: cm-12.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-12(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes governing information location automated mechanisms enforcing policies and methods for governing information location automated tools used to identify information on system components' - id: cm-14 class: SP800-53 title: Signed Components params: - id: cm-14_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-14_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-14_odp.02 label: organization-defined software and firmware components - id: cm-14_odp.01 props: - name: label value: CM-14_ODP[01] class: sp800-53a label: software components guidelines: - prose: software components requiring verification of a digitally signed certificate before installation are defined; - id: cm-14_odp.02 props: - name: label value: CM-14_ODP[02] class: sp800-53a label: firmware components guidelines: - prose: firmware components requiring verification of a digitally signed certificate before installation are defined; props: - name: label value: CM-14 class: zero-padded - name: label value: CM-14 - name: label value: CM-14 class: sp800-53a - name: sort-id value: cm-14 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference - href: '#cm-7' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#si-7' rel: related parts: - id: cm-14_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Prevent the installation of {{ insert: param, cm-14_prm_1 }} without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.' - id: cm-14_gdn name: guidance prose: Software and firmware components prevented from installation unless signed with recognized and approved certificates include software and firmware version updates, patches, service packs, device drivers, and basic input/output system updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures is a method of code authentication. - id: cm-14_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: If digital signatures/certificates are unavailable, alternative cryptographic integrity checks (hashes, self-signed certs, etc.) can be utilized. - id: cm-14_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CM-14 class: sp800-53a parts: - id: cm-14_obj-1 name: assessment-objective props: - name: label value: CM-14[01] class: sp800-53a prose: 'the installation of {{ insert: param, cm-14_odp.01 }} is prevented unless it is verified that the software has been digitally signed using a certificate recognized and approved by the organization;' links: - href: '#cm-14_smt' rel: assessment-for - id: cm-14_obj-2 name: assessment-objective props: - name: label value: CM-14[02] class: sp800-53a prose: 'the installation of {{ insert: param, cm-14_odp.02 }} is prevented unless it is verified that the firmware has been digitally signed using a certificate recognized and approved by the organization.' links: - href: '#cm-14_smt' rel: assessment-for links: - href: '#cm-14_smt' rel: assessment-for - id: cm-14_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-14-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Configuration management policy procedures addressing digitally signed certificates for software and firmware components configuration management plan system security plan system design documentation change control records system component inventory system security plan other relevant documents or records' - id: cm-14_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-14-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for verifying digitally signed certificates for software and firmware component installation organizational personnel with information security responsibilities system/network administrators system developers' - id: cm-14_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-14-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes governing information location mechanisms enforcing policies and methods for governing information location automated tools supporting or implementing digitally signatures for software and firmware components automated tools supporting or implementing verification of digital signatures for software and firmware component installation' - id: cp class: family title: Contingency Planning controls: - id: cp-1 class: SP800-53 title: Policy and Procedures params: - id: cp-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-01_odp.02 label: organization-defined personnel or roles - id: cp-01_odp.01 props: - name: label value: CP-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the contingency planning policy is to be disseminated is/are defined; - id: cp-01_odp.02 props: - name: label value: CP-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the contingency planning procedures are to be disseminated is/are defined; - id: cp-01_odp.03 props: - name: alt-identifier value: cp-1_prm_2 - name: label value: CP-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: cp-01_odp.04 props: - name: alt-identifier value: cp-1_prm_3 - name: label value: CP-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the contingency planning policy and procedures is defined; - id: cp-01_odp.05 props: - name: alt-identifier value: cp-1_prm_4 - name: label value: CP-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current contingency planning policy is reviewed and updated is defined; - id: cp-01_odp.06 props: - name: alt-identifier value: cp-1_prm_5 - name: label value: CP-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current contingency planning policy to be reviewed and updated are defined; - id: cp-01_odp.07 props: - name: alt-identifier value: cp-1_prm_6 - name: label value: CP-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current contingency planning procedures are reviewed and updated is defined; - id: cp-01_odp.08 props: - name: alt-identifier value: cp-1_prm_7 - name: label value: CP-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that would require procedures to be reviewed and updated are defined; props: - name: label value: CP-01 class: zero-padded - name: label value: CP-1 - name: label value: CP-01 class: sp800-53a - name: sort-id value: cp-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#bc39f179-c735-4da2-b7a7-b2b622119755' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#511f6832-23ca-49a3-8c0f-ce493373cab8' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ps-8' rel: related - href: '#si-12' rel: related parts: - id: cp-1_smt name: statement parts: - id: cp-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses Contingency Planning MUST be associated with CP-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses Contingency Planning MUST be associated with CP-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, cp-1_prm_1 }}:' parts: - id: cp-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, cp-01_odp.03 }} contingency planning policy that:' parts: - id: cp-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: cp-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: cp-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the contingency planning policy and the associated contingency planning controls; - id: cp-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, cp-01_odp.04 }} to manage the development, documentation, and dissemination of the contingency planning policy and procedures; and' - id: cp-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current contingency planning:' parts: - id: cp-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, cp-01_odp.05 }} and following {{ insert: param, cp-01_odp.06 }} ; and' - id: cp-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, cp-01_odp.07 }} and following {{ insert: param, cp-01_odp.08 }}.' - id: cp-1_gdn name: guidance prose: Contingency planning policy and procedures address the controls in the CP family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of contingency planning policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to contingency planning policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: cp-1_obj name: assessment-objective props: - name: label value: CP-01 class: sp800-53a parts: - id: cp-1_obj.a name: assessment-objective props: - name: label value: CP-01a. class: sp800-53a parts: - id: cp-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-01a.[01] class: sp800-53a prose: a contingency planning policy is developed and documented; links: - href: '#cp-1_smt.a' rel: assessment-for - id: cp-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-01a.[02] class: sp800-53a prose: 'the contingency planning policy is disseminated to {{ insert: param, cp-01_odp.01 }};' links: - href: '#cp-1_smt.a' rel: assessment-for - id: cp-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CP-01a.[03] class: sp800-53a prose: contingency planning procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls are developed and documented; links: - href: '#cp-1_smt.a' rel: assessment-for - id: cp-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CP-01a.[04] class: sp800-53a prose: 'the contingency planning procedures are disseminated to {{ insert: param, cp-01_odp.02 }};' links: - href: '#cp-1_smt.a' rel: assessment-for - id: cp-1_obj.a.1 name: assessment-objective props: - name: label value: CP-01a.01 class: sp800-53a parts: - id: cp-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CP-01a.01(a) class: sp800-53a parts: - id: cp-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: CP-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses purpose;' links: - href: '#cp-1_smt.a.1.a' rel: assessment-for - id: cp-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: CP-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses scope;' links: - href: '#cp-1_smt.a.1.a' rel: assessment-for - id: cp-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: CP-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses roles;' links: - href: '#cp-1_smt.a.1.a' rel: assessment-for - id: cp-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: CP-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses responsibilities;' links: - href: '#cp-1_smt.a.1.a' rel: assessment-for - id: cp-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: CP-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses management commitment;' links: - href: '#cp-1_smt.a.1.a' rel: assessment-for - id: cp-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: CP-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses coordination among organizational entities;' links: - href: '#cp-1_smt.a.1.a' rel: assessment-for - id: cp-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: CP-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses compliance;' links: - href: '#cp-1_smt.a.1.a' rel: assessment-for links: - href: '#cp-1_smt.a.1.a' rel: assessment-for - id: cp-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CP-01a.01(b) class: sp800-53a prose: 'the {{ insert: param, cp-01_odp.03 }} contingency planning policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;' links: - href: '#cp-1_smt.a.1.b' rel: assessment-for links: - href: '#cp-1_smt.a.1' rel: assessment-for links: - href: '#cp-1_smt.a' rel: assessment-for - id: cp-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-01b. class: sp800-53a prose: 'the {{ insert: param, cp-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the contingency planning policy and procedures;' links: - href: '#cp-1_smt.b' rel: assessment-for - id: cp-1_obj.c name: assessment-objective props: - name: label value: CP-01c. class: sp800-53a parts: - id: cp-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-01c.01 class: sp800-53a parts: - id: cp-1_obj.c.1-1 name: assessment-objective props: - name: label value: CP-01c.01[01] class: sp800-53a prose: 'the current contingency planning policy is reviewed and updated {{ insert: param, cp-01_odp.05 }};' links: - href: '#cp-1_smt.c.1' rel: assessment-for - id: cp-1_obj.c.1-2 name: assessment-objective props: - name: label value: CP-01c.01[02] class: sp800-53a prose: 'the current contingency planning policy is reviewed and updated following {{ insert: param, cp-01_odp.06 }};' links: - href: '#cp-1_smt.c.1' rel: assessment-for links: - href: '#cp-1_smt.c.1' rel: assessment-for - id: cp-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-01c.02 class: sp800-53a parts: - id: cp-1_obj.c.2-1 name: assessment-objective props: - name: label value: CP-01c.02[01] class: sp800-53a prose: 'the current contingency planning procedures are reviewed and updated {{ insert: param, cp-01_odp.07 }};' links: - href: '#cp-1_smt.c.2' rel: assessment-for - id: cp-1_obj.c.2-2 name: assessment-objective props: - name: label value: CP-01c.02[02] class: sp800-53a prose: 'the current contingency planning procedures are reviewed and updated following {{ insert: param, cp-01_odp.08 }}.' links: - href: '#cp-1_smt.c.2' rel: assessment-for links: - href: '#cp-1_smt.c.2' rel: assessment-for links: - href: '#cp-1_smt.c' rel: assessment-for links: - href: '#cp-1_smt' rel: assessment-for - id: cp-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy and procedures system security plan privacy plan other relevant documents or records' - id: cp-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency planning responsibilities organizational personnel with information security and privacy responsibilities' - id: cp-2 class: SP800-53 title: Contingency Plan params: - id: cp-2_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-02_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-02_odp.02 label: organization-defined personnel or roles - id: cp-2_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-02_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-02_odp.04 label: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements - id: cp-2_prm_4 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-02_odp.06 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-02_odp.07 label: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements - id: cp-02_odp.01 props: - name: label value: CP-02_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to review a contingency plan is/are defined; - id: cp-02_odp.02 props: - name: label value: CP-02_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to approve a contingency plan is/are defined; - id: cp-02_odp.03 props: - name: label value: CP-02_ODP[03] class: sp800-53a label: key contingency personnel guidelines: - prose: key contingency personnel (identified by name and/or by role) to whom copies of the contingency plan are distributed are defined; - id: cp-02_odp.04 props: - name: label value: CP-02_ODP[04] class: sp800-53a label: organizational elements guidelines: - prose: key contingency organizational elements to which copies of the contingency plan are distributed are defined; - id: cp-02_odp.05 props: - name: alt-identifier value: cp-2_prm_3 - name: label value: CP-02_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: frequency of contingency plan review is defined; - id: cp-02_odp.06 props: - name: label value: CP-02_ODP[06] class: sp800-53a label: key contingency personnel guidelines: - prose: key contingency personnel (identified by name and/or by role) to communicate changes to are defined; - id: cp-02_odp.07 props: - name: label value: CP-02_ODP[07] class: sp800-53a label: organizational elements guidelines: - prose: key contingency organizational elements to communicate changes to are defined; props: - name: label value: CP-02 class: zero-padded - name: label value: CP-2 - name: label value: CP-02 class: sp800-53a - name: sort-id value: cp-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#bc39f179-c735-4da2-b7a7-b2b622119755' rel: reference - href: '#d4296805-2dca-4c63-a95f-eeccaa826aec' rel: reference - href: '#cp-3' rel: related - href: '#cp-4' rel: related - href: '#cp-6' rel: related - href: '#cp-7' rel: related - href: '#cp-8' rel: related - href: '#cp-9' rel: related - href: '#cp-10' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cp-11 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cp-13 rel: related - href: '#ir-4' rel: related - href: '#ir-6' rel: related - href: '#ir-8' rel: related - href: '#ir-9' rel: related - href: '#ma-6' rel: related - href: '#mp-2' rel: related - href: '#mp-4' rel: related - href: '#mp-5' rel: related - href: '#pl-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-8 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-11 rel: related - href: '#sa-15' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-20 rel: related - href: '#sc-7' rel: related - href: '#sc-23' rel: related - href: '#si-12' rel: related parts: - id: cp-2_smt name: statement parts: - id: cp-2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Develop a contingency plan for the system that:' parts: - id: cp-2_smt.a.1 name: item props: - name: label value: '1.' prose: Identifies essential mission and business functions and associated contingency requirements; - id: cp-2_smt.a.2 name: item props: - name: label value: '2.' prose: Provides recovery objectives, restoration priorities, and metrics; - id: cp-2_smt.a.3 name: item props: - name: label value: '3.' prose: Addresses contingency roles, responsibilities, assigned individuals with contact information; - id: cp-2_smt.a.4 name: item props: - name: label value: '4.' prose: Addresses maintaining essential mission and business functions despite a system disruption, compromise, or failure; - id: cp-2_smt.a.5 name: item props: - name: label value: '5.' prose: Addresses eventual, full system restoration without deterioration of the controls originally planned and implemented; - id: cp-2_smt.a.6 name: item props: - name: label value: '6.' prose: Addresses the sharing of contingency information; and - id: cp-2_smt.a.7 name: item props: - name: label value: '7.' prose: 'Is reviewed and approved by {{ insert: param, cp-2_prm_1 }};' - id: cp-2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Distribute copies of the contingency plan to {{ insert: param, cp-2_prm_2 }};' - id: cp-2_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Coordinate contingency planning activities with incident handling activities; - id: cp-2_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: 'Review the contingency plan for the system {{ insert: param, cp-02_odp.05 }};' - id: cp-2_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: Update the contingency plan to address changes to the organization, system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing; - id: cp-2_smt.f name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: f. prose: 'Communicate contingency plan changes to {{ insert: param, cp-2_prm_4 }};' - id: cp-2_smt.g name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: g. prose: Incorporate lessons learned from contingency plan testing, training, or actual contingency activities into contingency testing and training; and - id: cp-2_smt.h name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: h. prose: Protect the contingency plan from unauthorized disclosure and modification. - id: cp-2_gdn name: guidance prose: 'Contingency planning for systems is part of an overall program for achieving continuity of operations for organizational mission and business functions. Contingency planning addresses system restoration and implementation of alternative mission or business processes when systems are compromised or breached. Contingency planning is considered throughout the system development life cycle and is a fundamental part of the system design. Systems can be designed for redundancy, to provide backup capabilities, and for resilience. Contingency plans reflect the degree of restoration required for organizational systems since not all systems need to fully recover to achieve the level of continuity of operations desired. System recovery objectives reflect applicable laws, executive orders, directives, regulations, policies, standards, guidelines, organizational risk tolerance, and system impact level. Actions addressed in contingency plans include orderly system degradation, system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By coordinating contingency planning with incident handling activities, organizations ensure that the necessary planning activities are in place and activated in the event of an incident. Organizations consider whether continuity of operations during an incident conflicts with the capability to automatically disable the system, as specified in [IR-4(5)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ir-4.5) . Incident response planning is part of contingency planning for organizations and is addressed in the [IR](#ir) (Incident Response) family.' - id: cp-2_fr name: item ns: http://fedramp.gov/ns/oscal title: CP-2 Additional FedRAMP Requirements and Guidance parts: - id: cp-2_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: 'CSPs must use the FedRAMP Information System Contingency Plan (ISCP) Template (available on the fedramp.gov: https://www.fedramp.gov/assets/resources/templates/SSP-A06-FedRAMP-ISCP-Template.docx).' - id: cp-2_obj name: assessment-objective props: - name: label value: CP-02 class: sp800-53a parts: - id: cp-2_obj.a name: assessment-objective props: - name: label value: CP-02a. class: sp800-53a parts: - id: cp-2_obj.a.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CP-02a.01 class: sp800-53a prose: a contingency plan for the system is developed that identifies essential mission and business functions and associated contingency requirements; links: - href: '#cp-2_smt.a.1' rel: assessment-for - id: cp-2_obj.a.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CP-02a.02 class: sp800-53a parts: - id: cp-2_obj.a.2-1 name: assessment-objective props: - name: label value: CP-02a.02[01] class: sp800-53a prose: a contingency plan for the system is developed that provides recovery objectives; links: - href: '#cp-2_smt.a.2' rel: assessment-for - id: cp-2_obj.a.2-2 name: assessment-objective props: - name: label value: CP-02a.02[02] class: sp800-53a prose: a contingency plan for the system is developed that provides restoration priorities; links: - href: '#cp-2_smt.a.2' rel: assessment-for - id: cp-2_obj.a.2-3 name: assessment-objective props: - name: label value: CP-02a.02[03] class: sp800-53a prose: a contingency plan for the system is developed that provides metrics; links: - href: '#cp-2_smt.a.2' rel: assessment-for links: - href: '#cp-2_smt.a.2' rel: assessment-for - id: cp-2_obj.a.3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CP-02a.03 class: sp800-53a parts: - id: cp-2_obj.a.3-1 name: assessment-objective props: - name: label value: CP-02a.03[01] class: sp800-53a prose: a contingency plan for the system is developed that addresses contingency roles; links: - href: '#cp-2_smt.a.3' rel: assessment-for - id: cp-2_obj.a.3-2 name: assessment-objective props: - name: label value: CP-02a.03[02] class: sp800-53a prose: a contingency plan for the system is developed that addresses contingency responsibilities; links: - href: '#cp-2_smt.a.3' rel: assessment-for - id: cp-2_obj.a.3-3 name: assessment-objective props: - name: label value: CP-02a.03[03] class: sp800-53a prose: a contingency plan for the system is developed that addresses assigned individuals with contact information; links: - href: '#cp-2_smt.a.3' rel: assessment-for links: - href: '#cp-2_smt.a.3' rel: assessment-for - id: cp-2_obj.a.4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CP-02a.04 class: sp800-53a prose: a contingency plan for the system is developed that addresses maintaining essential mission and business functions despite a system disruption, compromise, or failure; links: - href: '#cp-2_smt.a.4' rel: assessment-for - id: cp-2_obj.a.5 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CP-02a.05 class: sp800-53a prose: a contingency plan for the system is developed that addresses eventual, full-system restoration without deterioration of the controls originally planned and implemented; links: - href: '#cp-2_smt.a.5' rel: assessment-for - id: cp-2_obj.a.6 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CP-02a.06 class: sp800-53a prose: a contingency plan for the system is developed that addresses the sharing of contingency information; links: - href: '#cp-2_smt.a.6' rel: assessment-for - id: cp-2_obj.a.7 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: CP-02a.07 class: sp800-53a parts: - id: cp-2_obj.a.7-1 name: assessment-objective props: - name: label value: CP-02a.07[01] class: sp800-53a prose: 'a contingency plan for the system is developed that is reviewed by {{ insert: param, cp-02_odp.01 }};' links: - href: '#cp-2_smt.a.7' rel: assessment-for - id: cp-2_obj.a.7-2 name: assessment-objective props: - name: label value: CP-02a.07[02] class: sp800-53a prose: 'a contingency plan for the system is developed that is approved by {{ insert: param, cp-02_odp.02 }};' links: - href: '#cp-2_smt.a.7' rel: assessment-for links: - href: '#cp-2_smt.a.7' rel: assessment-for links: - href: '#cp-2_smt.a' rel: assessment-for - id: cp-2_obj.b name: assessment-objective props: - name: label value: CP-02b. class: sp800-53a parts: - id: cp-2_obj.b-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-02b.[01] class: sp800-53a prose: 'copies of the contingency plan are distributed to {{ insert: param, cp-02_odp.03 }};' links: - href: '#cp-2_smt.b' rel: assessment-for - id: cp-2_obj.b-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-02b.[02] class: sp800-53a prose: 'copies of the contingency plan are distributed to {{ insert: param, cp-02_odp.04 }};' links: - href: '#cp-2_smt.b' rel: assessment-for links: - href: '#cp-2_smt.b' rel: assessment-for - id: cp-2_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-02c. class: sp800-53a prose: contingency planning activities are coordinated with incident handling activities; links: - href: '#cp-2_smt.c' rel: assessment-for - id: cp-2_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-02d. class: sp800-53a prose: 'the contingency plan for the system is reviewed {{ insert: param, cp-02_odp.05 }};' links: - href: '#cp-2_smt.d' rel: assessment-for - id: cp-2_obj.e name: assessment-objective props: - name: label value: CP-02e. class: sp800-53a parts: - id: cp-2_obj.e-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-02e.[01] class: sp800-53a prose: the contingency plan is updated to address changes to the organization, system, or environment of operation; links: - href: '#cp-2_smt.e' rel: assessment-for - id: cp-2_obj.e-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-02e.[02] class: sp800-53a prose: the contingency plan is updated to address problems encountered during contingency plan implementation, execution, or testing; links: - href: '#cp-2_smt.e' rel: assessment-for links: - href: '#cp-2_smt.e' rel: assessment-for - id: cp-2_obj.f name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-02f. class: sp800-53a parts: - id: cp-2_obj.f-1 name: assessment-objective props: - name: label value: CP-02f.[01] class: sp800-53a prose: 'contingency plan changes are communicated to {{ insert: param, cp-02_odp.06 }};' links: - href: '#cp-2_smt.f' rel: assessment-for - id: cp-2_obj.f-2 name: assessment-objective props: - name: label value: CP-02f.[02] class: sp800-53a prose: 'contingency plan changes are communicated to {{ insert: param, cp-02_odp.07 }};' links: - href: '#cp-2_smt.f' rel: assessment-for links: - href: '#cp-2_smt.f' rel: assessment-for - id: cp-2_obj.g name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-02g. class: sp800-53a parts: - id: cp-2_obj.g-1 name: assessment-objective props: - name: label value: CP-02g.[01] class: sp800-53a prose: lessons learned from contingency plan testing or actual contingency activities are incorporated into contingency testing; links: - href: '#cp-2_smt.g' rel: assessment-for - id: cp-2_obj.g-2 name: assessment-objective props: - name: label value: CP-02g.[02] class: sp800-53a prose: lessons learned from contingency plan training or actual contingency activities are incorporated into contingency testing and training; links: - href: '#cp-2_smt.g' rel: assessment-for links: - href: '#cp-2_smt.g' rel: assessment-for - id: cp-2_obj.h name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-02h. class: sp800-53a parts: - id: cp-2_obj.h-1 name: assessment-objective props: - name: label value: CP-02h.[01] class: sp800-53a prose: the contingency plan is protected from unauthorized disclosure; links: - href: '#cp-2_smt.h' rel: assessment-for - id: cp-2_obj.h-2 name: assessment-objective props: - name: label value: CP-02h.[02] class: sp800-53a prose: the contingency plan is protected from unauthorized modification. links: - href: '#cp-2_smt.h' rel: assessment-for links: - href: '#cp-2_smt.h' rel: assessment-for links: - href: '#cp-2_smt' rel: assessment-for - id: cp-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing contingency operations for the system contingency plan evidence of contingency plan reviews and updates system security plan other relevant documents or records' - id: cp-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel with incident handling responsibilities organizational personnel with knowledge of requirements for mission and business functions organizational personnel with information security responsibilities' - id: cp-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-02-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for contingency plan development, review, update, and protection mechanisms for developing, reviewing, updating, and/or protecting the contingency plan' controls: - id: cp-2.1 class: SP800-53-enhancement title: Coordinate with Related Plans props: - name: label value: CP-02(01) class: zero-padded - name: label value: CP-2(1) - name: label value: CP-02(01) class: sp800-53a - name: sort-id value: cp-02.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: required parts: - id: cp-2.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Coordinate contingency plan development with organizational elements responsible for related plans. - id: cp-2.1_gdn name: guidance prose: Plans that are related to contingency plans include Business Continuity Plans, Disaster Recovery Plans, Critical Infrastructure Plans, Continuity of Operations Plans, Crisis Communications Plans, Insider Threat Implementation Plans, Data Breach Response Plans, Cyber Incident Response Plans, Breach Response Plans, and Occupant Emergency Plans. - id: cp-2.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-02(01) class: sp800-53a prose: contingency plan development is coordinated with organizational elements responsible for related plans. links: - href: '#cp-2.1_smt' rel: assessment-for - id: cp-2.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-02(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing contingency operations for the system contingency plan business contingency plans disaster recovery plans continuity of operations plans crisis communications plans critical infrastructure plans cyber incident response plan insider threat implementation plans occupant emergency plans system security plan other relevant documents or records' - id: cp-2.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-02(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel with information security responsibilities personnel with responsibility for related plans' - id: cp-2.2 class: SP800-53-enhancement title: Capacity Planning props: - name: label value: CP-02(02) class: zero-padded - name: label value: CP-2(2) - name: label value: CP-02(02) class: sp800-53a - name: sort-id value: cp-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: required - href: '#pe-11' rel: related - href: '#pe-12' rel: related - href: '#pe-13' rel: related - href: '#pe-14' rel: related - href: '#pe-18' rel: related - href: '#sc-5' rel: related parts: - id: cp-2.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Conduct capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations. - id: cp-2.2_gdn name: guidance prose: Capacity planning is needed because different threats can result in a reduction of the available processing, telecommunications, and support services intended to support essential mission and business functions. Organizations anticipate degraded operations during contingency operations and factor the degradation into capacity planning. For capacity planning, environmental support refers to any environmental factor for which the organization determines that it needs to provide support in a contingency situation, even if in a degraded state. Such determinations are based on an organizational assessment of risk, system categorization (impact level), and organizational risk tolerance. - id: cp-2.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-02(02) class: sp800-53a parts: - id: cp-2.2_obj-1 name: assessment-objective props: - name: label value: CP-02(02)[01] class: sp800-53a prose: capacity planning is conducted so that the necessary capacity exists during contingency operations for information processing; links: - href: '#cp-2.2_smt' rel: assessment-for - id: cp-2.2_obj-2 name: assessment-objective props: - name: label value: CP-02(02)[02] class: sp800-53a prose: capacity planning is conducted so that the necessary capacity exists during contingency operations for telecommunications; links: - href: '#cp-2.2_smt' rel: assessment-for - id: cp-2.2_obj-3 name: assessment-objective props: - name: label value: CP-02(02)[03] class: sp800-53a prose: capacity planning is conducted so that the necessary capacity exists during contingency operations for environmental support. links: - href: '#cp-2.2_smt' rel: assessment-for links: - href: '#cp-2.2_smt' rel: assessment-for - id: cp-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing contingency operations for the system contingency plan capacity planning documents system security plan other relevant documents or records' - id: cp-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel responsible for capacity planning organizational personnel with information security responsibilities' - id: cp-2.3 class: SP800-53-enhancement title: Resume Mission and Business Functions params: - id: cp-02.03_odp.01 props: - name: alt-identifier value: cp-2.3_prm_1 - name: label value: CP-02(03)_ODP[01] class: sp800-53a constraints: - description: all - id: cp-02.03_odp.02 props: - name: alt-identifier value: cp-2.3_prm_2 - name: label value: CP-02(03)_ODP[02] class: sp800-53a label: time period constraints: - description: time period defined in service provider and organization SLA guidelines: - prose: the contingency plan activation time period within which to resume mission and business functions is defined; props: - name: label value: CP-02(03) class: zero-padded - name: label value: CP-2(3) - name: label value: CP-02(03) class: sp800-53a - name: sort-id value: cp-02.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: required parts: - id: cp-2.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Plan for the resumption of {{ insert: param, cp-02.03_odp.01 }} mission and business functions within {{ insert: param, cp-02.03_odp.02 }} of contingency plan activation.' - id: cp-2.3_gdn name: guidance prose: Organizations may choose to conduct contingency planning activities to resume mission and business functions as part of business continuity planning or as part of business impact analyses. Organizations prioritize the resumption of mission and business functions. The time period for resuming mission and business functions may be dependent on the severity and extent of the disruptions to the system and its supporting infrastructure. - id: cp-2.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-02(03) class: sp800-53a prose: 'the resumption of {{ insert: param, cp-02.03_odp.01 }} mission and business functions are planned for within {{ insert: param, cp-02.03_odp.02 }} of contingency plan activation.' links: - href: '#cp-2.3_smt' rel: assessment-for - id: cp-2.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-02(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing contingency operations for the system contingency plan business impact assessment system security plan privacy plan other related plans system security plan other relevant documents or records' - id: cp-2.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-02(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with knowledge of requirements for mission and business functions' - id: cp-2.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-02(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for resumption of missions and business functions - id: cp-2.5 class: SP800-53-enhancement title: Continue Mission and Business Functions params: - id: cp-02.05_odp props: - name: alt-identifier value: cp-2.5_prm_1 - name: label value: CP-02(05)_ODP class: sp800-53a constraints: - description: essential props: - name: label value: CP-02(05) class: zero-padded - name: label value: CP-2(5) - name: label value: CP-02(05) class: sp800-53a - name: sort-id value: cp-02.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: required parts: - id: cp-2.5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Plan for the continuance of {{ insert: param, cp-02.05_odp }} mission and business functions with minimal or no loss of operational continuity and sustains that continuity until full system restoration at primary processing and/or storage sites.' - id: cp-2.5_gdn name: guidance prose: Organizations may choose to conduct the contingency planning activities to continue mission and business functions as part of business continuity planning or business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency. - id: cp-2.5_obj name: assessment-objective props: - name: label value: CP-02(05) class: sp800-53a parts: - id: cp-2.5_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-02(05)[01] class: sp800-53a prose: 'the continuance of {{ insert: param, cp-02.05_odp }} mission and business functions with minimal or no loss of operational continuity is planned for;' links: - href: '#cp-2.5_smt' rel: assessment-for - id: cp-2.5_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-02(05)[02] class: sp800-53a prose: continuity is sustained until full system restoration at primary processing and/or storage sites. links: - href: '#cp-2.5_smt' rel: assessment-for links: - href: '#cp-2.5_smt' rel: assessment-for - id: cp-2.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-02(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing contingency operations for the system contingency plan business impact assessment primary processing site agreements primary storage site agreements alternate processing site agreements alternate storage site agreements contingency plan test documentation contingency plan test results system security plan other relevant documents or records' - id: cp-2.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-02(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel with knowledge of requirements for mission and business functions organizational personnel with information security responsibilities' - id: cp-2.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-02(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for continuing missions and business functions - id: cp-2.8 class: SP800-53-enhancement title: Identify Critical Assets params: - id: cp-02.08_odp props: - name: alt-identifier value: cp-2.8_prm_1 - name: label value: CP-02(08)_ODP class: sp800-53a select: choice: - all - essential props: - name: label value: CP-02(08) class: zero-padded - name: label value: CP-2(8) - name: label value: CP-02(08) class: sp800-53a - name: sort-id value: cp-02.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: required - href: '#cm-8' rel: related - href: '#ra-9' rel: related parts: - id: cp-2.8_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Identify critical system assets supporting {{ insert: param, cp-02.08_odp }} mission and business functions.' - id: cp-2.8_gdn name: guidance prose: Organizations may choose to identify critical assets as part of criticality analysis, business continuity planning, or business impact analyses. Organizations identify critical system assets so that additional controls can be employed (beyond the controls routinely implemented) to help ensure that organizational mission and business functions can continue to be conducted during contingency operations. The identification of critical information assets also facilitates the prioritization of organizational resources. Critical system assets include technical and operational aspects. Technical aspects include system components, information technology services, information technology products, and mechanisms. Operational aspects include procedures (i.e., manually executed operations) and personnel (i.e., individuals operating technical controls and/or executing manual procedures). Organizational program protection plans can assist in identifying critical assets. If critical assets are resident within or supported by external service providers, organizations consider implementing [CP-2(7)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cp-2.7) as a control enhancement. - id: cp-2.8_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-02(08) class: sp800-53a prose: 'critical system assets supporting {{ insert: param, cp-02.08_odp }} mission and business functions are identified.' links: - href: '#cp-2.8_smt' rel: assessment-for - id: cp-2.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-02(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing contingency operations for the system contingency plan business impact assessment system security plan other relevant documents or records' - id: cp-2.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-02(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel with knowledge of requirements for mission and business functions organizational personnel with information security responsibilities' - id: cp-3 class: SP800-53 title: Contingency Training params: - id: cp-03_odp.01 props: - name: alt-identifier value: cp-3_prm_1 - name: label value: CP-03_ODP[01] class: sp800-53a label: time period constraints: - description: \*See Additional Requirements guidelines: - prose: the time period within which to provide contingency training after assuming a contingency role or responsibility is defined; - id: cp-03_odp.02 props: - name: alt-identifier value: cp-3_prm_2 - name: label value: CP-03_ODP[02] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: frequency at which to provide training to system users with a contingency role or responsibility is defined; - id: cp-03_odp.03 props: - name: alt-identifier value: cp-3_prm_3 - name: label value: CP-03_ODP[03] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: frequency at which to review and update contingency training content is defined; - id: cp-03_odp.04 props: - name: alt-identifier value: cp-3_prm_4 - name: label value: CP-03_ODP[04] class: sp800-53a label: events guidelines: - prose: events necessitating review and update of contingency training are defined; props: - name: label value: CP-03 class: zero-padded - name: label value: CP-3 - name: label value: CP-03 class: sp800-53a - name: sort-id value: cp-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#511f6832-23ca-49a3-8c0f-ce493373cab8' rel: reference - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#at-4' rel: related - href: '#cp-2' rel: related - href: '#cp-4' rel: related - href: '#cp-8' rel: related - href: '#ir-2' rel: related - href: '#ir-4' rel: related - href: '#ir-9' rel: related parts: - id: cp-3_smt name: statement parts: - id: cp-3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Provide contingency training to system users consistent with assigned roles and responsibilities:' parts: - id: cp-3_smt.a.1 name: item props: - name: label value: '1.' prose: 'Within {{ insert: param, cp-03_odp.01 }} of assuming a contingency role or responsibility;' - id: cp-3_smt.a.2 name: item props: - name: label value: '2.' prose: When required by system changes; and - id: cp-3_smt.a.3 name: item props: - name: label value: '3.' prose: '{{ insert: param, cp-03_odp.02 }} thereafter; and' - id: cp-3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Review and update contingency training content {{ insert: param, cp-03_odp.03 }} and following {{ insert: param, cp-03_odp.04 }}.' - id: cp-3_gdn name: guidance prose: 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, some individuals 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 establish systems at alternate processing and storage sites; and organizational officials 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 or responsibilities reflects the specific continuity requirements in the contingency plan. Events that may precipitate an update to contingency training content include, but are not limited to, contingency plan testing or an actual contingency (lessons learned), assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. At the discretion of the organization, participation in a contingency plan test or exercise, including lessons learned sessions subsequent to the test or exercise, may satisfy contingency plan training requirements. - id: cp-3_fr name: item ns: http://fedramp.gov/ns/oscal title: CP-3 Additional FedRAMP Requirements and Guidance parts: - id: cp-3_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(a) Requirement:' prose: Privileged admins and engineers must take the basic contingency training within 10 days. Consideration must be given for those privileged admins and engineers with critical contingency-related roles, to gain enough system context and situational awareness to understand the full impact of contingency training as it applies to their respective level. Newly hired critical contingency personnel must take this more in-depth training within 60 days of hire date when the training will have more impact. - id: cp-3_obj name: assessment-objective props: - name: label value: CP-03 class: sp800-53a parts: - id: cp-3_obj.a name: assessment-objective props: - name: label value: CP-03a. class: sp800-53a parts: - id: cp-3_obj.a.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-03a.01 class: sp800-53a prose: 'contingency training is provided to system users consistent with assigned roles and responsibilities within {{ insert: param, cp-03_odp.01 }} of assuming a contingency role or responsibility;' links: - href: '#cp-3_smt.a.1' rel: assessment-for - id: cp-3_obj.a.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-03a.02 class: sp800-53a prose: contingency training is provided to system users consistent with assigned roles and responsibilities when required by system changes; links: - href: '#cp-3_smt.a.2' rel: assessment-for - id: cp-3_obj.a.3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-03a.03 class: sp800-53a prose: 'contingency training is provided to system users consistent with assigned roles and responsibilities {{ insert: param, cp-03_odp.02 }} thereafter;' links: - href: '#cp-3_smt.a.3' rel: assessment-for links: - href: '#cp-3_smt.a' rel: assessment-for - id: cp-3_obj.b name: assessment-objective props: - name: label value: CP-03b. class: sp800-53a parts: - id: cp-3_obj.b-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-03b.[01] class: sp800-53a prose: 'the contingency plan training content is reviewed and updated {{ insert: param, cp-03_odp.03 }};' links: - href: '#cp-3_smt.b' rel: assessment-for - id: cp-3_obj.b-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-03b.[02] class: sp800-53a prose: 'the contingency plan training content is reviewed and updated following {{ insert: param, cp-03_odp.04 }}.' links: - href: '#cp-3_smt.b' rel: assessment-for links: - href: '#cp-3_smt.b' rel: assessment-for links: - href: '#cp-3_smt' rel: assessment-for - id: cp-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-03-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing contingency training contingency plan contingency training curriculum contingency training material contingency training records system security plan other relevant documents or records' - id: cp-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-03-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency planning, plan implementation, and training responsibilities organizational personnel with information security responsibilities' - id: cp-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-03-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for contingency training controls: - id: cp-3.1 class: SP800-53-enhancement title: Simulated Events props: - name: label value: CP-03(01) class: zero-padded - name: label value: CP-3(1) - name: label value: CP-03(01) class: sp800-53a - name: sort-id value: cp-03.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#cp-3' rel: required parts: - id: cp-3.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations. - id: cp-3.1_gdn name: guidance prose: The use of simulated events creates an environment for personnel to experience actual threat events, including cyber-attacks that disable websites, ransomware attacks that encrypt organizational data on servers, hurricanes that damage or destroy organizational facilities, or hardware or software failures. - id: cp-3.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-03(01) class: sp800-53a prose: simulated events are incorporated into contingency training to facilitate effective response by personnel in crisis situations. links: - href: '#cp-3.1_smt' rel: assessment-for - id: cp-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing contingency training contingency plan contingency training curriculum contingency training material system security plan other relevant documents or records' - id: cp-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency planning, plan implementation, and training responsibilities organizational personnel with information security responsibilities' - id: cp-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-03(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for contingency training mechanisms for simulating contingency events' - id: cp-4 class: SP800-53 title: Contingency Plan Testing params: - id: cp-4_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-04_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-04_odp.03 label: organization-defined tests - id: cp-04_odp.01 props: - name: alt-identifier value: cp-4_prm_1 - name: label value: CP-04_ODP[01] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: frequency of testing the contingency plan for the system is defined; - id: cp-04_odp.02 props: - name: label value: CP-04_ODP[02] class: sp800-53a label: tests constraints: - description: functional exercises guidelines: - prose: tests for determining the effectiveness of the contingency plan are defined; - id: cp-04_odp.03 props: - name: label value: CP-04_ODP[03] class: sp800-53a label: tests constraints: - description: functional exercises guidelines: - prose: tests for determining readiness to execute the contingency plan are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: CP-04 class: zero-padded - name: label value: CP-4 - name: label value: CP-04 class: sp800-53a - name: sort-id value: cp-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#bc39f179-c735-4da2-b7a7-b2b622119755' rel: reference - href: '#53be2fcf-cfd1-4bcb-896b-9a3b65c22098' rel: reference - href: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference - href: '#at-3' rel: related - href: '#cp-2' rel: related - href: '#cp-3' rel: related - href: '#cp-8' rel: related - href: '#cp-9' rel: related - href: '#ir-3' rel: related - href: '#ir-4' rel: related - href: '#pl-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-14 rel: related - href: '#sr-2' rel: related parts: - id: cp-4_smt name: statement parts: - id: cp-4_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Test the contingency plan for the system {{ insert: param, cp-04_odp.01 }} using the following tests to determine the effectiveness of the plan and the readiness to execute the plan: {{ insert: param, cp-4_prm_2 }}.' - id: cp-4_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Review the contingency plan test results; and - id: cp-4_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Initiate corrective actions, if needed. - id: cp-4_gdn name: guidance prose: Methods for testing contingency plans to determine the effectiveness of the plans and identify potential weaknesses include checklists, walk-through and tabletop exercises, simulations (parallel or full interrupt), and comprehensive exercises. Organizations conduct testing based on the requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions. - id: cp-4_fr name: item ns: http://fedramp.gov/ns/oscal title: CP-4 Additional FedRAMP Requirements and Guidance parts: - id: cp-4_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(a) Requirement:' prose: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the AO prior to initiating testing. - id: cp-4_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(b) Requirement:' prose: The service provider must include the Contingency Plan test results with the security package within the Contingency Plan-designated appendix (Appendix G, Contingency Plan Test Report). - id: cp-4_obj name: assessment-objective props: - name: label value: CP-04 class: sp800-53a parts: - id: cp-4_obj.a name: assessment-objective props: - name: label value: CP-04a. class: sp800-53a parts: - id: cp-4_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-04a.[01] class: sp800-53a prose: 'the contingency plan for the system is tested {{ insert: param, cp-04_odp.01 }};' links: - href: '#cp-4_smt.a' rel: assessment-for - id: cp-4_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-04a.[02] class: sp800-53a prose: '{{ insert: param, cp-04_odp.02 }} are used to determine the effectiveness of the plan;' links: - href: '#cp-4_smt.a' rel: assessment-for - id: cp-4_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-04a.[03] class: sp800-53a prose: '{{ insert: param, cp-04_odp.03 }} are used to determine the readiness to execute the plan;' links: - href: '#cp-4_smt.a' rel: assessment-for links: - href: '#cp-4_smt.a' rel: assessment-for - id: cp-4_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-04b. class: sp800-53a prose: the contingency plan test results are reviewed; links: - href: '#cp-4_smt.b' rel: assessment-for - id: cp-4_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-04c. class: sp800-53a prose: corrective actions are initiated, if needed. links: - href: '#cp-4_smt.c' rel: assessment-for links: - href: '#cp-4_smt' rel: assessment-for - id: cp-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-04-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing contingency plan testing contingency plan contingency plan test documentation contingency plan test results system security plan other relevant documents or records' - id: cp-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-04-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for contingency plan testing, reviewing, or responding to contingency plan tests organizational personnel with information security responsibilities' - id: cp-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-04-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for contingency plan testing mechanisms supporting the contingency plan and/or contingency plan testing' controls: - id: cp-4.1 class: SP800-53-enhancement title: Coordinate with Related Plans props: - name: label value: CP-04(01) class: zero-padded - name: label value: CP-4(1) - name: label value: CP-04(01) class: sp800-53a - name: sort-id value: cp-04.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#cp-4' rel: required - href: '#ir-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-8 rel: related parts: - id: cp-4.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Coordinate contingency plan testing with organizational elements responsible for related plans. - id: cp-4.1_gdn name: guidance prose: Plans related to contingency planning for organizational systems include Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. Coordination of contingency plan testing does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. However, it does require that if such organizational elements are responsible for related plans, organizations coordinate with those elements. - id: cp-4.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-04(01) class: sp800-53a prose: contingency plan testing is coordinated with organizational elements responsible for related plans. links: - href: '#cp-4.1_smt' rel: assessment-for - id: cp-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy incident response policy procedures addressing contingency plan testing contingency plan testing documentation contingency plan business continuity plans disaster recovery plans continuity of operations plans crisis communications plans critical infrastructure plans cyber incident response plans occupant emergency plans system security plan other relevant documents or records' - id: cp-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency plan testing responsibilities personnel with responsibilities for related plans organizational personnel with information security responsibilities' - id: cp-4.2 class: SP800-53-enhancement title: Alternate Processing Site props: - name: label value: CP-04(02) class: zero-padded - name: label value: CP-4(2) - name: label value: CP-04(02) class: sp800-53a - name: sort-id value: cp-04.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#cp-4' rel: required - href: '#cp-7' rel: related parts: - id: cp-4.2_smt name: statement prose: 'Test the contingency plan at the alternate processing site:' parts: - id: cp-4.2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: To familiarize contingency personnel with the facility and available resources; and - id: cp-4.2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: To evaluate the capabilities of the alternate processing site to support contingency operations. - id: cp-4.2_gdn name: guidance prose: Conditions at the alternate processing site may be significantly different than the conditions at the primary site. Having the opportunity to visit the alternate site and experience the actual capabilities available at the site can provide valuable information on potential vulnerabilities that could affect essential organizational mission and business functions. The on-site visit can also provide an opportunity to refine the contingency plan to address the vulnerabilities discovered during testing. - id: cp-4.2_obj name: assessment-objective props: - name: label value: CP-04(02) class: sp800-53a parts: - id: cp-4.2_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-04(02)(a) class: sp800-53a prose: the contingency plan is tested at the alternate processing site to familiarize contingency personnel with the facility and available resources; links: - href: '#cp-4.2_smt.a' rel: assessment-for - id: cp-4.2_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-04(02)(b) class: sp800-53a prose: the contingency plan is tested at the alternate processing site to evaluate the capabilities of the alternate processing site to support contingency operations. links: - href: '#cp-4.2_smt.b' rel: assessment-for links: - href: '#cp-4.2_smt' rel: assessment-for - id: cp-4.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-04(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing contingency plan testing contingency plan contingency plan test documentation contingency plan test results alternate processing site agreements service-level agreements system security plan other relevant documents or records' - id: cp-4.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-04(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel with information security responsibilities' - id: cp-4.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-04(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for contingency plan testing mechanisms supporting the contingency plan and/or contingency plan testing' - id: cp-6 class: SP800-53 title: Alternate Storage Site props: - name: label value: CP-06 class: zero-padded - name: label value: CP-6 - name: label value: CP-06 class: sp800-53a - name: sort-id value: cp-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#bc39f179-c735-4da2-b7a7-b2b622119755' rel: reference - href: '#cp-2' rel: related - href: '#cp-7' rel: related - href: '#cp-8' rel: related - href: '#cp-9' rel: related - href: '#cp-10' rel: related - href: '#mp-4' rel: related - href: '#mp-5' rel: related - href: '#pe-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-36 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-13 rel: related parts: - id: cp-6_smt name: statement parts: - id: cp-6_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Establish an alternate storage site, including necessary agreements to permit the storage and retrieval of system backup information; and - id: cp-6_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Ensure that the alternate storage site provides controls equivalent to that of the primary site. - id: cp-6_gdn name: guidance prose: Alternate storage sites are geographically distinct from primary storage sites and maintain duplicate copies of information and data if the primary storage site is not available. Similarly, alternate processing sites provide processing capability if the primary processing site is not available. Geographically distributed architectures that support contingency requirements may be considered alternate storage sites. Items covered by alternate storage site agreements include environmental conditions at the alternate sites, access rules for systems and facilities, physical and environmental protection requirements, and coordination of delivery and retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential mission and business functions despite compromise, failure, or disruption in organizational systems. - id: cp-6_obj name: assessment-objective props: - name: label value: CP-06 class: sp800-53a parts: - id: cp-6_obj.a name: assessment-objective props: - name: label value: CP-06a. class: sp800-53a parts: - id: cp-6_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-06a.[01] class: sp800-53a prose: an alternate storage site is established; links: - href: '#cp-6_smt.a' rel: assessment-for - id: cp-6_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-06a.[02] class: sp800-53a prose: establishment of the alternate storage site includes necessary agreements to permit the storage and retrieval of system backup information; links: - href: '#cp-6_smt.a' rel: assessment-for links: - href: '#cp-6_smt.a' rel: assessment-for - id: cp-6_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-06b. class: sp800-53a prose: the alternate storage site provides controls equivalent to that of the primary site. links: - href: '#cp-6_smt.b' rel: assessment-for links: - href: '#cp-6_smt' rel: assessment-for - id: cp-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-06-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing alternate storage sites contingency plan alternate storage site agreements primary storage site agreements system security plan other relevant documents or records' - id: cp-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-06-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency plan alternate storage site responsibilities organizational personnel with system recovery responsibilities organizational personnel with information security responsibilities' - id: cp-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-06-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for storing and retrieving system backup information at the alternate storage site mechanisms supporting and/or implementing the storage and retrieval of system backup information at the alternate storage site' controls: - id: cp-6.1 class: SP800-53-enhancement title: Separation from Primary Site props: - name: label value: CP-06(01) class: zero-padded - name: label value: CP-6(1) - name: label value: CP-06(01) class: sp800-53a - name: sort-id value: cp-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-6' rel: required - href: '#ra-3' rel: related parts: - id: cp-6.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Identify an alternate storage site that is sufficiently separated from the primary storage site to reduce susceptibility to the same threats. - id: cp-6.1_gdn name: guidance prose: Threats that affect alternate storage sites are defined in organizational risk assessments and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant. - id: cp-6.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-06(01) class: sp800-53a prose: an alternate storage site that is sufficiently separated from the primary storage site is identified to reduce susceptibility to the same threats. links: - href: '#cp-6.1_smt' rel: assessment-for - id: cp-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-06(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing alternate storage sites contingency plan alternate storage site alternate storage site agreements primary storage site agreements system security plan other relevant documents or records' - id: cp-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-06(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency plan alternate storage site responsibilities organizational personnel with system recovery responsibilities organizational personnel with information security responsibilities' - id: cp-6.2 class: SP800-53-enhancement title: Recovery Time and Recovery Point Objectives props: - name: label value: CP-06(02) class: zero-padded - name: label value: CP-6(2) - name: label value: CP-06(02) class: sp800-53a - name: sort-id value: cp-06.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-6' rel: required parts: - id: cp-6.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Configure the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives. - id: cp-6.2_gdn name: guidance prose: Organizations establish recovery time and recovery point objectives as part of contingency planning. Configuration of the alternate storage site includes physical facilities and the systems supporting recovery operations that ensure accessibility and correct execution. - id: cp-6.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-06(02) class: sp800-53a parts: - id: cp-6.2_obj-1 name: assessment-objective props: - name: label value: CP-06(02)[01] class: sp800-53a prose: the alternate storage site is configured to facilitate recovery operations in accordance with recovery time objectives; links: - href: '#cp-6.2_smt' rel: assessment-for - id: cp-6.2_obj-2 name: assessment-objective props: - name: label value: CP-06(02)[02] class: sp800-53a prose: the alternate storage site is configured to facilitate recovery operations in accordance with recovery point objectives. links: - href: '#cp-6.2_smt' rel: assessment-for links: - href: '#cp-6.2_smt' rel: assessment-for - id: cp-6.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-06(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing alternate storage sites contingency plan alternate storage site alternate storage site agreements alternate storage site configurations system security plan other relevant documents or records' - id: cp-6.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-06(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency plan testing responsibilities organizational personnel with responsibilities for testing related plans organizational personnel with information security responsibilities' - id: cp-6.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-06(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for contingency plan testing mechanisms supporting recovery time and point objectives' - id: cp-6.3 class: SP800-53-enhancement title: Accessibility props: - name: label value: CP-06(03) class: zero-padded - name: label value: CP-6(3) - name: label value: CP-06(03) class: sp800-53a - name: sort-id value: cp-06.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-6' rel: required - href: '#ra-3' rel: related parts: - id: cp-6.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Identify potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outline explicit mitigation actions. - id: cp-6.3_gdn name: guidance prose: Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites or planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted. - id: cp-6.3_obj name: assessment-objective props: - name: label value: CP-06(03) class: sp800-53a parts: - id: cp-6.3_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-06(03)[01] class: sp800-53a prose: potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster are identified; links: - href: '#cp-6.3_smt' rel: assessment-for - id: cp-6.3_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-06(03)[02] class: sp800-53a prose: explicit mitigation actions to address identified accessibility problems are outlined. links: - href: '#cp-6.3_smt' rel: assessment-for links: - href: '#cp-6.3_smt' rel: assessment-for - id: cp-6.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-06(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing alternate storage sites contingency plan alternate storage site list of potential accessibility problems to alternate storage site mitigation actions for accessibility problems to alternate storage site organizational risk assessments system security plan other relevant documents or records' - id: cp-6.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-06(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency plan alternate storage site responsibilities organizational personnel with system recovery responsibilities organizational personnel with information security responsibilities' - id: cp-7 class: SP800-53 title: Alternate Processing Site params: - id: cp-07_odp.01 props: - name: alt-identifier value: cp-7_prm_1 - name: label value: CP-07_ODP[01] class: sp800-53a label: system operations guidelines: - prose: system operations for essential mission and business functions are defined; - id: cp-07_odp.02 props: - name: alt-identifier value: cp-7_prm_2 - name: alt-label value: time period consistent with recovery time and recovery point objectives class: sp800-53 - name: label value: CP-07_ODP[02] class: sp800-53a label: time period guidelines: - prose: time period consistent with recovery time and recovery point objectives is defined; props: - name: label value: CP-07 class: zero-padded - name: label value: CP-7 - name: label value: CP-07 class: sp800-53a - name: sort-id value: cp-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#bc39f179-c735-4da2-b7a7-b2b622119755' rel: reference - href: '#cp-2' rel: related - href: '#cp-6' rel: related - href: '#cp-8' rel: related - href: '#cp-9' rel: related - href: '#cp-10' rel: related - href: '#ma-6' rel: related - href: '#pe-3' rel: related - href: '#pe-11' rel: related - href: '#pe-12' rel: related - href: '#pe-17' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-36 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-13 rel: related parts: - id: cp-7_smt name: statement parts: - id: cp-7_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Establish an alternate processing site, including necessary agreements to permit the transfer and resumption of {{ insert: param, cp-07_odp.01 }} for essential mission and business functions within {{ insert: param, cp-07_odp.02 }} when the primary processing capabilities are unavailable;' - id: cp-7_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Make available at the alternate processing site, the equipment and supplies required to transfer and resume operations or put contracts in place to support delivery to the site within the organization-defined time period for transfer and resumption; and - id: cp-7_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Provide controls at the alternate processing site that are equivalent to those at the primary site. - id: cp-7_gdn name: guidance prose: Alternate processing sites are geographically distinct from primary processing sites and provide processing capability if the primary processing site is not available. The alternate processing capability may be addressed using a physical processing site or other alternatives, such as failover to a cloud-based service provider or other internally or externally provided processing service. Geographically distributed architectures that support contingency requirements may also be considered alternate processing sites. Controls that are covered by alternate processing site agreements include the environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and the coordination for the transfer and assignment of personnel. Requirements are allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential mission and business functions despite disruption, compromise, or failure in organizational systems. - id: cp-7_fr name: item ns: http://fedramp.gov/ns/oscal title: CP-7 Additional FedRAMP Requirements and Guidance parts: - id: cp-7_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(a) Requirement:' prose: The service provider defines a time period consistent with the recovery time objectives and business impact analysis. - id: cp-7_obj name: assessment-objective props: - name: label value: CP-07 class: sp800-53a parts: - id: cp-7_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-07a. class: sp800-53a prose: 'an alternate processing site, including necessary agreements to permit the transfer and resumption of {{ insert: param, cp-07_odp.01 }} for essential mission and business functions, is established within {{ insert: param, cp-07_odp.02 }} when the primary processing capabilities are unavailable;' links: - href: '#cp-7_smt.a' rel: assessment-for - id: cp-7_obj.b name: assessment-objective props: - name: label value: CP-07b. class: sp800-53a parts: - id: cp-7_obj.b-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-07b.[01] class: sp800-53a prose: 'the equipment and supplies required to transfer operations are made available at the alternate processing site or if contracts are in place to support delivery to the site within {{ insert: param, cp-07_odp.02 }} for transfer;' links: - href: '#cp-7_smt.b' rel: assessment-for - id: cp-7_obj.b-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-07b.[02] class: sp800-53a prose: 'the equipment and supplies required to resume operations are made available at the alternate processing site or if contracts are in place to support delivery to the site within {{ insert: param, cp-07_odp.02 }} for resumption;' links: - href: '#cp-7_smt.b' rel: assessment-for links: - href: '#cp-7_smt.b' rel: assessment-for - id: cp-7_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-07c. class: sp800-53a prose: controls provided at the alternate processing site are equivalent to those at the primary site. links: - href: '#cp-7_smt.c' rel: assessment-for links: - href: '#cp-7_smt' rel: assessment-for - id: cp-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-07-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing alternate processing sites contingency plan alternate processing site agreements primary processing site agreements spare equipment and supplies inventory at alternate processing site equipment and supply contracts service-level agreements system security plan other relevant documents or records' - id: cp-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-07-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for contingency planning and/or alternate site arrangements organizational personnel with information security responsibilities' - id: cp-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-07-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for recovery at the alternate site mechanisms supporting and/or implementing recovery at the alternate processing site' controls: - id: cp-7.1 class: SP800-53-enhancement title: Separation from Primary Site props: - name: label value: CP-07(01) class: zero-padded - name: label value: CP-7(1) - name: label value: CP-07(01) class: sp800-53a - name: sort-id value: cp-07.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-7' rel: required - href: '#ra-3' rel: related parts: - id: cp-7.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Identify an alternate processing site that is sufficiently separated from the primary processing site to reduce susceptibility to the same threats. - id: cp-7.1_gdn name: guidance prose: Threats that affect alternate processing sites are defined in organizational assessments of risk and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant. - id: cp-7.1_fr name: item ns: http://fedramp.gov/ns/oscal title: CP-7 (1) Additional FedRAMP Requirements and Guidance parts: - id: cp-7.1_fr_smt.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant. - id: cp-7.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-07(01) class: sp800-53a prose: an alternate processing site that is sufficiently separated from the primary processing site to reduce susceptibility to the same threats is identified. links: - href: '#cp-7.1_smt' rel: assessment-for - id: cp-7.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-07(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing alternate processing sites contingency plan alternate processing site alternate processing site agreements primary processing site agreements system security plan other relevant documents or records' - id: cp-7.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-07(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency plan alternate processing site responsibilities organizational personnel with system recovery responsibilities organizational personnel with information security responsibilities' - id: cp-7.2 class: SP800-53-enhancement title: Accessibility props: - name: label value: CP-07(02) class: zero-padded - name: label value: CP-7(2) - name: label value: CP-07(02) class: sp800-53a - name: sort-id value: cp-07.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-7' rel: required - href: '#ra-3' rel: related parts: - id: cp-7.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Identify potential accessibility problems to alternate processing sites in the event of an area-wide disruption or disaster and outlines explicit mitigation actions. - id: cp-7.2_gdn name: guidance prose: Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk. - id: cp-7.2_obj name: assessment-objective props: - name: label value: CP-07(02) class: sp800-53a parts: - id: cp-7.2_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-07(02)[01] class: sp800-53a prose: potential accessibility problems to alternate processing sites in the event of an area-wide disruption or disaster are identified; links: - href: '#cp-7.2_smt' rel: assessment-for - id: cp-7.2_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-07(02)[02] class: sp800-53a prose: explicit mitigation actions to address identified accessibility problems are outlined. links: - href: '#cp-7.2_smt' rel: assessment-for links: - href: '#cp-7.2_smt' rel: assessment-for - id: cp-7.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-07(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing alternate processing sites contingency plan alternate processing site alternate processing site agreements primary processing site agreements system security plan other relevant documents or records' - id: cp-7.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-07(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency plan alternate processing site responsibilities organizational personnel with system recovery responsibilities organizational personnel with information security responsibilities' - id: cp-7.3 class: SP800-53-enhancement title: Priority of Service props: - name: label value: CP-07(03) class: zero-padded - name: label value: CP-7(3) - name: label value: CP-07(03) class: sp800-53a - name: sort-id value: cp-07.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-7' rel: required parts: - id: cp-7.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Develop alternate processing site agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives). - id: cp-7.3_gdn name: guidance prose: Priority of service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources for logical alternate processing and/or at the physical alternate processing site. Organizations establish recovery time objectives as part of contingency planning. - id: cp-7.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-07(03) class: sp800-53a prose: alternate processing site agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed. links: - href: '#cp-7.3_smt' rel: assessment-for - id: cp-7.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-07(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing alternate processing sites contingency plan alternate processing site agreements service-level agreements system security plan other relevant documents or records' - id: cp-7.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-07(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency plan alternate processing site responsibilities organizational personnel with system recovery responsibilities organizational personnel with information security responsibilities organizational personnel with responsibility for acquisitions/contractual agreements' - id: cp-7.4 class: SP800-53-enhancement title: Preparation for Use props: - name: label value: CP-07(04) class: zero-padded - name: label value: CP-7(4) - name: label value: CP-07(04) class: sp800-53a - name: sort-id value: cp-07.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-7' rel: required - href: '#cm-2' rel: related - href: '#cm-6' rel: related - href: '#cp-4' rel: related parts: - id: cp-7.4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Prepare the alternate processing site so that the site can serve as the operational site supporting essential mission and business functions. - id: cp-7.4_gdn name: guidance prose: Site preparation includes establishing configuration settings for systems at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and logistical considerations are in place. - id: cp-7.4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-07(04) class: sp800-53a prose: the alternate processing site is prepared so that the site can serve as the operational site supporting essential mission and business functions. links: - href: '#cp-7.4_smt' rel: assessment-for - id: cp-7.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-07(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing alternate processing sites contingency plan alternate processing site alternate processing site agreements alternate processing site configurations system security plan other relevant documents or records' - id: cp-7.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-07(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency plan alternate processing site responsibilities organizational personnel with system recovery responsibilities organizational personnel with information security responsibilities' - id: cp-7.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-07(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing recovery at the alternate processing site - id: cp-8 class: SP800-53 title: Telecommunications Services params: - id: cp-08_odp.01 props: - name: alt-identifier value: cp-8_prm_1 - name: label value: CP-08_ODP[01] class: sp800-53a label: system operations guidelines: - prose: system operations to be resumed for essential mission and business functions are defined; - id: cp-08_odp.02 props: - name: alt-identifier value: cp-8_prm_2 - name: label value: CP-08_ODP[02] class: sp800-53a label: time period guidelines: - prose: time period within which to resume essential mission and business functions when the primary telecommunications capabilities are unavailable is defined; props: - name: label value: CP-08 class: zero-padded - name: label value: CP-8 - name: label value: CP-08 class: sp800-53a - name: sort-id value: cp-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#bc39f179-c735-4da2-b7a7-b2b622119755' rel: reference - href: '#cp-2' rel: related - href: '#cp-6' rel: related - href: '#cp-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cp-11 rel: related - href: '#sc-7' rel: related parts: - id: cp-8_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Establish alternate telecommunications services, including necessary agreements to permit the resumption of {{ insert: param, cp-08_odp.01 }} for essential mission and business functions within {{ insert: param, cp-08_odp.02 }} when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.' - id: cp-8_gdn name: guidance prose: Telecommunications services (for data and voice) for primary and alternate processing and storage sites are in scope for [CP-8](#cp-8) . Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential mission and business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary or alternate sites. Alternate telecommunications services include additional organizational or commercial ground-based circuits or lines, network-based approaches to telecommunications, or the use of satellites. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements. - id: cp-8_fr name: item ns: http://fedramp.gov/ns/oscal title: CP-8 Additional FedRAMP Requirements and Guidance parts: - id: cp-8_fr_gdn.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: The service provider defines a time period consistent with the recovery time objectives and business impact analysis. - id: cp-8_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-08 class: sp800-53a prose: 'alternate telecommunications services, including necessary agreements to permit the resumption of {{ insert: param, cp-08_odp.01 }} , are established for essential mission and business functions within {{ insert: param, cp-08_odp.02 }} when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.' links: - href: '#cp-8_smt' rel: assessment-for - id: cp-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-08-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing alternate telecommunications services contingency plan primary and alternate telecommunications service agreements system security plan other relevant documents or records' - id: cp-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-08-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency plan telecommunications responsibilities organizational personnel with system recovery responsibilities organizational personnel with knowledge of requirements for mission and business functions organizational personnel with information security responsibilities organizational personnel with responsibility for acquisitions/contractual agreements' - id: cp-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-08-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting telecommunications controls: - id: cp-8.1 class: SP800-53-enhancement title: Priority of Service Provisions props: - name: label value: CP-08(01) class: zero-padded - name: label value: CP-8(1) - name: label value: CP-08(01) class: sp800-53a - name: sort-id value: cp-08.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-8' rel: required parts: - id: cp-8.1_smt name: statement parts: - id: cp-8.1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: Develop primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives); and - id: cp-8.1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Request Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier. - id: cp-8.1_gdn name: guidance prose: Organizations consider the potential mission or business impact in situations where telecommunications service providers are servicing other organizations with similar priority of service provisions. Telecommunications Service Priority (TSP) is a Federal Communications Commission (FCC) program that directs telecommunications service providers (e.g., wireline and wireless phone companies) to give preferential treatment to users enrolled in the program when they need to add new lines or have their lines restored following a disruption of service, regardless of the cause. The FCC sets the rules and policies for the TSP program, and the Department of Homeland Security manages the TSP program. The TSP program is always in effect and not contingent on a major disaster or attack taking place. Federal sponsorship is required to enroll in the TSP program. - id: cp-8.1_obj name: assessment-objective props: - name: label value: CP-08(01) class: sp800-53a parts: - id: cp-8.1_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-08(01)(a) class: sp800-53a parts: - id: cp-8.1_obj.a-1 name: assessment-objective props: - name: label value: CP-08(01)(a)[01] class: sp800-53a prose: primary telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed; links: - href: '#cp-8.1_smt.a' rel: assessment-for - id: cp-8.1_obj.a-2 name: assessment-objective props: - name: label value: CP-08(01)(a)[02] class: sp800-53a prose: alternate telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed; links: - href: '#cp-8.1_smt.a' rel: assessment-for links: - href: '#cp-8.1_smt.a' rel: assessment-for - id: cp-8.1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-08(01)(b) class: sp800-53a prose: Telecommunications Service Priority is requested for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier. links: - href: '#cp-8.1_smt.b' rel: assessment-for links: - href: '#cp-8.1_smt' rel: assessment-for - id: cp-8.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-08(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing primary and alternate telecommunications services contingency plan primary and alternate telecommunications service agreements Telecommunications Service Priority documentation system security plan other relevant documents or records' - id: cp-8.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-08(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency plan telecommunications responsibilities organizational personnel with system recovery responsibilities organizational personnel with information security responsibilities organizational personnel with responsibility for acquisitions/contractual agreements' - id: cp-8.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-08(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting telecommunications - id: cp-8.2 class: SP800-53-enhancement title: Single Points of Failure props: - name: label value: CP-08(02) class: zero-padded - name: label value: CP-8(2) - name: label value: CP-08(02) class: sp800-53a - name: sort-id value: cp-08.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-8' rel: required parts: - id: cp-8.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Obtain alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services. - id: cp-8.2_gdn name: guidance prose: In certain circumstances, telecommunications service providers or services may share the same physical lines, which increases the vulnerability of a single failure point. It is important to have provider transparency for the actual physical transmission capability for telecommunication services. - id: cp-8.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-08(02) class: sp800-53a prose: alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services are obtained. links: - href: '#cp-8.2_smt' rel: assessment-for - id: cp-8.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-08(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing primary and alternate telecommunications services contingency plan primary and alternate telecommunications service agreements system security plan other relevant documents or records' - id: cp-8.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-08(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency plan telecommunications responsibilities organizational personnel with system recovery responsibilities primary and alternate telecommunications service providers organizational personnel with information security responsibilities' - id: cp-8.3 class: SP800-53-enhancement title: Separation of Primary and Alternate Providers props: - name: label value: CP-08(03) class: zero-padded - name: label value: CP-8(3) - name: label value: CP-08(03) class: sp800-53a - name: sort-id value: cp-08.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-8' rel: required parts: - id: cp-8.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats. - id: cp-8.3_gdn name: guidance prose: Threats that affect telecommunications services are defined in organizational assessments of risk and include natural disasters, structural failures, cyber or physical attacks, and errors of omission or commission. Organizations can reduce common susceptibilities by minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services that meet the separation needs addressed in the risk assessment. - id: cp-8.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-08(03) class: sp800-53a prose: alternate telecommunications services from providers that are separated from primary service providers are obtained to reduce susceptibility to the same threats. links: - href: '#cp-8.3_smt' rel: assessment-for - id: cp-8.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-08(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing primary and alternate telecommunications services contingency plan primary and alternate telecommunications service agreements alternate telecommunications service provider site primary telecommunications service provider site other relevant documents or records' - id: cp-8.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-08(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency plan telecommunications responsibilities organizational personnel with system recovery responsibilities primary and alternate telecommunications service providers organizational personnel with information security responsibilities' - id: cp-8.4 class: SP800-53-enhancement title: Provider Contingency Plan params: - id: cp-8.4_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-08.04_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-08.04_odp.02 label: organization-defined frequency - id: cp-08.04_odp.01 props: - name: label value: CP-08(04)_ODP[01] class: sp800-53a label: frequency constraints: - description: annually guidelines: - prose: frequency at which to obtain evidence of contingency testing by providers is defined; - id: cp-08.04_odp.02 props: - name: label value: CP-08(04)_ODP[02] class: sp800-53a label: frequency constraints: - description: annually guidelines: - prose: frequency at which to obtain evidence of contingency training by providers is defined; props: - name: label value: CP-08(04) class: zero-padded - name: label value: CP-8(4) - name: label value: CP-08(04) class: sp800-53a - name: sort-id value: cp-08.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-8' rel: required - href: '#cp-3' rel: related - href: '#cp-4' rel: related parts: - id: cp-8.4_smt name: statement parts: - id: cp-8.4_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: Require primary and alternate telecommunications service providers to have contingency plans; - id: cp-8.4_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Review provider contingency plans to ensure that the plans meet organizational contingency requirements; and - id: cp-8.4_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (c) prose: 'Obtain evidence of contingency testing and training by providers {{ insert: param, cp-8.4_prm_1 }}.' - id: cp-8.4_gdn name: guidance prose: Reviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security and state and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training. - id: cp-8.4_obj name: assessment-objective props: - name: label value: CP-08(04) class: sp800-53a parts: - id: cp-8.4_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-08(04)(a) class: sp800-53a parts: - id: cp-8.4_obj.a-1 name: assessment-objective props: - name: label value: CP-08(04)(a)[01] class: sp800-53a prose: primary telecommunications service providers are required to have contingency plans; links: - href: '#cp-8.4_smt.a' rel: assessment-for - id: cp-8.4_obj.a-2 name: assessment-objective props: - name: label value: CP-08(04)(a)[02] class: sp800-53a prose: alternate telecommunications service providers are required to have contingency plans; links: - href: '#cp-8.4_smt.a' rel: assessment-for links: - href: '#cp-8.4_smt.a' rel: assessment-for - id: cp-8.4_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: CP-08(04)(b) class: sp800-53a prose: provider contingency plans are reviewed to ensure that the plans meet organizational contingency requirements; links: - href: '#cp-8.4_smt.b' rel: assessment-for - id: cp-8.4_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-08(04)(c) class: sp800-53a parts: - id: cp-8.4_obj.c-1 name: assessment-objective props: - name: label value: CP-08(04)(c)[01] class: sp800-53a prose: 'evidence of contingency testing by providers is obtained {{ insert: param, cp-08.04_odp.01 }}.' links: - href: '#cp-8.4_smt.c' rel: assessment-for - id: cp-8.4_obj.c-2 name: assessment-objective props: - name: label value: CP-08(04)(c)[02] class: sp800-53a prose: 'evidence of contingency training by providers is obtained {{ insert: param, cp-08.04_odp.02 }}.' links: - href: '#cp-8.4_smt.c' rel: assessment-for links: - href: '#cp-8.4_smt.c' rel: assessment-for links: - href: '#cp-8.4_smt' rel: assessment-for - id: cp-8.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-08(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing primary and alternate telecommunications services contingency plan provider contingency plans evidence of contingency testing/training by providers primary and alternate telecommunications service agreements system security plan other relevant documents or records' - id: cp-8.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-08(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency planning, plan implementation, and testing responsibilities primary and alternate telecommunications service providers organizational personnel with information security responsibilities organizational personnel with responsibility for acquisitions/contractual agreements' - id: cp-9 class: SP800-53 title: System Backup params: - id: cp-09_odp.01 props: - name: alt-identifier value: cp-9_prm_1 - name: label value: CP-09_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components for which to conduct backups of user-level information is defined; - id: cp-09_odp.02 props: - name: alt-identifier value: cp-9_prm_2 - name: alt-label value: frequency consistent with recovery time and recovery point objectives class: sp800-53 - name: label value: CP-09_ODP[02] class: sp800-53a label: frequency constraints: - description: daily incremental; weekly full guidelines: - prose: frequency at which to conduct backups of user-level information consistent with recovery time and recovery point objectives is defined; - id: cp-09_odp.03 props: - name: alt-identifier value: cp-9_prm_3 - name: alt-label value: frequency consistent with recovery time and recovery point objectives class: sp800-53 - name: label value: CP-09_ODP[03] class: sp800-53a label: frequency constraints: - description: daily incremental; weekly full guidelines: - prose: frequency at which to conduct backups of system-level information consistent with recovery time and recovery point objectives is defined; - id: cp-09_odp.04 props: - name: alt-identifier value: cp-9_prm_4 - name: alt-label value: frequency consistent with recovery time and recovery point objectives class: sp800-53 - name: label value: CP-09_ODP[04] class: sp800-53a label: frequency constraints: - description: daily incremental; weekly full guidelines: - prose: frequency at which to conduct backups of system documentation consistent with recovery time and recovery point objectives is defined; props: - name: label value: CP-09 class: zero-padded - name: label value: CP-9 - name: label value: CP-09 class: sp800-53a - name: sort-id value: cp-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1' rel: reference - href: '#bc39f179-c735-4da2-b7a7-b2b622119755' rel: reference - href: '#3653e316-8923-430e-8943-b3b2b2562fc6' rel: reference - href: '#2494df28-9049-4196-b233-540e7440993f' rel: reference - href: '#cp-2' rel: related - href: '#cp-6' rel: related - href: '#cp-10' rel: related - href: '#mp-4' rel: related - href: '#mp-5' rel: related - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#si-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-13 rel: related parts: - id: cp-9_smt name: statement parts: - id: cp-9_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Conduct backups of user-level information contained in {{ insert: param, cp-09_odp.01 }} {{ insert: param, cp-09_odp.02 }};' - id: cp-9_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Conduct backups of system-level information contained in the system {{ insert: param, cp-09_odp.03 }};' - id: cp-9_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Conduct backups of system documentation, including security- and privacy-related documentation {{ insert: param, cp-09_odp.04 }} ; and' - id: cp-9_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Protect the confidentiality, integrity, and availability of backup information. - id: cp-9_gdn name: guidance prose: System-level information includes system state information, operating system software, middleware, application software, and licenses. User-level information includes information other than system-level information. Mechanisms employed to protect the integrity of system backups include digital signatures and cryptographic hashes. Protection of system backup information while in transit is addressed by [MP-5](#mp-5) and [SC-8](#sc-8) . System backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information. Organizations may be subject to laws, executive orders, directives, regulations, or policies with requirements regarding specific categories of information (e.g., personal health information). Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements. - id: cp-9_fr name: item ns: http://fedramp.gov/ns/oscal title: CP-9 Additional FedRAMP Requirements and Guidance parts: - id: cp-9_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. - id: cp-9_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(a) Requirement:' prose: The service provider maintains at least three backup copies of user-level information (at least one of which is available online) or provides an equivalent alternative. - id: cp-9_fr_smt.3 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(b) Requirement:' prose: The service provider maintains at least three backup copies of system-level information (at least one of which is available online) or provides an equivalent alternative. - id: cp-9_fr_smt.4 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(c) Requirement:' prose: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online) or provides an equivalent alternative. - id: cp-9_obj name: assessment-objective props: - name: label value: CP-09 class: sp800-53a parts: - id: cp-9_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-09a. class: sp800-53a prose: 'backups of user-level information contained in {{ insert: param, cp-09_odp.01 }} are conducted {{ insert: param, cp-09_odp.02 }};' links: - href: '#cp-9_smt.a' rel: assessment-for - id: cp-9_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-09b. class: sp800-53a prose: 'backups of system-level information contained in the system are conducted {{ insert: param, cp-09_odp.03 }};' links: - href: '#cp-9_smt.b' rel: assessment-for - id: cp-9_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-09c. class: sp800-53a prose: 'backups of system documentation, including security- and privacy-related documentation are conducted {{ insert: param, cp-09_odp.04 }};' links: - href: '#cp-9_smt.c' rel: assessment-for - id: cp-9_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-09d. class: sp800-53a parts: - id: cp-9_obj.d-1 name: assessment-objective props: - name: label value: CP-09d.[01] class: sp800-53a prose: the confidentiality of backup information is protected; links: - href: '#cp-9_smt.d' rel: assessment-for - id: cp-9_obj.d-2 name: assessment-objective props: - name: label value: CP-09d.[02] class: sp800-53a prose: the integrity of backup information is protected; links: - href: '#cp-9_smt.d' rel: assessment-for - id: cp-9_obj.d-3 name: assessment-objective props: - name: label value: CP-09d.[03] class: sp800-53a prose: the availability of backup information is protected. links: - href: '#cp-9_smt.d' rel: assessment-for links: - href: '#cp-9_smt.d' rel: assessment-for links: - href: '#cp-9_smt' rel: assessment-for - id: cp-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-09-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing system backup contingency plan backup storage location(s) system backup logs or records system security plan privacy plan other relevant documents or records' - id: cp-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-09-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system backup responsibilities organizational personnel with information security and privacy responsibilities' - id: cp-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-09-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for conducting system backups mechanisms supporting and/or implementing system backups' controls: - id: cp-9.1 class: SP800-53-enhancement title: Testing for Reliability and Integrity params: - id: cp-9.1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-09.01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-09.01_odp.02 label: organization-defined frequency - id: cp-09.01_odp.01 props: - name: label value: CP-09(01)_ODP[01] class: sp800-53a label: frequency constraints: - description: at least monthly guidelines: - prose: frequency at which to test backup information for media reliability is defined; - id: cp-09.01_odp.02 props: - name: label value: CP-09(01)_ODP[02] class: sp800-53a label: frequency constraints: - description: at least monthly guidelines: - prose: frequency at which to test backup information for information integrity is defined; props: - name: label value: CP-09(01) class: zero-padded - name: label value: CP-9(1) - name: label value: CP-09(01) class: sp800-53a - name: sort-id value: cp-09.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-9' rel: required - href: '#cp-4' rel: related parts: - id: cp-9.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Test backup information {{ insert: param, cp-9.1_prm_1 }} to verify media reliability and information integrity.' - id: cp-9.1_gdn name: guidance prose: Organizations need assurance that backup information can be reliably retrieved. Reliability pertains to the systems and system components where the backup information is stored, the operations used to retrieve the information, and the integrity of the information being retrieved. Independent and specialized tests can be used for each of the aspects of reliability. For example, decrypting and transporting (or transmitting) a random sample of backup files from the alternate storage or backup site and comparing the information to the same information at the primary processing site can provide such assurance. - id: cp-9.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-09(01) class: sp800-53a parts: - id: cp-9.1_obj-1 name: assessment-objective props: - name: label value: CP-09(01)[01] class: sp800-53a prose: 'backup information is tested {{ insert: param, cp-09.01_odp.01 }} to verify media reliability;' links: - href: '#cp-9.1_smt' rel: assessment-for - id: cp-9.1_obj-2 name: assessment-objective props: - name: label value: CP-09(01)[02] class: sp800-53a prose: 'backup information is tested {{ insert: param, cp-09.01_odp.02 }} to verify information integrity.' links: - href: '#cp-9.1_smt' rel: assessment-for links: - href: '#cp-9.1_smt' rel: assessment-for - id: cp-9.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-09(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing system backup contingency plan system backup test results contingency plan test documentation contingency plan test results system security plan other relevant documents or records' - id: cp-9.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-09(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system backup responsibilities organizational personnel with information security responsibilities' - id: cp-9.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-09(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for conducting system backups mechanisms supporting and/or implementing system backups' - id: cp-9.2 class: SP800-53-enhancement title: Test Restoration Using Sampling props: - name: label value: CP-09(02) class: zero-padded - name: label value: CP-9(2) - name: label value: CP-09(02) class: sp800-53a - name: sort-id value: cp-09.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-9' rel: required - href: '#cp-4' rel: related parts: - id: cp-9.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Use a sample of backup information in the restoration of selected system functions as part of contingency plan testing. - id: cp-9.2_gdn name: guidance prose: Organizations need assurance that system functions can be restored correctly and can support established organizational missions. To ensure that the selected system functions are thoroughly exercised during contingency plan testing, a sample of backup information is retrieved to determine whether the functions are operating as intended. Organizations can determine the sample size for the functions and backup information based on the level of assurance needed. - id: cp-9.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-09(02) class: sp800-53a prose: a sample of backup information in the restoration of selected system functions is used as part of contingency plan testing. links: - href: '#cp-9.2_smt' rel: assessment-for - id: cp-9.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-09(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing system backup contingency plan system backup test results contingency plan test documentation contingency plan test results system security plan other relevant documents or records' - id: cp-9.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-09(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system backup responsibilities organizational personnel with contingency planning/contingency plan testing responsibilities organizational personnel with information security responsibilities' - id: cp-9.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-09(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for conducting system backups mechanisms supporting and/or implementing system backups' - id: cp-9.3 class: SP800-53-enhancement title: Separate Storage for Critical Information params: - id: cp-09.03_odp props: - name: alt-identifier value: cp-9.3_prm_1 - name: label value: CP-09(03)_ODP class: sp800-53a label: critical system software and other security-related information guidelines: - prose: critical system software and other security-related information backups to be stored in a separate facility are defined; props: - name: label value: CP-09(03) class: zero-padded - name: label value: CP-9(3) - name: label value: CP-09(03) class: sp800-53a - name: sort-id value: cp-09.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-9' rel: required - href: '#cm-2' rel: related - href: '#cm-6' rel: related - href: '#cm-8' rel: related parts: - id: cp-9.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Store backup copies of {{ insert: param, cp-09.03_odp }} in a separate facility or in a fire rated container that is not collocated with the operational system.' - id: cp-9.3_gdn name: guidance prose: Separate storage for critical information applies to all critical information regardless of the type of backup storage media. Critical system software includes operating systems, middleware, cryptographic key management systems, and intrusion detection systems. Security-related information includes inventories of system hardware, software, and firmware components. Alternate storage sites, including geographically distributed architectures, serve as separate storage facilities for organizations. Organizations may provide separate storage by implementing automated backup processes at alternative storage sites (e.g., data centers). The General Services Administration (GSA) establishes standards and specifications for security and fire rated containers. - id: cp-9.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-09(03) class: sp800-53a prose: 'backup copies of {{ insert: param, cp-09.03_odp }} are stored in a separate facility or in a fire rated container that is not collocated with the operational system.' links: - href: '#cp-9.3_smt' rel: assessment-for - id: cp-9.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-09(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing system backup contingency plan backup storage location(s) system backup configurations and associated documentation system backup logs or records system security plan other relevant documents or records' - id: cp-9.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-09(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel with system backup responsibilities organizational personnel with information security responsibilities' - id: cp-9.5 class: SP800-53-enhancement title: Transfer to Alternate Storage Site params: - id: cp-9.5_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-09.05_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-09.05_odp.02 label: organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives - id: cp-09.05_odp.01 props: - name: label value: CP-09(05)_ODP[01] class: sp800-53a label: time period constraints: - description: time period and transfer rate consistent with the recovery time and recovery point objectives defined in the service provider and organization SLA. guidelines: - prose: time period consistent with recovery time and recovery point objectives is defined; - id: cp-09.05_odp.02 props: - name: label value: CP-09(05)_ODP[02] class: sp800-53a label: transfer rate constraints: - description: time period and transfer rate consistent with the recovery time and recovery point objectives defined in the service provider and organization SLA. guidelines: - prose: transfer rate consistent with recovery time and recovery point objectives is defined; props: - name: label value: CP-09(05) class: zero-padded - name: label value: CP-9(5) - name: label value: CP-09(05) class: sp800-53a - name: sort-id value: cp-09.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-9' rel: required - href: '#cp-7' rel: related - href: '#mp-3' rel: related - href: '#mp-4' rel: related - href: '#mp-5' rel: related parts: - id: cp-9.5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Transfer system backup information to the alternate storage site {{ insert: param, cp-9.5_prm_1 }}.' - id: cp-9.5_gdn name: guidance prose: System backup information can be transferred to alternate storage sites either electronically or by the physical shipment of storage media. - id: cp-9.5_obj name: assessment-objective props: - name: label value: CP-09(05) class: sp800-53a parts: - id: cp-9.5_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-09(05)[01] class: sp800-53a prose: 'system backup information is transferred to the alternate storage site for {{ insert: param, cp-09.05_odp.01 }};' links: - href: '#cp-9.5_smt' rel: assessment-for - id: cp-9.5_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-09(05)[02] class: sp800-53a prose: 'system backup information is transferred to the alternate storage site {{ insert: param, cp-09.05_odp.02 }}.' links: - href: '#cp-9.5_smt' rel: assessment-for links: - href: '#cp-9.5_smt' rel: assessment-for - id: cp-9.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-09(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing system backup contingency plan system backup logs or records evidence of system backup information transferred to alternate storage site alternate storage site agreements system security plan other relevant documents or records' - id: cp-9.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-09(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system backup responsibilities organizational personnel with information security responsibilities' - id: cp-9.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-09(05)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for transferring system backups to the alternate storage site mechanisms supporting and/or implementing system backups mechanisms supporting and/or implementing information transfer to the alternate storage site' - id: cp-9.8 class: SP800-53-enhancement title: Cryptographic Protection params: - id: cp-09.08_odp props: - name: alt-identifier value: cp-9.8_prm_1 - name: label value: CP-09(08)_ODP class: sp800-53a label: backup information constraints: - description: all backup files guidelines: - prose: backup information to protect against unauthorized disclosure and modification is defined; props: - name: label value: CP-09(08) class: zero-padded - name: label value: CP-9(8) - name: label value: CP-09(08) class: sp800-53a - name: sort-id value: cp-09.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-9' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-28' rel: related parts: - id: cp-9.8_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of {{ insert: param, cp-09.08_odp }}.' - id: cp-9.8_gdn name: guidance prose: The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of backup information. The strength of mechanisms selected is commensurate with the security category or classification of the information. Cryptographic protection applies to system backup information in storage at both primary and alternate locations. Organizations that implement cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions. - id: cp-9.8_fr name: item ns: http://fedramp.gov/ns/oscal title: CP-9 (8) Additional FedRAMP Requirements and Guidance parts: - id: cp-9.8_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Note that this enhancement requires the use of cryptography which must be compliant with Federal requirements and utilize FIPS validated or NSA approved cryptography (see SC-13.) - id: cp-9.8_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-09(08) class: sp800-53a prose: 'cryptographic mechanisms are implemented to prevent unauthorized disclosure and modification of {{ insert: param, cp-09.08_odp }}.' links: - href: '#cp-9.8_smt' rel: assessment-for - id: cp-9.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-09(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing system backup contingency plan system design documentation system configuration settings and associated documentation system security plan other relevant documents or records' - id: cp-9.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-09(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system backup responsibilities organizational personnel with information security responsibilities' - id: cp-9.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-09(08)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing cryptographic protection of backup information - id: cp-10 class: SP800-53 title: System Recovery and Reconstitution params: - id: cp-10_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-10_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-10_odp.02 label: organization-defined time period consistent with recovery time and recovery point objectives - id: cp-10_odp.01 props: - name: label value: CP-10_ODP[01] class: sp800-53a label: time period guidelines: - prose: time period consistent with recovery time and recovery point objectives for the recovery of the system is determined; - id: cp-10_odp.02 props: - name: label value: CP-10_ODP[02] class: sp800-53a label: time period guidelines: - prose: time period consistent with recovery time and recovery point objectives for the reconstitution of the system is determined; props: - name: label value: CP-10 class: zero-padded - name: label value: CP-10 - name: label value: CP-10 class: sp800-53a - name: sort-id value: cp-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#bc39f179-c735-4da2-b7a7-b2b622119755' rel: reference - href: '#cp-2' rel: related - href: '#cp-4' rel: related - href: '#cp-6' rel: related - href: '#cp-7' rel: related - href: '#cp-9' rel: related - href: '#ir-4' rel: related - href: '#sa-8' rel: related - href: '#sc-24' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-13 rel: related parts: - id: cp-10_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Provide for the recovery and reconstitution of the system to a known state within {{ insert: param, cp-10_prm_1 }} after a disruption, compromise, or failure.' - id: cp-10_gdn name: guidance prose: Recovery is executing contingency plan activities to restore organizational mission and business functions. Reconstitution takes place following recovery and includes activities for returning systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities; recovery point, recovery time, and reconstitution objectives; and organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of interim system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored system capabilities, reestablishment of continuous monitoring activities, system reauthorization (if required), and activities to prepare the system and organization for future disruptions, breaches, compromises, or failures. Recovery and reconstitution capabilities can include automated mechanisms and manual procedures. Organizations establish recovery time and recovery point objectives as part of contingency planning. - id: cp-10_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-10 class: sp800-53a parts: - id: cp-10_obj-1 name: assessment-objective props: - name: label value: CP-10[01] class: sp800-53a prose: 'the recovery of the system to a known state is provided within {{ insert: param, cp-10_odp.01 }} after a disruption, compromise, or failure;' links: - href: '#cp-10_smt' rel: assessment-for - id: cp-10_obj-2 name: assessment-objective props: - name: label value: CP-10[02] class: sp800-53a prose: 'a reconstitution of the system to a known state is provided within {{ insert: param, cp-10_odp.02 }} after a disruption, compromise, or failure.' links: - href: '#cp-10_smt' rel: assessment-for links: - href: '#cp-10_smt' rel: assessment-for - id: cp-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-10-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing system backup contingency plan system backup test results contingency plan test results contingency plan test documentation redundant secondary system for system backups location(s) of redundant secondary backup system(s) system security plan other relevant documents or records' - id: cp-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-10-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with contingency planning, recovery, and/or reconstitution responsibilities organizational personnel with information security responsibilities' - id: cp-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-10-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes implementing system recovery and reconstitution operations mechanisms supporting and/or implementing system recovery and reconstitution operations' controls: - id: cp-10.2 class: SP800-53-enhancement title: Transaction Recovery props: - name: label value: CP-10(02) class: zero-padded - name: label value: CP-10(2) - name: label value: CP-10(02) class: sp800-53a - name: sort-id value: cp-10.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-10' rel: required parts: - id: cp-10.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Implement transaction recovery for systems that are transaction-based. - id: cp-10.2_gdn name: guidance prose: Transaction-based systems include database management systems and transaction processing systems. Mechanisms supporting transaction recovery include transaction rollback and transaction journaling. - id: cp-10.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-10(02) class: sp800-53a prose: transaction recovery is implemented for systems that are transaction-based. links: - href: '#cp-10.2_smt' rel: assessment-for - id: cp-10.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-10(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing system recovery and reconstitution contingency plan system design documentation system configuration settings and associated documentation contingency plan test documentation contingency plan test results system transaction recovery records system audit records system security plan other relevant documents or records' - id: cp-10.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-10(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibility for transaction recovery organizational personnel with information security responsibilities' - id: cp-10.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-10(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing transaction recovery capability - id: cp-10.4 class: SP800-53-enhancement title: Restore Within Time Period params: - id: cp-10.04_odp props: - name: alt-identifier value: cp-10.4_prm_1 - name: label value: CP-10(04)_ODP class: sp800-53a label: restoration time periods constraints: - description: time period consistent with the restoration time-periods defined in the service provider and organization SLA guidelines: - prose: restoration time period within which to restore system components to a known, operational state is defined; props: - name: label value: CP-10(04) class: zero-padded - name: label value: CP-10(4) - name: label value: CP-10(04) class: sp800-53a - name: sort-id value: cp-10.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-10' rel: required - href: '#cm-2' rel: related - href: '#cm-6' rel: related parts: - id: cp-10.4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Provide the capability to restore system components within {{ insert: param, cp-10.04_odp }} from configuration-controlled and integrity-protected information representing a known, operational state for the components.' - id: cp-10.4_gdn name: guidance prose: Restoration of system components includes reimaging, which restores the components to known, operational states. - id: cp-10.4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: CP-10(04) class: sp800-53a prose: 'the capability to restore system components within {{ insert: param, cp-10.04_odp }} from configuration-controlled and integrity-protected information representing a known, operational state for the components is provided.' links: - href: '#cp-10.4_smt' rel: assessment-for - id: cp-10.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-10(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Contingency planning policy procedures addressing system recovery and reconstitution contingency plan system design documentation system configuration settings and associated documentation contingency plan test documentation contingency plan test results evidence of system recovery and reconstitution operations system security plan other relevant documents or records' - id: cp-10.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-10(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system recovery and reconstitution responsibilities organizational personnel with information security responsibilities' - id: cp-10.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-10(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the recovery/reconstitution of system information - id: ia class: family title: Identification and Authentication controls: - id: ia-1 class: SP800-53 title: Policy and Procedures params: - id: ia-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ia-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ia-01_odp.02 label: organization-defined personnel or roles - id: ia-01_odp.01 props: - name: label value: IA-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the identification and authentication policy is to be disseminated are defined; - id: ia-01_odp.02 props: - name: label value: IA-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the identification and authentication procedures are to be disseminated is/are defined; - id: ia-01_odp.03 props: - name: alt-identifier value: ia-1_prm_2 - name: label value: IA-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: ia-01_odp.04 props: - name: alt-identifier value: ia-1_prm_3 - name: label value: IA-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the identification and authentication policy and procedures is defined; - id: ia-01_odp.05 props: - name: alt-identifier value: ia-1_prm_4 - name: label value: IA-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current identification and authentication policy is reviewed and updated is defined; - id: ia-01_odp.06 props: - name: alt-identifier value: ia-1_prm_5 - name: label value: IA-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current identification and authentication policy to be reviewed and updated are defined; - id: ia-01_odp.07 props: - name: alt-identifier value: ia-1_prm_6 - name: label value: IA-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current identification and authentication procedures are reviewed and updated is defined; - id: ia-01_odp.08 props: - name: alt-identifier value: ia-1_prm_7 - name: label value: IA-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that would require identification and authentication procedures to be reviewed and updated are defined; props: - name: label value: IA-01 class: zero-padded - name: label value: IA-1 - name: label value: IA-01 class: sp800-53a - name: sort-id value: ia-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#858705be-3c1f-48aa-a328-0ce398d95ef0' rel: reference - href: '#7af2e6ec-9f7e-4232-ad3f-09888eb0793a' rel: reference - href: '#828856bd-d7c4-427b-8b51-815517ec382d' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: '#7f473f21-fdbf-4a6c-81a1-0ab95919609d' rel: reference - href: '#ac-1' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ps-8' rel: related - href: '#si-12' rel: related parts: - id: ia-1_smt name: statement parts: - id: ia-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses Identification and Authentication MUST be associated with IA-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses Incident Response MUST be associated with IA-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, ia-1_prm_1 }}:' parts: - id: ia-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, ia-01_odp.03 }} identification and authentication policy that:' parts: - id: ia-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: ia-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: ia-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the identification and authentication policy and the associated identification and authentication controls; - id: ia-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, ia-01_odp.04 }} to manage the development, documentation, and dissemination of the identification and authentication policy and procedures; and' - id: ia-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current identification and authentication:' parts: - id: ia-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, ia-01_odp.05 }} and following {{ insert: param, ia-01_odp.06 }} ; and' - id: ia-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, ia-01_odp.07 }} and following {{ insert: param, ia-01_odp.08 }}.' - id: ia-1_gdn name: guidance prose: Identification and authentication policy and procedures address the controls in the IA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of identification and authentication policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to identification and authentication policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: ia-1_obj name: assessment-objective props: - name: label value: IA-01 class: sp800-53a parts: - id: ia-1_obj.a name: assessment-objective props: - name: label value: IA-01a. class: sp800-53a parts: - id: ia-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IA-01a.[01] class: sp800-53a prose: an identification and authentication policy is developed and documented; links: - href: '#ia-1_smt.a' rel: assessment-for - id: ia-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IA-01a.[02] class: sp800-53a prose: 'the identification and authentication policy is disseminated to {{ insert: param, ia-01_odp.01 }};' links: - href: '#ia-1_smt.a' rel: assessment-for - id: ia-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IA-01a.[03] class: sp800-53a prose: identification and authentication procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls are developed and documented; links: - href: '#ia-1_smt.a' rel: assessment-for - id: ia-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IA-01a.[04] class: sp800-53a prose: 'the identification and authentication procedures are disseminated to {{ insert: param, ia-01_odp.02 }};' links: - href: '#ia-1_smt.a' rel: assessment-for - id: ia-1_obj.a.1 name: assessment-objective props: - name: label value: IA-01a.01 class: sp800-53a parts: - id: ia-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IA-01a.01(a) class: sp800-53a parts: - id: ia-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: IA-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses purpose;' links: - href: '#ia-1_smt.a.1.a' rel: assessment-for - id: ia-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: IA-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses scope;' links: - href: '#ia-1_smt.a.1.a' rel: assessment-for - id: ia-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: IA-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses roles;' links: - href: '#ia-1_smt.a.1.a' rel: assessment-for - id: ia-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: IA-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses responsibilities;' links: - href: '#ia-1_smt.a.1.a' rel: assessment-for - id: ia-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: IA-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses management commitment;' links: - href: '#ia-1_smt.a.1.a' rel: assessment-for - id: ia-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: IA-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses coordination among organizational entities;' links: - href: '#ia-1_smt.a.1.a' rel: assessment-for - id: ia-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: IA-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses compliance;' links: - href: '#ia-1_smt.a.1.a' rel: assessment-for links: - href: '#ia-1_smt.a.1.a' rel: assessment-for - id: ia-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IA-01a.01(b) class: sp800-53a prose: 'the {{ insert: param, ia-01_odp.03 }} identification and authentication policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;' links: - href: '#ia-1_smt.a.1.b' rel: assessment-for links: - href: '#ia-1_smt.a.1' rel: assessment-for links: - href: '#ia-1_smt.a' rel: assessment-for - id: ia-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IA-01b. class: sp800-53a prose: 'the {{ insert: param, ia-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the identification and authentication policy and procedures;' links: - href: '#ia-1_smt.b' rel: assessment-for - id: ia-1_obj.c name: assessment-objective props: - name: label value: IA-01c. class: sp800-53a parts: - id: ia-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IA-01c.01 class: sp800-53a parts: - id: ia-1_obj.c.1-1 name: assessment-objective props: - name: label value: IA-01c.01[01] class: sp800-53a prose: 'the current identification and authentication policy is reviewed and updated {{ insert: param, ia-01_odp.05 }};' links: - href: '#ia-1_smt.c.1' rel: assessment-for - id: ia-1_obj.c.1-2 name: assessment-objective props: - name: label value: IA-01c.01[02] class: sp800-53a prose: 'the current identification and authentication policy is reviewed and updated following {{ insert: param, ia-01_odp.06 }};' links: - href: '#ia-1_smt.c.1' rel: assessment-for links: - href: '#ia-1_smt.c.1' rel: assessment-for - id: ia-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IA-01c.02 class: sp800-53a parts: - id: ia-1_obj.c.2-1 name: assessment-objective props: - name: label value: IA-01c.02[01] class: sp800-53a prose: 'the current identification and authentication procedures are reviewed and updated {{ insert: param, ia-01_odp.07 }};' links: - href: '#ia-1_smt.c.2' rel: assessment-for - id: ia-1_obj.c.2-2 name: assessment-objective props: - name: label value: IA-01c.02[02] class: sp800-53a prose: 'the current identification and authentication procedures are reviewed and updated following {{ insert: param, ia-01_odp.08 }}.' links: - href: '#ia-1_smt.c.2' rel: assessment-for links: - href: '#ia-1_smt.c.2' rel: assessment-for links: - href: '#ia-1_smt.c' rel: assessment-for links: - href: '#ia-1_smt' rel: assessment-for - id: ia-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy and procedures system security plan privacy plan risk management strategy documentation list of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings) other relevant documents or records' - id: ia-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with identification and authentication responsibilities organizational personnel with information security and privacy responsibilities' - id: ia-2 class: SP800-53 title: Identification and Authentication (Organizational Users) props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: IA-02 class: zero-padded - name: label value: IA-2 - name: label value: IA-02 class: sp800-53a - name: sort-id value: ia-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#a295ca19-8c75-4b4c-8800-98024732e181' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#858705be-3c1f-48aa-a328-0ce398d95ef0' rel: reference - href: '#7af2e6ec-9f7e-4232-ad3f-09888eb0793a' rel: reference - href: '#828856bd-d7c4-427b-8b51-815517ec382d' rel: reference - href: '#10963761-58fc-4b20-b3d6-b44a54daba03' rel: reference - href: '#d9e036ba-6eec-46a6-9340-b0bf1fea23b4' rel: reference - href: '#e8552d48-cf41-40aa-8b06-f45f7fb4706c' rel: reference - href: '#15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c' rel: reference - href: '#4b38e961-1125-4a5b-aa35-1d6c02846dad' rel: reference - href: '#91701292-8bcd-4d2e-a5bd-59ab61e34b3c' rel: reference - href: '#4f5f51ac-2b8d-4b90-a3c7-46f56e967617' rel: reference - href: '#604774da-9e1d-48eb-9c62-4e959dc80737' rel: reference - href: '#7f473f21-fdbf-4a6c-81a1-0ab95919609d' rel: reference - href: '#3915a084-b87b-4f02-83d4-c369e746292f' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-14' rel: related - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#au-1' rel: related - href: '#au-6' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: '#ia-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-13 rel: related - href: '#ma-4' rel: related - href: '#ma-5' rel: related - href: '#pe-2' rel: related - href: '#pl-4' rel: related - href: '#sa-4' rel: related - href: '#sa-8' rel: related parts: - id: ia-2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Uniquely identify and authenticate organizational users and associate that unique identification with processes acting on behalf of those users. - id: ia-2_gdn name: guidance prose: 'Organizations can satisfy the identification and authentication requirements by complying with the requirements in [HSPD 12](#f16e438e-7114-4144-bfe2-2dfcad8cb2d0) . Organizational users include employees or individuals who organizations consider to have an equivalent status to employees (e.g., contractors and guest researchers). Unique identification and authentication of users applies to all accesses other than those that are explicitly identified in [AC-14](#ac-14) and that occur through the authorized use of group authenticators without individual authentication. Since processes execute on behalf of groups and roles, organizations may require unique identification of individuals in group accounts or for detailed accountability of individual activity. Organizations employ passwords, physical authenticators, or biometrics to authenticate user identities or, in the case of multi-factor authentication, some combination thereof. Access to organizational systems is defined as either local access or network access. Local access is any access to organizational systems by users or processes acting on behalf of users, where access is obtained through direct connections without the use of networks. Network access is access to organizational systems by users (or processes acting on behalf of users) where access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks. Internal networks include local area networks and wide area networks. The use of encrypted virtual private networks for network connections between organization-controlled endpoints and non-organization-controlled endpoints may be treated as internal networks with respect to protecting the confidentiality and integrity of information traversing the network. Identification and authentication requirements for non-organizational users are described in [IA-8](#ia-8).' - id: ia-2_fr name: item ns: http://fedramp.gov/ns/oscal title: IA-2 Additional FedRAMP Requirements and Guidance parts: - id: ia-2_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: For all control enhancements that specify multifactor authentication, the implementation must adhere to the Digital Identity Guidelines specified in NIST Special Publication 800-63B. - id: ia-2_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Multi-factor authentication must be phishing-resistant. - id: ia-2_fr_smt.3 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: All uses of encrypted virtual private networks must meet all applicable Federal requirements and architecture, dataflow, and security and privacy controls must be documented, assessed, and authorized to operate. - id: ia-2_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: '"Phishing-resistant" authentication refers to authentication processes designed to detect and prevent disclosure of authentication secrets and outputs to a website or application masquerading as a legitimate system.' - id: ia-2_obj name: assessment-objective props: - name: label value: IA-02 class: sp800-53a parts: - id: ia-2_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-02[01] class: sp800-53a prose: organizational users are uniquely identified and authenticated; links: - href: '#ia-2_smt' rel: assessment-for - id: ia-2_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-02[02] class: sp800-53a prose: the unique identification of authenticated organizational users is associated with processes acting on behalf of those users. links: - href: '#ia-2_smt' rel: assessment-for links: - href: '#ia-2_smt' rel: assessment-for - id: ia-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy procedures addressing user identification and authentication system security plan, system design documentation system configuration settings and associated documentation system audit records list of system accounts other relevant documents or records' - id: ia-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system operations responsibilities organizational personnel with information security responsibilities system/network administrators organizational personnel with account management responsibilities system developers' - id: ia-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-02-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for uniquely identifying and authenticating users mechanisms supporting and/or implementing identification and authentication capabilities' controls: - id: ia-2.1 class: SP800-53-enhancement title: Multi-factor Authentication to Privileged Accounts props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: IA-02(01) class: zero-padded - name: label value: IA-2(1) - name: label value: IA-02(01) class: sp800-53a - name: sort-id value: ia-02.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-2' rel: required - href: '#ac-5' rel: related - href: '#ac-6' rel: related parts: - id: ia-2.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Implement multi-factor authentication for access to privileged accounts. - id: ia-2.1_gdn name: guidance prose: 'Multi-factor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number \[PIN\]), something you have (e.g., a physical authenticator such as a cryptographic private key), or something you are (e.g., a biometric). Multi-factor authentication solutions that feature physical authenticators include hardware authenticators that provide time-based or challenge-response outputs and smart cards such as the U.S. Government Personal Identity Verification (PIV) card or the Department of Defense (DoD) Common Access Card (CAC). In addition to authenticating users at the system level (i.e., at logon), organizations may employ authentication mechanisms at the application level, at their discretion, to provide increased security. Regardless of the type of access (i.e., local, network, remote), privileged accounts are authenticated using multi-factor options appropriate for the level of risk. Organizations can add additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.' - id: ia-2.1_fr name: item ns: http://fedramp.gov/ns/oscal title: IA-2 (1) Additional FedRAMP Requirements and Guidance parts: - id: ia-2.1_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: According to SP 800-63-3, SP 800-63A (IAL), SP 800-63B (AAL), and SP 800-63C (FAL). - id: ia-2.1_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Multi-factor authentication must be phishing-resistant. - id: ia-2.1_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Multi-factor authentication to subsequent components in the same user domain is not required. - id: ia-2.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-02(01) class: sp800-53a prose: multi-factor authentication is implemented for access to privileged accounts. links: - href: '#ia-2.1_smt' rel: assessment-for - id: ia-2.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-02(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy procedures addressing user identification and authentication system security plan system design documentation system configuration settings and associated documentation system audit records list of system accounts other relevant documents or records' - id: ia-2.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-02(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system operations responsibilities organizational personnel with account management responsibilities organizational personnel with information security responsibilities system/network administrators system developers' - id: ia-2.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-02(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing a multi-factor authentication capability - id: ia-2.2 class: SP800-53-enhancement title: Multi-factor Authentication to Non-privileged Accounts props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: IA-02(02) class: zero-padded - name: label value: IA-2(2) - name: label value: IA-02(02) class: sp800-53a - name: sort-id value: ia-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-2' rel: required - href: '#ac-5' rel: related parts: - id: ia-2.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Implement multi-factor authentication for access to non-privileged accounts. - id: ia-2.2_gdn name: guidance prose: 'Multi-factor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number \[PIN\]), something you have (e.g., a physical authenticator such as a cryptographic private key), or something you are (e.g., a biometric). Multi-factor authentication solutions that feature physical authenticators include hardware authenticators that provide time-based or challenge-response outputs and smart cards such as the U.S. Government Personal Identity Verification card or the DoD Common Access Card. In addition to authenticating users at the system level, organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Regardless of the type of access (i.e., local, network, remote), non-privileged accounts are authenticated using multi-factor options appropriate for the level of risk. Organizations can provide additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.' - id: ia-2.2_fr name: item ns: http://fedramp.gov/ns/oscal title: IA-2 (2) Additional FedRAMP Requirements and Guidance parts: - id: ia-2.2_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: According to SP 800-63-3, SP 800-63A (IAL), SP 800-63B (AAL), and SP 800-63C (FAL). - id: ia-2.2_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Multi-factor authentication must be phishing-resistant. - id: ia-2.2_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Multi-factor authentication to subsequent components in the same user domain is not required. - id: ia-2.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-02(02) class: sp800-53a prose: multi-factor authentication for access to non-privileged accounts is implemented. links: - href: '#ia-2.2_smt' rel: assessment-for - id: ia-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy system security plan procedures addressing user identification and authentication system design documentation system configuration settings and associated documentation system audit records list of system accounts other relevant documents or records' - id: ia-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system operations responsibilities organizational personnel with account management responsibilities organizational personnel with information security responsibilities system/network administrators system developers' - id: ia-2.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-02(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing a multi-factor authentication capability - id: ia-2.5 class: SP800-53-enhancement title: Individual Authentication with Group Authentication props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: IA-02(05) class: zero-padded - name: label value: IA-2(5) - name: label value: IA-02(05) class: sp800-53a - name: sort-id value: ia-02.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-2' rel: required parts: - id: ia-2.5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: When shared accounts or authenticators are employed, require users to be individually authenticated before granting access to the shared accounts or resources. - id: ia-2.5_gdn name: guidance prose: Individual authentication prior to shared group authentication mitigates the risk of using group accounts or authenticators. - id: ia-2.5_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-02(05) class: sp800-53a prose: users are required to be individually authenticated before granting access to the shared accounts or resources when shared accounts or authenticators are employed. links: - href: '#ia-2.5_smt' rel: assessment-for - id: ia-2.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-02(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy system security plan procedures addressing user identification and authentication system design documentation system configuration settings and associated documentation system audit records list of system accounts other relevant documents or records' - id: ia-2.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-02(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system operations responsibilities organizational personnel with account management responsibilities organizational personnel with information security responsibilities system/network administrators system developers' - id: ia-2.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-02(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing an authentication capability for group accounts - id: ia-2.6 class: SP800-53-enhancement title: Access to Accounts —separate Device params: - id: ia-02.06_odp.01 props: - name: alt-identifier value: ia-2.6_prm_1 - name: label value: IA-02(06)_ODP[01] class: sp800-53a constraints: - description: local, network and remote - id: ia-02.06_odp.02 props: - name: alt-identifier value: ia-2.6_prm_2 - name: label value: IA-02(06)_ODP[02] class: sp800-53a constraints: - description: privileged accounts; non-privileged accounts - id: ia-02.06_odp.03 props: - name: alt-identifier value: ia-2.6_prm_3 - name: label value: IA-02(06)_ODP[03] class: sp800-53a label: strength of mechanism requirements constraints: - description: FIPS-validated or NSA-approved cryptography guidelines: - prose: the strength of mechanism requirements to be enforced by a device separate from the system gaining access to accounts is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: IA-02(06) class: zero-padded - name: label value: IA-2(6) - name: label value: IA-02(06) class: sp800-53a - name: sort-id value: ia-02.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-2' rel: required - href: '#ac-6' rel: related parts: - id: ia-2.6_smt name: statement prose: 'Implement multi-factor authentication for {{ insert: param, ia-02.06_odp.01 }} access to {{ insert: param, ia-02.06_odp.02 }} such that:' parts: - id: ia-2.6_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: One of the factors is provided by a device separate from the system gaining access; and - id: ia-2.6_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'The device meets {{ insert: param, ia-02.06_odp.03 }}.' - id: ia-2.6_gdn name: guidance prose: The purpose of requiring a device that is separate from the system to which the user is attempting to gain access for one of the factors during multi-factor authentication is to reduce the likelihood of compromising authenticators or credentials stored on the system. Adversaries may be able to compromise such authenticators or credentials and subsequently impersonate authorized users. Implementing one of the factors on a separate device (e.g., a hardware token), provides a greater strength of mechanism and an increased level of assurance in the authentication process. - id: ia-2.6_fr name: item ns: http://fedramp.gov/ns/oscal title: IA-2 (6) Additional FedRAMP Requirements and Guidance parts: - id: ia-2.6_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials. - id: ia-2.6_fr_gdn.2 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: See SC-13 Guidance for more information on FIPS-validated or NSA-approved cryptography. - id: ia-2.6_obj name: assessment-objective props: - name: label value: IA-02(06) class: sp800-53a parts: - id: ia-2.6_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-02(06)(a) class: sp800-53a prose: 'multi-factor authentication is implemented for {{ insert: param, ia-02.06_odp.01 }} access to {{ insert: param, ia-02.06_odp.02 }} such that one of the factors is provided by a device separate from the system gaining access;' links: - href: '#ia-2.6_smt.a' rel: assessment-for - id: ia-2.6_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-02(06)(b) class: sp800-53a prose: 'multi-factor authentication is implemented for {{ insert: param, ia-02.06_odp.01 }} access to {{ insert: param, ia-02.06_odp.02 }} such that the device meets {{ insert: param, ia-02.06_odp.03 }}.' links: - href: '#ia-2.6_smt.b' rel: assessment-for links: - href: '#ia-2.6_smt' rel: assessment-for - id: ia-2.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-02(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy system security plan procedures addressing user identification and authentication system design documentation system configuration settings and associated documentation system audit records list of system accounts other relevant documents or records' - id: ia-2.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-02(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system operations responsibilities organizational personnel with account management responsibilities organizational personnel with information security responsibilities system/network administrators system developers' - id: ia-2.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-02(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing multi-factor authentication capability - id: ia-2.8 class: SP800-53-enhancement title: Access to Accounts — Replay Resistant params: - id: ia-02.08_odp props: - name: alt-identifier value: ia-2.8_prm_1 - name: label value: IA-02(08)_ODP class: sp800-53a constraints: - description: privileged accounts; non-privileged accounts props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: IA-02(08) class: zero-padded - name: label value: IA-2(8) - name: label value: IA-02(08) class: sp800-53a - name: sort-id value: ia-02.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-2' rel: required parts: - id: ia-2.8_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Implement replay-resistant authentication mechanisms for access to {{ insert: param, ia-02.08_odp }}.' - id: ia-2.8_gdn name: guidance prose: Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include protocols that use nonces or challenges such as time synchronous or cryptographic authenticators. - id: ia-2.8_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-02(08) class: sp800-53a prose: 'replay-resistant authentication mechanisms for access to {{ insert: param, ia-02.08_odp }} are implemented.' links: - href: '#ia-2.8_smt' rel: assessment-for - id: ia-2.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-02(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy system security plan procedures addressing user identification and authentication system design documentation system configuration settings and associated documentation system audit records list of privileged system accounts other relevant documents or records' - id: ia-2.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-02(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system operations responsibilities organizational personnel with account management responsibilities organizational personnel with information security responsibilities system/network administrators system developers' - id: ia-2.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-02(08)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Mechanisms supporting and/or implementing identification and authentication capabilities Mechanisms supporting and/or implementing replay-resistant authentication mechanisms' - id: ia-2.12 class: SP800-53-enhancement title: Acceptance of PIV Credentials props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: IA-02(12) class: zero-padded - name: label value: IA-2(12) - name: label value: IA-02(12) class: sp800-53a - name: sort-id value: ia-02.12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-2' rel: required parts: - id: ia-2.12_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Accept and electronically verify Personal Identity Verification-compliant credentials. - id: ia-2.12_gdn name: guidance prose: Acceptance of Personal Identity Verification (PIV)-compliant credentials applies to organizations implementing logical access control and physical access control systems. PIV-compliant credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. The adequacy and reliability of PIV card issuers are authorized using [SP 800-79-2](#10963761-58fc-4b20-b3d6-b44a54daba03) . Acceptance of PIV-compliant credentials includes derived PIV credentials, the use of which is addressed in [SP 800-166](#e8552d48-cf41-40aa-8b06-f45f7fb4706c) . The DOD Common Access Card (CAC) is an example of a PIV credential. - id: ia-2.12_fr name: item ns: http://fedramp.gov/ns/oscal title: IA-2 (12) Additional FedRAMP Requirements and Guidance parts: - id: ia-2.12_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12. - id: ia-2.12_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-02(12) class: sp800-53a prose: Personal Identity Verification-compliant credentials are accepted and electronically verified. links: - href: '#ia-2.12_smt' rel: assessment-for - id: ia-2.12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-02(12)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy system security plan procedures addressing user identification and authentication system design documentation system configuration settings and associated documentation system audit records PIV verification records evidence of PIV credentials PIV credential authorizations other relevant documents or records' - id: ia-2.12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-02(12)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system operations responsibilities organizational personnel with account management responsibilities organizational personnel with information security responsibilities system/network administrators system developers' - id: ia-2.12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-02(12)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing acceptance and verification of PIV credentials - id: ia-3 class: SP800-53 title: Device Identification and Authentication params: - id: ia-03_odp.01 props: - name: alt-identifier value: ia-3_prm_1 - name: label value: IA-03_ODP[01] class: sp800-53a label: devices and/or types of devices guidelines: - prose: devices and/or types of devices to be uniquely identified and authenticated before establishing a connection are defined; - id: ia-03_odp.02 props: - name: alt-identifier value: ia-3_prm_2 - name: label value: IA-03_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - local - remote - network props: - name: label value: IA-03 class: zero-padded - name: label value: IA-3 - name: label value: IA-03 class: sp800-53a - name: sort-id value: ia-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#au-6' rel: related - href: '#ca-3' rel: related - href: '#ca-9' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-9 rel: related - href: '#ia-11' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-13 rel: related - href: '#si-4' rel: related parts: - id: ia-3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Uniquely identify and authenticate {{ insert: param, ia-03_odp.01 }} before establishing a {{ insert: param, ia-03_odp.02 }} connection.' - id: ia-3_gdn name: guidance prose: Devices that require unique device-to-device identification and authentication are defined by type, device, or a combination of type and device. Organization-defined device types include devices that are not owned by the organization. Systems use shared known information (e.g., Media Access Control \[MAC\], Transmission Control Protocol/Internet Protocol \[TCP/IP\] addresses) for device identification or organizational authentication solutions (e.g., Institute of Electrical and Electronics Engineers (IEEE) 802.1x and Extensible Authentication Protocol \[EAP\], RADIUS server with EAP-Transport Layer Security \[TLS\] authentication, Kerberos) to identify and authenticate devices on local and wide area networks. Organizations determine the required strength of authentication mechanisms based on the security categories of systems and mission or business requirements. Because of the challenges of implementing device authentication on a large scale, organizations can restrict the application of the control to a limited number/type of devices based on mission or business needs. - id: ia-3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-03 class: sp800-53a prose: '{{ insert: param, ia-03_odp.01 }} are uniquely identified and authenticated before establishing a {{ insert: param, ia-03_odp.02 }} connection.' links: - href: '#ia-3_smt' rel: assessment-for - id: ia-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-03-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy system security plan procedures addressing device identification and authentication system design documentation list of devices requiring unique identification and authentication device connection reports system configuration settings and associated documentation other relevant documents or records' - id: ia-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-03-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with operational responsibilities for device identification and authentication organizational personnel with information security responsibilities system/network administrators system developers' - id: ia-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-03-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing device identification and authentication capabilities - id: ia-4 class: SP800-53 title: Identifier Management params: - id: ia-04_odp.01 props: - name: alt-identifier value: ia-4_prm_1 - name: label value: IA-04_ODP[01] class: sp800-53a label: personnel or roles constraints: - description: at a minimum, the ISSO (or similar role within the organization) guidelines: - prose: personnel or roles from whom authorization must be received to assign an identifier are defined; - id: ia-04_odp.02 props: - name: alt-identifier value: ia-4_prm_2 - name: label value: IA-04_ODP[02] class: sp800-53a label: time period constraints: - description: at least two (2) years guidelines: - prose: a time period for preventing reuse of identifiers is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: IA-04 class: zero-padded - name: label value: IA-4 - name: label value: IA-04 class: sp800-53a - name: sort-id value: ia-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#858705be-3c1f-48aa-a328-0ce398d95ef0' rel: reference - href: '#7af2e6ec-9f7e-4232-ad3f-09888eb0793a' rel: reference - href: '#828856bd-d7c4-427b-8b51-815517ec382d' rel: reference - href: '#ac-5' rel: related - href: '#ia-2' rel: related - href: '#ia-3' rel: related - href: '#ia-5' rel: related - href: '#ia-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-9 rel: related - href: '#ia-12' rel: related - href: '#ma-4' rel: related - href: '#pe-2' rel: related - href: '#pe-3' rel: related - href: '#pe-4' rel: related - href: '#pl-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-12 rel: related - href: '#ps-3' rel: related - href: '#ps-4' rel: related - href: '#ps-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-37 rel: related parts: - id: ia-4_smt name: statement prose: 'Manage system identifiers by:' parts: - id: ia-4_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Receiving authorization from {{ insert: param, ia-04_odp.01 }} to assign an individual, group, role, service, or device identifier;' - id: ia-4_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Selecting an identifier that identifies an individual, group, role, service, or device; - id: ia-4_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Assigning the identifier to the intended individual, group, role, service, or device; and - id: ia-4_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: 'Preventing reuse of identifiers for {{ insert: param, ia-04_odp.02 }}.' - id: ia-4_gdn name: guidance prose: Common device identifiers include Media Access Control (MAC) addresses, Internet Protocol (IP) addresses, or device-unique token identifiers. The management of individual identifiers is not applicable to shared system accounts. Typically, individual identifiers are the usernames of the system accounts assigned to those individuals. In such instances, the account management activities of [AC-2](#ac-2) use account names provided by [IA-4](#ia-4) . Identifier management also addresses individual identifiers not necessarily associated with system accounts. Preventing the reuse of identifiers implies preventing the assignment of previously used individual, group, role, service, or device identifiers to different individuals, groups, roles, services, or devices. - id: ia-4_obj name: assessment-objective props: - name: label value: IA-04 class: sp800-53a parts: - id: ia-4_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-04a. class: sp800-53a prose: 'system identifiers are managed by receiving authorization from {{ insert: param, ia-04_odp.01 }} to assign to an individual, group, role, or device identifier;' links: - href: '#ia-4_smt.a' rel: assessment-for - id: ia-4_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-04b. class: sp800-53a prose: system identifiers are managed by selecting an identifier that identifies an individual, group, role, service, or device; links: - href: '#ia-4_smt.b' rel: assessment-for - id: ia-4_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-04c. class: sp800-53a prose: system identifiers are managed by assigning the identifier to the intended individual, group, role, service, or device; links: - href: '#ia-4_smt.c' rel: assessment-for - id: ia-4_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-04d. class: sp800-53a prose: 'system identifiers are managed by preventing reuse of identifiers for {{ insert: param, ia-04_odp.02 }}.' links: - href: '#ia-4_smt.d' rel: assessment-for links: - href: '#ia-4_smt' rel: assessment-for - id: ia-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-04-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy procedures addressing identifier management procedures addressing account management system security plan system design documentation system configuration settings and associated documentation list of system accounts list of identifiers generated from physical access control devices other relevant documents or records' - id: ia-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-04-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with identifier management responsibilities organizational personnel with information security responsibilities system/network administrators system developers' - id: ia-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-04-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identifier management controls: - id: ia-4.4 class: SP800-53-enhancement title: Identify User Status params: - id: ia-04.04_odp props: - name: alt-identifier value: ia-4.4_prm_1 - name: alt-label value: characteristic identifying individual status class: sp800-53 - name: label value: IA-04(04)_ODP class: sp800-53a label: characteristics constraints: - description: contractors; foreign nationals guidelines: - prose: characteristics used to identify individual status is defined; props: - name: label value: IA-04(04) class: zero-padded - name: label value: IA-4(4) - name: label value: IA-04(04) class: sp800-53a - name: sort-id value: ia-04.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-4' rel: required parts: - id: ia-4.4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Manage individual identifiers by uniquely identifying each individual as {{ insert: param, ia-04.04_odp }}.' - id: ia-4.4_gdn name: guidance prose: Characteristics that identify the status of individuals include contractors, foreign nationals, and non-organizational users. Identifying the status of individuals by these characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor. - id: ia-4.4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-04(04) class: sp800-53a prose: 'individual identifiers are managed by uniquely identifying each individual as {{ insert: param, ia-04.04_odp }}.' links: - href: '#ia-4.4_smt' rel: assessment-for - id: ia-4.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-04(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy system security plan procedures addressing identifier management procedures addressing account management list of characteristics identifying individual status other relevant documents or records' - id: ia-4.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-04(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with identifier management responsibilities organizational personnel with information security responsibilities system/network administrators' - id: ia-4.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-04(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identifier management - id: ia-5 class: SP800-53 title: Authenticator Management params: - id: ia-05_odp.01 props: - name: alt-identifier value: ia-5_prm_1 - name: label value: IA-05_ODP[01] class: sp800-53a label: time period by authenticator type guidelines: - prose: a time period for changing or refreshing authenticators by authenticator type is defined; - id: ia-05_odp.02 props: - name: alt-identifier value: ia-5_prm_2 - name: label value: IA-05_ODP[02] class: sp800-53a label: events guidelines: - prose: events that trigger the change or refreshment of authenticators are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: IA-05 class: zero-padded - name: label value: IA-5 - name: label value: IA-05 class: sp800-53a - name: sort-id value: ia-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#eea3c092-42ed-4382-a6f4-1adadef01b9d' rel: reference - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#a295ca19-8c75-4b4c-8800-98024732e181' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#858705be-3c1f-48aa-a328-0ce398d95ef0' rel: reference - href: '#7af2e6ec-9f7e-4232-ad3f-09888eb0793a' rel: reference - href: '#828856bd-d7c4-427b-8b51-815517ec382d' rel: reference - href: '#15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c' rel: reference - href: '#91701292-8bcd-4d2e-a5bd-59ab61e34b3c' rel: reference - href: '#4f5f51ac-2b8d-4b90-a3c7-46f56e967617' rel: reference - href: '#604774da-9e1d-48eb-9c62-4e959dc80737' rel: reference - href: '#81aeb0a3-d0ee-4e44-b842-6bf28d2bd7f5' rel: reference - href: '#ac-3' rel: related - href: '#ac-6' rel: related - href: '#cm-6' rel: related - href: '#ia-2' rel: related - href: '#ia-4' rel: related - href: '#ia-7' rel: related - href: '#ia-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-9 rel: related - href: '#ma-4' rel: related - href: '#pe-2' rel: related - href: '#pl-4' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: ia-5_smt name: statement prose: 'Manage system authenticators by:' parts: - id: ia-5_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, service, or device receiving the authenticator; - id: ia-5_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Establishing initial authenticator content for any authenticators issued by the organization; - id: ia-5_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Ensuring that authenticators have sufficient strength of mechanism for their intended use; - id: ia-5_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Establishing and implementing administrative procedures for initial authenticator distribution, for lost or compromised or damaged authenticators, and for revoking authenticators; - id: ia-5_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: Changing default authenticators prior to first use; - id: ia-5_smt.f name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: f. prose: 'Changing or refreshing authenticators {{ insert: param, ia-05_odp.01 }} or when {{ insert: param, ia-05_odp.02 }} occur;' - id: ia-5_smt.g name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: g. prose: Protecting authenticator content from unauthorized disclosure and modification; - id: ia-5_smt.h name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: h. prose: Requiring individuals to take, and having devices implement, specific controls to protect authenticators; and - id: ia-5_smt.i name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: i. prose: Changing authenticators for group or role accounts when membership to those accounts changes. - id: ia-5_gdn name: guidance prose: 'Authenticators include passwords, cryptographic devices, biometrics, certificates, one-time password devices, and ID badges. Device authenticators include certificates and passwords. Initial authenticator content is the actual content of the authenticator (e.g., the initial password). In contrast, the requirements for authenticator content contain specific criteria or characteristics (e.g., minimum password length). Developers may deliver system components with factory default authentication credentials (i.e., passwords) to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant risk. The requirement to protect individual authenticators may be implemented via control [PL-4](#pl-4) or [PS-6](#ps-6) for authenticators in the possession of individuals and by controls [AC-3](#ac-3), [AC-6](#ac-6) , and [SC-28](#sc-28) for authenticators stored in organizational systems, including passwords stored in hashed or encrypted formats or files containing encrypted or hashed passwords accessible with administrator privileges. Systems support authenticator management by organization-defined settings and restrictions for various authenticator characteristics (e.g., minimum password length, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication). Actions can be taken to safeguard individual authenticators, including maintaining possession of authenticators, not sharing authenticators with others, and immediately reporting lost, stolen, or compromised authenticators. Authenticator management includes issuing and revoking authenticators for temporary access when no longer needed.' - id: ia-5_fr name: item ns: http://fedramp.gov/ns/oscal title: IA-5 Additional FedRAMP Requirements and Guidance parts: - id: ia-5_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 3. Link https://pages.nist.gov/800-63-3 - id: ia-5_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: SP 800-63C Section 6.2.3 Encrypted Assertion requires that authentication assertions be encrypted when passed through third parties, such as a browser. For example, a SAML assertion can be encrypted using XML-Encryption, or an OpenID Connect ID Token can be encrypted using JSON Web Encryption (JWE). - id: ia-5_obj name: assessment-objective props: - name: label value: IA-05 class: sp800-53a parts: - id: ia-5_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05a. class: sp800-53a prose: system authenticators are managed through the verification of the identity of the individual, group, role, service, or device receiving the authenticator as part of the initial authenticator distribution; links: - href: '#ia-5_smt.a' rel: assessment-for - id: ia-5_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05b. class: sp800-53a prose: system authenticators are managed through the establishment of initial authenticator content for any authenticators issued by the organization; links: - href: '#ia-5_smt.b' rel: assessment-for - id: ia-5_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05c. class: sp800-53a prose: system authenticators are managed to ensure that authenticators have sufficient strength of mechanism for their intended use; links: - href: '#ia-5_smt.c' rel: assessment-for - id: ia-5_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05d. class: sp800-53a prose: system authenticators are managed through the establishment and implementation of administrative procedures for initial authenticator distribution; lost, compromised, or damaged authenticators; and the revocation of authenticators; links: - href: '#ia-5_smt.d' rel: assessment-for - id: ia-5_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05e. class: sp800-53a prose: system authenticators are managed through the change of default authenticators prior to first use; links: - href: '#ia-5_smt.e' rel: assessment-for - id: ia-5_obj.f name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05f. class: sp800-53a prose: 'system authenticators are managed through the change or refreshment of authenticators {{ insert: param, ia-05_odp.01 }} or when {{ insert: param, ia-05_odp.02 }} occur;' links: - href: '#ia-5_smt.f' rel: assessment-for - id: ia-5_obj.g name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05g. class: sp800-53a prose: system authenticators are managed through the protection of authenticator content from unauthorized disclosure and modification; links: - href: '#ia-5_smt.g' rel: assessment-for - id: ia-5_obj.h name: assessment-objective props: - name: label value: IA-05h. class: sp800-53a parts: - id: ia-5_obj.h-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05h.[01] class: sp800-53a prose: system authenticators are managed through the requirement for individuals to take specific controls to protect authenticators; links: - href: '#ia-5_smt.h' rel: assessment-for - id: ia-5_obj.h-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05h.[02] class: sp800-53a prose: system authenticators are managed through the requirement for devices to implement specific controls to protect authenticators; links: - href: '#ia-5_smt.h' rel: assessment-for links: - href: '#ia-5_smt.h' rel: assessment-for - id: ia-5_obj.i name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05i. class: sp800-53a prose: system authenticators are managed through the change of authenticators for group or role accounts when membership to those accounts changes. links: - href: '#ia-5_smt.i' rel: assessment-for links: - href: '#ia-5_smt' rel: assessment-for - id: ia-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy system security plan addressing authenticator management system design documentation system configuration settings and associated documentation list of system authenticator types change control records associated with managing system authenticators system audit records other relevant documents or records' - id: ia-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with authenticator management responsibilities organizational personnel with information security responsibilities system/network administrators' - id: ia-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing authenticator management capability controls: - id: ia-5.1 class: SP800-53-enhancement title: Password-based Authentication params: - id: ia-05.01_odp.01 props: - name: alt-identifier value: ia-5.1_prm_1 - name: label value: IA-05(01)_ODP[01] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to update the list of commonly used, expected, or compromised passwords is defined; - id: ia-05.01_odp.02 props: - name: alt-identifier value: ia-5.1_prm_2 - name: label value: IA-05(01)_ODP[02] class: sp800-53a label: composition and complexity rules guidelines: - prose: authenticator composition and complexity rules are defined; props: - name: label value: IA-05(01) class: zero-padded - name: label value: IA-5(1) - name: label value: IA-05(01) class: sp800-53a - name: sort-id value: ia-05.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-5' rel: required - href: '#ia-6' rel: related parts: - id: ia-5.1_smt name: statement prose: 'For password-based authentication:' parts: - id: ia-5.1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Maintain a list of commonly-used, expected, or compromised passwords and update the list {{ insert: param, ia-05.01_odp.01 }} and when organizational passwords are suspected to have been compromised directly or indirectly;' - id: ia-5.1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Verify, when users create or update passwords, that the passwords are not found on the list of commonly-used, expected, or compromised passwords in IA-5(1)(a); - id: ia-5.1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (c) prose: Transmit passwords only over cryptographically-protected channels; - id: ia-5.1_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (d) prose: Store passwords using an approved salted key derivation function, preferably using a keyed hash; - id: ia-5.1_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (e) prose: Require immediate selection of a new password upon account recovery; - id: ia-5.1_smt.f name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (f) prose: Allow user selection of long passwords and passphrases, including spaces and all printable characters; - id: ia-5.1_smt.g name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (g) prose: Employ automated tools to assist the user in selecting strong password authenticators; and - id: ia-5.1_smt.h name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (h) prose: 'Enforce the following composition and complexity rules: {{ insert: param, ia-05.01_odp.02 }}.' - id: ia-5.1_gdn name: guidance prose: Password-based authentication applies to passwords regardless of whether they are used in single-factor or multi-factor authentication. Long passwords or passphrases are preferable over shorter passwords. Enforced composition rules provide marginal security benefits while decreasing usability. However, organizations may choose to establish certain rules for password generation (e.g., minimum character length for long passwords) under certain circumstances and can enforce this requirement in IA-5(1)(h). Account recovery can occur, for example, in situations when a password is forgotten. Cryptographically protected passwords include salted one-way cryptographic hashes of passwords. The list of commonly used, compromised, or expected passwords includes passwords obtained from previous breach corpuses, dictionary words, and repetitive or sequential characters. The list includes context-specific words, such as the name of the service, username, and derivatives thereof. - id: ia-5.1_fr name: item ns: http://fedramp.gov/ns/oscal title: IA-5 (1) Additional FedRAMP Requirements and Guidance parts: - id: ia-5.1_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Password policies must be compliant with NIST SP 800-63B for all memorized, lookup, out-of-band, or One-Time-Passwords (OTP). Password policies shall not enforce special character or minimum password rotation requirements for memorized secrets of users. - id: ia-5.1_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(h) Requirement:' prose: 'For cases where technology doesn''t allow multi-factor authentication, these rules should be enforced: must have a minimum length of 14 characters and must support all printable ASCII characters. For emergency use accounts, these rules should be enforced: must have a minimum length of 14 characters, must support all printable ASCII characters, and passwords must be changed if used.' - id: ia-5.1_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Note that (c) and (d) require the use of cryptography which must be compliant with Federal requirements and utilize FIPS validated or NSA approved cryptography (see SC-13). - id: ia-5.1_obj name: assessment-objective props: - name: label value: IA-05(01) class: sp800-53a parts: - id: ia-5.1_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05(01)(a) class: sp800-53a prose: 'for password-based authentication, a list of commonly used, expected, or compromised passwords is maintained and updated {{ insert: param, ia-05.01_odp.01 }} and when organizational passwords are suspected to have been compromised directly or indirectly;' links: - href: '#ia-5.1_smt.a' rel: assessment-for - id: ia-5.1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05(01)(b) class: sp800-53a prose: for password-based authentication when passwords are created or updated by users, the passwords are verified not to be found on the list of commonly used, expected, or compromised passwords in IA-05(01)(a); links: - href: '#ia-5.1_smt.b' rel: assessment-for - id: ia-5.1_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05(01)(c) class: sp800-53a prose: for password-based authentication, passwords are only transmitted over cryptographically protected channels; links: - href: '#ia-5.1_smt.c' rel: assessment-for - id: ia-5.1_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05(01)(d) class: sp800-53a prose: for password-based authentication, passwords are stored using an approved salted key derivation function, preferably using a keyed hash; links: - href: '#ia-5.1_smt.d' rel: assessment-for - id: ia-5.1_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05(01)(e) class: sp800-53a prose: for password-based authentication, immediate selection of a new password is required upon account recovery; links: - href: '#ia-5.1_smt.e' rel: assessment-for - id: ia-5.1_obj.f name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05(01)(f) class: sp800-53a prose: for password-based authentication, user selection of long passwords and passphrases is allowed, including spaces and all printable characters; links: - href: '#ia-5.1_smt.f' rel: assessment-for - id: ia-5.1_obj.g name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05(01)(g) class: sp800-53a prose: for password-based authentication, automated tools are employed to assist the user in selecting strong password authenticators; links: - href: '#ia-5.1_smt.g' rel: assessment-for - id: ia-5.1_obj.h name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05(01)(h) class: sp800-53a prose: 'for password-based authentication, {{ insert: param, ia-05.01_odp.02 }} are enforced.' links: - href: '#ia-5.1_smt.h' rel: assessment-for links: - href: '#ia-5.1_smt' rel: assessment-for - id: ia-5.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy password policy procedures addressing authenticator management system security plan system design documentation system configuration settings and associated documentation password configurations and associated documentation other relevant documents or records' - id: ia-5.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with authenticator management responsibilities organizational personnel with information security responsibilities system/network administrators system developers' - id: ia-5.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing password-based authenticator management capability - id: ia-5.2 class: SP800-53-enhancement title: Public Key-based Authentication props: - name: label value: IA-05(02) class: zero-padded - name: label value: IA-5(2) - name: label value: IA-05(02) class: sp800-53a - name: sort-id value: ia-05.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-5' rel: required - href: '#ia-3' rel: related - href: '#sc-17' rel: related parts: - id: ia-5.2_smt name: statement parts: - id: ia-5.2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'For public key-based authentication:' parts: - id: ia-5.2_smt.a.1 name: item props: - name: label value: (1) prose: Enforce authorized access to the corresponding private key; and - id: ia-5.2_smt.a.2 name: item props: - name: label value: (2) prose: Map the authenticated identity to the account of the individual or group; and - id: ia-5.2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'When public key infrastructure (PKI) is used:' parts: - id: ia-5.2_smt.b.1 name: item props: - name: label value: (1) prose: Validate certificates by constructing and verifying a certification path to an accepted trust anchor, including checking certificate status information; and - id: ia-5.2_smt.b.2 name: item props: - name: label value: (2) prose: Implement a local cache of revocation data to support path discovery and validation. - id: ia-5.2_gdn name: guidance prose: Public key cryptography is a valid authentication mechanism for individuals, machines, and devices. For PKI solutions, status information for certification paths includes certificate revocation lists or certificate status protocol responses. For PIV cards, certificate validation involves the construction and verification of a certification path to the Common Policy Root trust anchor, which includes certificate policy processing. Implementing a local cache of revocation data to support path discovery and validation also supports system availability in situations where organizations are unable to access revocation information via the network. - id: ia-5.2_obj name: assessment-objective props: - name: label value: IA-05(02) class: sp800-53a parts: - id: ia-5.2_obj.a name: assessment-objective props: - name: label value: IA-05(02)(a) class: sp800-53a parts: - id: ia-5.2_obj.a.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05(02)(a)(01) class: sp800-53a prose: authorized access to the corresponding private key is enforced for public key-based authentication; links: - href: '#ia-5.2_smt.a.1' rel: assessment-for - id: ia-5.2_obj.a.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05(02)(a)(02) class: sp800-53a prose: the authenticated identity is mapped to the account of the individual or group for public key-based authentication; links: - href: '#ia-5.2_smt.a.2' rel: assessment-for links: - href: '#ia-5.2_smt.a' rel: assessment-for - id: ia-5.2_obj.b name: assessment-objective props: - name: label value: IA-05(02)(b) class: sp800-53a parts: - id: ia-5.2_obj.b.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05(02)(b)(01) class: sp800-53a prose: when public key infrastructure (PKI) is used, certificates are validated by constructing and verifying a certification path to an accepted trust anchor, including checking certificate status information; links: - href: '#ia-5.2_smt.b.1' rel: assessment-for - id: ia-5.2_obj.b.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05(02)(b)(02) class: sp800-53a prose: when public key infrastructure (PKI) is used, a local cache of revocation data is implemented to support path discovery and validation. links: - href: '#ia-5.2_smt.b.2' rel: assessment-for links: - href: '#ia-5.2_smt.b' rel: assessment-for links: - href: '#ia-5.2_smt' rel: assessment-for - id: ia-5.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy procedures addressing authenticator management system security plan system design documentation system configuration settings and associated documentation PKI certification validation records PKI certification revocation lists other relevant documents or records' - id: ia-5.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with PKI-based, authenticator management responsibilities organizational personnel with information security responsibilities system/network administrators system developers' - id: ia-5.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing PKI-based, authenticator management capability - id: ia-5.6 class: SP800-53-enhancement title: Protection of Authenticators props: - name: label value: IA-05(06) class: zero-padded - name: label value: IA-5(6) - name: label value: IA-05(06) class: sp800-53a - name: sort-id value: ia-05.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-5' rel: required - href: '#ra-2' rel: related parts: - id: ia-5.6_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Protect authenticators commensurate with the security category of the information to which use of the authenticator permits access. - id: ia-5.6_gdn name: guidance prose: For systems that contain multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems. Security categories of information are determined as part of the security categorization process. - id: ia-5.6_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05(06) class: sp800-53a prose: authenticators are protected commensurate with the security category of the information to which use of the authenticator permits access. links: - href: '#ia-5.6_smt' rel: assessment-for - id: ia-5.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy procedures addressing authenticator management security categorization documentation for the system security assessments of authenticator protections risk assessment results system security plan other relevant documents or records' - id: ia-5.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with authenticator management responsibilities organizational personnel implementing and/or maintaining authenticator protections organizational personnel with information security responsibilities system/network administrators' - id: ia-5.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(06)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Mechanisms supporting and/or implementing authenticator management capability mechanisms protecting authenticators' - id: ia-5.7 class: SP800-53-enhancement title: No Embedded Unencrypted Static Authenticators props: - name: label value: IA-05(07) class: zero-padded - name: label value: IA-5(7) - name: label value: IA-05(07) class: sp800-53a - name: sort-id value: ia-05.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-5' rel: required parts: - id: ia-5.7_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Ensure that unencrypted static authenticators are not embedded in applications or other forms of static storage. - id: ia-5.7_gdn name: guidance prose: In addition to applications, other forms of static storage include access scripts and function keys. Organizations exercise caution when determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators. - id: ia-5.7_fr name: item ns: http://fedramp.gov/ns/oscal title: IA-5 (7) Additional FedRAMP Requirements and Guidance parts: - id: ia-5.7_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: In this context, prohibited static storage refers to any storage where unencrypted authenticators, such as passwords, persist beyond the time required to complete the access process. - id: ia-5.7_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05(07) class: sp800-53a prose: unencrypted static authenticators are not embedded in applications or other forms of static storage. links: - href: '#ia-5.7_smt' rel: assessment-for - id: ia-5.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy system security plan procedures addressing authenticator management system design documentation system configuration settings and associated documentation logical access scripts application code reviews for detecting unencrypted static authenticators other relevant documents or records' - id: ia-5.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with authenticator management responsibilities organizational personnel with information security responsibilities system/network administrators system developers' - id: ia-5.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(07)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Mechanisms supporting and/or implementing authenticator management capability mechanisms implementing authentication in applications' - id: ia-5.8 class: SP800-53-enhancement title: Multiple System Accounts params: - id: ia-05.08_odp props: - name: alt-identifier value: ia-5.8_prm_1 - name: label value: IA-05(08)_ODP class: sp800-53a label: security controls constraints: - description: different authenticators in different user authentication domains guidelines: - prose: security controls implemented to manage the risk of compromise due to individuals having accounts on multiple systems are defined; props: - name: label value: IA-05(08) class: zero-padded - name: label value: IA-5(8) - name: label value: IA-05(08) class: sp800-53a - name: sort-id value: ia-05.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-5' rel: required - href: '#ps-6' rel: related parts: - id: ia-5.8_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Implement {{ insert: param, ia-05.08_odp }} to manage the risk of compromise due to individuals having accounts on multiple systems.' - id: ia-5.8_gdn name: guidance prose: When individuals have accounts on multiple systems and use the same authenticators such as passwords, there is the risk that a compromise of one account may lead to the compromise of other accounts. Alternative approaches include having different authenticators (passwords) on all systems, employing a single sign-on or federation mechanism, or using some form of one-time passwords on all systems. Organizations can also use rules of behavior (see [PL-4](#pl-4) ) and access agreements (see [PS-6](#ps-6) ) to mitigate the risk of multiple system accounts. - id: ia-5.8_fr name: item ns: http://fedramp.gov/ns/oscal title: IA-5 (8) Additional FedRAMP Requirements and Guidance parts: - id: ia-5.8_fr_gdn.x name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: If a single user authentication domain is used to access multiple systems, such as in single-sign-on, then only a single authenticator is required. - id: ia-5.8_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05(08) class: sp800-53a prose: '{{ insert: param, ia-05.08_odp }} are implemented to manage the risk of compromise due to individuals having accounts on multiple systems.' links: - href: '#ia-5.8_smt' rel: assessment-for - id: ia-5.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy procedures addressing authenticator management system security plan list of individuals having accounts on multiple systems list of security safeguards intended to manage risk of compromise due to individuals having accounts on multiple systems other relevant documents or records' - id: ia-5.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with authenticator management responsibilities organizational personnel with information security responsibilities system/network administrators' - id: ia-5.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(08)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing safeguards for authenticator management - id: ia-5.13 class: SP800-53-enhancement title: Expiration of Cached Authenticators params: - id: ia-05.13_odp props: - name: alt-identifier value: ia-5.13_prm_1 - name: label value: IA-05(13)_ODP class: sp800-53a label: time period guidelines: - prose: the time period after which the use of cached authenticators is prohibited is defined; props: - name: label value: IA-05(13) class: zero-padded - name: label value: IA-5(13) - name: label value: IA-05(13) class: sp800-53a - name: sort-id value: ia-05.13 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-5' rel: required parts: - id: ia-5.13_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Prohibit the use of cached authenticators after {{ insert: param, ia-05.13_odp }}.' - id: ia-5.13_gdn name: guidance prose: Cached authenticators are used to authenticate to the local machine when the network is not available. If cached authentication information is out of date, the validity of the authentication information may be questionable. - id: ia-5.13_fr name: item ns: http://fedramp.gov/ns/oscal title: IA-5 (13) Additional FedRAMP Requirements and Guidance parts: - id: ia-5.13_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: For components subject to configuration baseline(s) (such as STIG or CIS,) the time period should conform to the baseline standard. - id: ia-5.13_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-05(13) class: sp800-53a prose: 'the use of cached authenticators is prohibited after {{ insert: param, ia-05.13_odp }}.' links: - href: '#ia-5.13_smt' rel: assessment-for - id: ia-5.13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(13)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy procedures addressing authenticator management system security plan system design documentation system configuration settings and associated documentation system audit records other relevant documents or records' - id: ia-5.13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(13)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with authenticator management responsibilities organizational personnel with information security responsibilities system/network administrators system developers' - id: ia-5.13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(13)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing authenticator management capability - id: ia-6 class: SP800-53 title: Authentication Feedback props: - name: label value: IA-06 class: zero-padded - name: label value: IA-6 - name: label value: IA-06 class: sp800-53a - name: sort-id value: ia-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-3' rel: related parts: - id: ia-6_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Obscure feedback of authentication information during the authentication process to protect the information from possible exploitation and use by unauthorized individuals. - id: ia-6_gdn name: guidance prose: Authentication feedback from systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of systems, such as desktops or notebooks with relatively large monitors, the threat (referred to as shoulder surfing) may be significant. For other types of systems, such as mobile devices with small displays, the threat may be less significant and is balanced against the increased likelihood of typographic input errors due to small keyboards. Thus, the means for obscuring authentication feedback is selected accordingly. Obscuring authentication feedback includes displaying asterisks when users type passwords into input devices or displaying feedback for a very limited time before obscuring it. - id: ia-6_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-06 class: sp800-53a prose: the feedback of authentication information is obscured during the authentication process to protect the information from possible exploitation and use by unauthorized individuals. links: - href: '#ia-6_smt' rel: assessment-for - id: ia-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-06-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy system security plan procedures addressing authenticator feedback system design documentation system configuration settings and associated documentation system audit records other relevant documents or records' - id: ia-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-06-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with information security responsibilities system/network administrators system developers' - id: ia-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-06-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the obscuring of feedback of authentication information during authentication - id: ia-7 class: SP800-53 title: Cryptographic Module Authentication props: - name: label value: IA-07 class: zero-padded - name: label value: IA-7 - name: label value: IA-07 class: sp800-53a - name: sort-id value: ia-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#ac-3' rel: related - href: '#ia-5' rel: related - href: '#sa-4' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: ia-7_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Implement mechanisms for authentication to a cryptographic module that meet the requirements of applicable laws, executive orders, directives, policies, regulations, standards, and guidelines for such authentication. - id: ia-7_gdn name: guidance prose: 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. - id: ia-7_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-07 class: sp800-53a prose: mechanisms for authentication to a cryptographic module are implemented that meet the requirements of applicable laws, executive orders, directives, policies, regulations, standards, and guidelines for such authentication. links: - href: '#ia-7_smt' rel: assessment-for - id: ia-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-07-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy system security plan procedures addressing cryptographic module authentication system design documentation system configuration settings and associated documentation system audit records other relevant documents or records' - id: ia-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-07-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibility for cryptographic module authentication organizational personnel with information security responsibilities system/network administrators system developers' - id: ia-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-07-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing cryptographic module authentication - id: ia-8 class: SP800-53 title: Identification and Authentication (Non-organizational Users) props: - name: label value: IA-08 class: zero-padded - name: label value: IA-8 - name: label value: IA-08 class: sp800-53a - name: sort-id value: ia-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#a1555677-2b9d-4868-a97b-a1363aff32f5' rel: reference - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#10963761-58fc-4b20-b3d6-b44a54daba03' rel: reference - href: '#2100332a-16a5-4598-bacf-7261baea9711' rel: reference - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference - href: '#ac-2' rel: related - href: '#ac-6' rel: related - href: '#ac-14' rel: related - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#au-6' rel: related - href: '#ia-2' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-10 rel: related - href: '#ia-11' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-13 rel: related - href: '#ma-4' rel: related - href: '#ra-3' rel: related - href: '#sa-4' rel: related - href: '#sc-8' rel: related parts: - id: ia-8_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Uniquely identify and authenticate non-organizational users or processes acting on behalf of non-organizational users. - id: ia-8_gdn name: guidance prose: Non-organizational users include system users other than organizational users explicitly covered by [IA-2](#ia-2) . Non-organizational users are uniquely identified and authenticated for accesses other than those explicitly identified and documented in [AC-14](#ac-14) . Identification and authentication of non-organizational users accessing federal systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations consider many factors—including security, privacy, scalability, and practicality—when balancing the need to ensure ease of use for access to federal information and systems with the need to protect and adequately mitigate risk. - id: ia-8_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-08 class: sp800-53a prose: non-organizational users or processes acting on behalf of non-organizational users are uniquely identified and authenticated. links: - href: '#ia-8_smt' rel: assessment-for - id: ia-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-08-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy system security plan privacy plan procedures addressing user identification and authentication system design documentation system configuration settings and associated documentation system audit records list of system accounts other relevant documents or records' - id: ia-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-08-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system operations responsibilities organizational personnel with information security and privacy responsibilities system/network administrators organizational personnel with account management responsibilities' - id: ia-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-08-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities controls: - id: ia-8.1 class: SP800-53-enhancement title: Acceptance of PIV Credentials from Other Agencies props: - name: label value: IA-08(01) class: zero-padded - name: label value: IA-8(1) - name: label value: IA-08(01) class: sp800-53a - name: sort-id value: ia-08.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-8' rel: required - href: '#pe-3' rel: related parts: - id: ia-8.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Accept and electronically verify Personal Identity Verification-compliant credentials from other federal agencies. - id: ia-8.1_gdn name: guidance prose: Acceptance of Personal Identity Verification (PIV) credentials from other federal agencies applies to both logical and physical access control systems. PIV credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidelines. The adequacy and reliability of PIV card issuers are addressed and authorized using [SP 800-79-2](#10963761-58fc-4b20-b3d6-b44a54daba03). - id: ia-8.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-08(01) class: sp800-53a parts: - id: ia-8.1_obj-1 name: assessment-objective props: - name: label value: IA-08(01)[01] class: sp800-53a prose: Personal Identity Verification-compliant credentials from other federal agencies are accepted; links: - href: '#ia-8.1_smt' rel: assessment-for - id: ia-8.1_obj-2 name: assessment-objective props: - name: label value: IA-08(01)[02] class: sp800-53a prose: Personal Identity Verification-compliant credentials from other federal agencies are electronically verified. links: - href: '#ia-8.1_smt' rel: assessment-for links: - href: '#ia-8.1_smt' rel: assessment-for - id: ia-8.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-08(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy system security plan procedures addressing user identification and authentication system design documentation system configuration settings and associated documentation system audit records PIV verification records evidence of PIV credentials PIV credential authorizations other relevant documents or records' - id: ia-8.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-08(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system operations responsibilities organizational personnel with information security responsibilities system/network administrators system developers organizational personnel with account management responsibilities' - id: ia-8.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-08(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Mechanisms supporting and/or implementing identification and authentication capabilities mechanisms that accept and verify PIV credentials' - id: ia-8.2 class: SP800-53-enhancement title: Acceptance of External Authenticators props: - name: label value: IA-08(02) class: zero-padded - name: label value: IA-8(2) - name: label value: IA-08(02) class: sp800-53a - name: sort-id value: ia-08.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-8' rel: required parts: - id: ia-8.2_smt name: statement parts: - id: ia-8.2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: Accept only external authenticators that are NIST-compliant; and - id: ia-8.2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Document and maintain a list of accepted external authenticators. - id: ia-8.2_gdn name: guidance prose: Acceptance of only NIST-compliant external authenticators applies to organizational systems that are accessible to the public (e.g., public-facing websites). External authenticators are issued by nonfederal government entities and are compliant with [SP 800-63B](#e59c5a7c-8b1f-49ca-8de0-6ee0882180ce) . Approved external authenticators meet or exceed the minimum Federal Government-wide technical, security, privacy, and organizational maturity requirements. Meeting or exceeding Federal requirements allows Federal Government relying parties to trust external authenticators in connection with an authentication transaction at a specified authenticator assurance level. - id: ia-8.2_obj name: assessment-objective props: - name: label value: IA-08(02) class: sp800-53a parts: - id: ia-8.2_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-08(02)(a) class: sp800-53a prose: only external authenticators that are NIST-compliant are accepted; links: - href: '#ia-8.2_smt.a' rel: assessment-for - id: ia-8.2_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-08(02)(b) class: sp800-53a parts: - id: ia-8.2_obj.b-1 name: assessment-objective props: - name: label value: IA-08(02)(b)[01] class: sp800-53a prose: a list of accepted external authenticators is documented; links: - href: '#ia-8.2_smt.b' rel: assessment-for - id: ia-8.2_obj.b-2 name: assessment-objective props: - name: label value: IA-08(02)(b)[02] class: sp800-53a prose: a list of accepted external authenticators is maintained. links: - href: '#ia-8.2_smt.b' rel: assessment-for links: - href: '#ia-8.2_smt.b' rel: assessment-for links: - href: '#ia-8.2_smt' rel: assessment-for - id: ia-8.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-08(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy system security plan procedures addressing user identification and authentication system design documentation system configuration settings and associated documentation system audit records list of third-party credentialing products, components, or services procured and implemented by organization third-party credential verification records evidence of third-party credentials third-party credential authorizations other relevant documents or records' - id: ia-8.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-08(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system operations responsibilities organizational personnel with information security responsibilities system/network administrators system developers organizational personnel with account management responsibilities' - id: ia-8.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-08(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Mechanisms supporting and/or implementing identification and authentication capabilities mechanisms that accept external credentials' - id: ia-8.4 class: SP800-53-enhancement title: Use of Defined Profiles params: - id: ia-08.04_odp props: - name: alt-identifier value: ia-8.4_prm_1 - name: label value: IA-08(04)_ODP class: sp800-53a label: identity management profiles guidelines: - prose: identity management profiles are defined; props: - name: label value: IA-08(04) class: zero-padded - name: label value: IA-8(4) - name: label value: IA-08(04) class: sp800-53a - name: sort-id value: ia-08.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-8' rel: required parts: - id: ia-8.4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Conform to the following profiles for identity management {{ insert: param, ia-08.04_odp }}.' - id: ia-8.4_gdn name: guidance prose: Organizations define profiles for identity management based on open identity management standards. To ensure that open identity management standards are viable, robust, reliable, sustainable, and interoperable as documented, the Federal Government assesses and scopes the standards and technology implementations against applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. - id: ia-8.4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-08(04) class: sp800-53a prose: 'there is conformance with {{ insert: param, ia-08.04_odp }} for identity management.' links: - href: '#ia-8.4_smt' rel: assessment-for - id: ia-8.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-08(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy system security plan system design documentation system configuration settings and associated documentation system audit records other relevant documents or records' - id: ia-8.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-08(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system operations responsibilities organizational personnel with information security responsibilities system/network administrators system developers organizational personnel with account management responsibilities' - id: ia-8.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-08(04)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Mechanisms supporting and/or implementing identification and authentication capabilities mechanisms supporting and/or implementing conformance with profiles' - id: ia-11 class: SP800-53 title: Re-authentication params: - id: ia-11_odp props: - name: alt-identifier value: ia-11_prm_1 - name: alt-label value: circumstances or situations requiring re-authentication class: sp800-53 - name: label value: IA-11_ODP class: sp800-53a label: circumstances or situations guidelines: - prose: circumstances or situations requiring re-authentication are defined; props: - name: label value: IA-11 class: zero-padded - name: label value: IA-11 - name: label value: IA-11 class: sp800-53a - name: sort-id value: ia-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-3' rel: related - href: '#ac-11' rel: related - href: '#ia-2' rel: related - href: '#ia-3' rel: related - href: '#ia-4' rel: related - href: '#ia-8' rel: related parts: - id: ia-11_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Require users to re-authenticate when {{ insert: param, ia-11_odp }}.' - id: ia-11_gdn name: guidance prose: In addition to the re-authentication requirements associated with device locks, organizations may require re-authentication of individuals in certain situations, including when roles, authenticators or credentials change, when security categories of systems change, when the execution of privileged functions occurs, after a fixed time period, or periodically. - id: ia-11_fr name: item ns: http://fedramp.gov/ns/oscal title: IA-11 Additional FedRAMP Requirements and Guidance parts: - id: ia-11_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: "The fixed time period cannot exceed the limits set in SP 800-63. At this writing they are:\n\n- AAL3 (high\ \ baseline)\n - 12 hours or\n - 15 minutes of inactivity" - id: ia-11_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-11 class: sp800-53a prose: 'users are required to re-authenticate when {{ insert: param, ia-11_odp }}.' links: - href: '#ia-11_smt' rel: assessment-for - id: ia-11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-11-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy procedures addressing user and device re-authentication system security plan system design documentation system configuration settings and associated documentation list of circumstances or situations requiring re-authentication system audit records other relevant documents or records' - id: ia-11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-11-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system operations responsibilities organizational personnel with information security responsibilities system/network administrators system developers organizational personnel with identification and authentication responsibilities' - id: ia-11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-11-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities - id: ia-12 class: SP800-53 title: Identity Proofing props: - name: label value: IA-12 class: zero-padded - name: label value: IA-12 - name: label value: IA-12 class: sp800-53a - name: sort-id value: ia-12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#9099ed2c-922a-493d-bcb4-d896192243ff' rel: reference - href: '#10963761-58fc-4b20-b3d6-b44a54daba03' rel: reference - href: '#ac-5' rel: related - href: '#ia-1' rel: related - href: '#ia-2' rel: related - href: '#ia-3' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: '#ia-6' rel: related - href: '#ia-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-13 rel: related parts: - id: ia-12_smt name: statement parts: - id: ia-12_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Identity proof users that require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines; - id: ia-12_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Resolve user identities to a unique individual; and - id: ia-12_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Collect, validate, and verify identity evidence. - id: ia-12_gdn name: guidance prose: Identity proofing is the process of collecting, validating, and verifying a user’s identity information for the purposes of establishing credentials for accessing a system. Identity proofing is intended to mitigate threats to the registration of users and the establishment of their accounts. Standards and guidelines specifying identity assurance levels for identity proofing include [SP 800-63-3](#737513fa-6758-403f-831d-5ddab5e23cb3) and [SP 800-63A](#9099ed2c-922a-493d-bcb4-d896192243ff) . Organizations may be subject to laws, executive orders, directives, regulations, or policies that address the collection of identity evidence. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements. - id: ia-12_fr name: item ns: http://fedramp.gov/ns/oscal title: IA-12 Additional FedRAMP Requirements and Guidance parts: - id: ia-12_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: In accordance with NIST SP 800-63A Enrollment and Identity Proofing - id: ia-12_obj name: assessment-objective props: - name: label value: IA-12 class: sp800-53a parts: - id: ia-12_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-12a. class: sp800-53a prose: users who require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines are identity proofed; links: - href: '#ia-12_smt.a' rel: assessment-for - id: ia-12_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-12b. class: sp800-53a prose: user identities are resolved to a unique individual; links: - href: '#ia-12_smt.b' rel: assessment-for - id: ia-12_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-12c. class: sp800-53a parts: - id: ia-12_obj.c-1 name: assessment-objective props: - name: label value: IA-12c.[01] class: sp800-53a prose: identity evidence is collected; links: - href: '#ia-12_smt.c' rel: assessment-for - id: ia-12_obj.c-2 name: assessment-objective props: - name: label value: IA-12c.[02] class: sp800-53a prose: identity evidence is validated; links: - href: '#ia-12_smt.c' rel: assessment-for - id: ia-12_obj.c-3 name: assessment-objective props: - name: label value: IA-12c.[03] class: sp800-53a prose: identity evidence is verified. links: - href: '#ia-12_smt.c' rel: assessment-for links: - href: '#ia-12_smt.c' rel: assessment-for links: - href: '#ia-12_smt' rel: assessment-for - id: ia-12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-12-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy procedures addressing identity proofing system security plan privacy plan other relevant documents or records' - id: ia-12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-12-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system operations responsibilities organizational personnel with information security and privacy responsibilities legal counsel system/network administrators system developers organizational personnel with identification and authentication responsibilities' - id: ia-12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-12-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities controls: - id: ia-12.2 class: SP800-53-enhancement title: Identity Evidence props: - name: label value: IA-12(02) class: zero-padded - name: label value: IA-12(2) - name: label value: IA-12(02) class: sp800-53a - name: sort-id value: ia-12.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-12' rel: required parts: - id: ia-12.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Require evidence of individual identification be presented to the registration authority. - id: ia-12.2_gdn name: guidance prose: Identity evidence, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity or at least increases the work factor of potential adversaries. The forms of acceptable evidence are consistent with the risks to the systems, roles, and privileges associated with the user’s account. - id: ia-12.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-12(02) class: sp800-53a prose: evidence of individual identification is presented to the registration authority. links: - href: '#ia-12.2_smt' rel: assessment-for - id: ia-12.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-12(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy procedures addressing identity proofing system security plan other relevant documents or records' - id: ia-12.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-12(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system operations responsibilities organizational personnel with information security responsibilities system/network administrators system developers organizational personnel with identification and authentication responsibilities' - id: ia-12.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-12(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities - id: ia-12.3 class: SP800-53-enhancement title: Identity Evidence Validation and Verification params: - id: ia-12.03_odp props: - name: alt-identifier value: ia-12.3_prm_1 - name: alt-label value: organizational defined methods of validation and verification class: sp800-53 - name: label value: IA-12(03)_ODP class: sp800-53a label: methods of validation and verification guidelines: - prose: methods of validation and verification of identity evidence are defined; props: - name: label value: IA-12(03) class: zero-padded - name: label value: IA-12(3) - name: label value: IA-12(03) class: sp800-53a - name: sort-id value: ia-12.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-12' rel: required parts: - id: ia-12.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Require that the presented identity evidence be validated and verified through {{ insert: param, ia-12.03_odp }}.' - id: ia-12.3_gdn name: guidance prose: Validation and verification of identity evidence increases the assurance that accounts and identifiers are being established for the correct user and authenticators are being bound to that user. Validation refers to the process of confirming that the evidence is genuine and authentic, and the data contained in the evidence is correct, current, and related to an individual. Verification confirms and establishes a linkage between the claimed identity and the actual existence of the user presenting the evidence. Acceptable methods for validating and verifying identity evidence are consistent with the risks to the systems, roles, and privileges associated with the users account. - id: ia-12.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-12(03) class: sp800-53a prose: 'the presented identity evidence is validated and verified through {{ insert: param, ia-12.03_odp }}.' links: - href: '#ia-12.3_smt' rel: assessment-for - id: ia-12.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-12(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy procedures addressing identity proofing system security plan other relevant documents or records' - id: ia-12.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-12(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system operations responsibilities organizational personnel with information security responsibilities system/network administrators system developers organizational personnel with identification and authentication responsibilities' - id: ia-12.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-12(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities - id: ia-12.4 class: SP800-53-enhancement title: In-person Validation and Verification props: - name: label value: IA-12(04) class: zero-padded - name: label value: IA-12(4) - name: label value: IA-12(04) class: sp800-53a - name: sort-id value: ia-12.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-12' rel: required parts: - id: ia-12.4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Require that the validation and verification of identity evidence be conducted in person before a designated registration authority. - id: ia-12.4_gdn name: guidance prose: In-person proofing reduces the likelihood of fraudulent credentials being issued because it requires the physical presence of individuals, the presentation of physical identity documents, and actual face-to-face interactions with designated registration authorities. - id: ia-12.4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-12(04) class: sp800-53a prose: the validation and verification of identity evidence is conducted in person before a designated registration authority. links: - href: '#ia-12.4_smt' rel: assessment-for - id: ia-12.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-12(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy procedures addressing identity proofing system security plan other relevant documents or records' - id: ia-12.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-12(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system operations responsibilities organizational personnel with information security responsibilities system/network administrators system developers organizational personnel with identification and authentication responsibilities' - id: ia-12.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-12(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities - id: ia-12.5 class: SP800-53-enhancement title: Address Confirmation params: - id: ia-12.05_odp props: - name: alt-identifier value: ia-12.5_prm_1 - name: label value: IA-12(05)_ODP class: sp800-53a select: choice: - registration code - notice of proofing props: - name: label value: IA-12(05) class: zero-padded - name: label value: IA-12(5) - name: label value: IA-12(05) class: sp800-53a - name: sort-id value: ia-12.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-12' rel: required - href: '#ia-12' rel: related parts: - id: ia-12.5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Require that a {{ insert: param, ia-12.05_odp }} be delivered through an out-of-band channel to verify the users address (physical or digital) of record.' - id: ia-12.5_gdn name: guidance prose: To make it more difficult for adversaries to pose as legitimate users during the identity proofing process, organizations can use out-of-band methods to ensure that the individual associated with an address of record is the same individual that participated in the registration. Confirmation can take the form of a temporary enrollment code or a notice of proofing. The delivery address for these artifacts is obtained from records and not self-asserted by the user. The address can include a physical or digital address. A home address is an example of a physical address. Email addresses and telephone numbers are examples of digital addresses. - id: ia-12.5_fr name: item ns: http://fedramp.gov/ns/oscal title: IA-12 (5) Additional FedRAMP Requirements and Guidance parts: - id: ia-12.5_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: In accordance with NIST SP 800-63A Enrollment and Identity Proofing - id: ia-12.5_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IA-12(05) class: sp800-53a prose: 'a {{ insert: param, ia-12.05_odp }} is delivered through an out-of-band channel to verify the user’s address (physical or digital) of record.' links: - href: '#ia-12.5_smt' rel: assessment-for - id: ia-12.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-12(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Identification and authentication policy procedures addressing identity proofing system security plan other relevant documents or records' - id: ia-12.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-12(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system operations responsibilities organizational personnel with information security responsibilities system/network administrators system developers organizational personnel with identification and authentication responsibilities' - id: ia-12.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-12(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities - id: ir class: family title: Incident Response controls: - id: ir-1 class: SP800-53 title: Policy and Procedures params: - id: ir-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ir-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ir-01_odp.02 label: organization-defined personnel or roles - id: ir-01_odp.01 props: - name: label value: IR-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the incident response policy is to be disseminated is/are defined; - id: ir-01_odp.02 props: - name: label value: IR-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the incident response procedures are to be disseminated is/are defined; - id: ir-01_odp.03 props: - name: alt-identifier value: ir-1_prm_2 - name: label value: IR-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: ir-01_odp.04 props: - name: alt-identifier value: ir-1_prm_3 - name: label value: IR-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the incident response policy and procedures is defined; - id: ir-01_odp.05 props: - name: alt-identifier value: ir-1_prm_4 - name: label value: IR-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current incident response policy is reviewed and updated is defined; - id: ir-01_odp.06 props: - name: alt-identifier value: ir-1_prm_5 - name: label value: IR-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current incident response policy to be reviewed and updated are defined; - id: ir-01_odp.07 props: - name: alt-identifier value: ir-1_prm_6 - name: label value: IR-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current incident response procedures are reviewed and updated is defined; - id: ir-01_odp.08 props: - name: alt-identifier value: ir-1_prm_7 - name: label value: IR-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that would require the incident response procedures to be reviewed and updated are defined; props: - name: label value: IR-01 class: zero-padded - name: label value: IR-1 - name: label value: IR-01 class: sp800-53a - name: sort-id value: ir-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#511f6832-23ca-49a3-8c0f-ce493373cab8' rel: reference - href: '#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb' rel: reference - href: '#3dd249b0-f57d-44ba-a03e-c3eab1b835ff' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ps-8' rel: related - href: '#si-12' rel: related parts: - id: ir-1_smt name: statement parts: - id: ir-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses Incident Response MUST be associated with IR-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses Incident Response MUST be associated with IR-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, ir-1_prm_1 }}:' parts: - id: ir-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, ir-01_odp.03 }} incident response policy that:' parts: - id: ir-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: ir-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: ir-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the incident response policy and the associated incident response controls; - id: ir-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, ir-01_odp.04 }} to manage the development, documentation, and dissemination of the incident response policy and procedures; and' - id: ir-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current incident response:' parts: - id: ir-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, ir-01_odp.05 }} and following {{ insert: param, ir-01_odp.06 }} ; and' - id: ir-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, ir-01_odp.07 }} and following {{ insert: param, ir-01_odp.08 }}.' - id: ir-1_gdn name: guidance prose: Incident response policy and procedures address the controls in the IR family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of incident response policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to incident response policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: ir-1_obj name: assessment-objective props: - name: label value: IR-01 class: sp800-53a parts: - id: ir-1_obj.a name: assessment-objective props: - name: label value: IR-01a. class: sp800-53a parts: - id: ir-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-01a.[01] class: sp800-53a prose: an incident response policy is developed and documented; links: - href: '#ir-1_smt.a' rel: assessment-for - id: ir-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-01a.[02] class: sp800-53a prose: 'the incident response policy is disseminated to {{ insert: param, ir-01_odp.01 }};' links: - href: '#ir-1_smt.a' rel: assessment-for - id: ir-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IR-01a.[03] class: sp800-53a prose: incident response procedures to facilitate the implementation of the incident response policy and associated incident response controls are developed and documented; links: - href: '#ir-1_smt.a' rel: assessment-for - id: ir-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IR-01a.[04] class: sp800-53a prose: 'the incident response procedures are disseminated to {{ insert: param, ir-01_odp.02 }};' links: - href: '#ir-1_smt.a' rel: assessment-for - id: ir-1_obj.a.1 name: assessment-objective props: - name: label value: IR-01a.01 class: sp800-53a parts: - id: ir-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IR-01a.01(a) class: sp800-53a parts: - id: ir-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: IR-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, ir-01_odp.03 }} incident response policy addresses purpose;' links: - href: '#ir-1_smt.a.1.a' rel: assessment-for - id: ir-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: IR-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, ir-01_odp.03 }} incident response policy addresses scope;' links: - href: '#ir-1_smt.a.1.a' rel: assessment-for - id: ir-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: IR-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, ir-01_odp.03 }} incident response policy addresses roles;' links: - href: '#ir-1_smt.a.1.a' rel: assessment-for - id: ir-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: IR-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, ir-01_odp.03 }} incident response policy addresses responsibilities;' links: - href: '#ir-1_smt.a.1.a' rel: assessment-for - id: ir-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: IR-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, ir-01_odp.03 }} incident response policy addresses management commitment;' links: - href: '#ir-1_smt.a.1.a' rel: assessment-for - id: ir-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: IR-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, ir-01_odp.03 }} incident response policy addresses coordination among organizational entities;' links: - href: '#ir-1_smt.a.1.a' rel: assessment-for - id: ir-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: IR-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, ir-01_odp.03 }} incident response policy addresses compliance;' links: - href: '#ir-1_smt.a.1.a' rel: assessment-for links: - href: '#ir-1_smt.a.1.a' rel: assessment-for - id: ir-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IR-01a.01(b) class: sp800-53a prose: 'the {{ insert: param, ir-01_odp.03 }} incident response policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;' links: - href: '#ir-1_smt.a.1.b' rel: assessment-for links: - href: '#ir-1_smt.a.1' rel: assessment-for links: - href: '#ir-1_smt.a' rel: assessment-for - id: ir-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-01b. class: sp800-53a prose: 'the {{ insert: param, ir-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the incident response policy and procedures;' links: - href: '#ir-1_smt.b' rel: assessment-for - id: ir-1_obj.c name: assessment-objective props: - name: label value: IR-01c. class: sp800-53a parts: - id: ir-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-01c.01 class: sp800-53a parts: - id: ir-1_obj.c.1-1 name: assessment-objective props: - name: label value: IR-01c.01[01] class: sp800-53a prose: 'the current incident response policy is reviewed and updated {{ insert: param, ir-01_odp.05 }};' links: - href: '#ir-1_smt.c.1' rel: assessment-for - id: ir-1_obj.c.1-2 name: assessment-objective props: - name: label value: IR-01c.01[02] class: sp800-53a prose: 'the current incident response policy is reviewed and updated following {{ insert: param, ir-01_odp.06 }};' links: - href: '#ir-1_smt.c.1' rel: assessment-for links: - href: '#ir-1_smt.c.1' rel: assessment-for - id: ir-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-01c.02 class: sp800-53a parts: - id: ir-1_obj.c.2-1 name: assessment-objective props: - name: label value: IR-01c.02[01] class: sp800-53a prose: 'the current incident response procedures are reviewed and updated {{ insert: param, ir-01_odp.07 }};' links: - href: '#ir-1_smt.c.2' rel: assessment-for - id: ir-1_obj.c.2-2 name: assessment-objective props: - name: label value: IR-01c.02[02] class: sp800-53a prose: 'the current incident response procedures are reviewed and updated following {{ insert: param, ir-01_odp.08 }}.' links: - href: '#ir-1_smt.c.2' rel: assessment-for links: - href: '#ir-1_smt.c.2' rel: assessment-for links: - href: '#ir-1_smt.c' rel: assessment-for links: - href: '#ir-1_smt' rel: assessment-for - id: ir-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy and procedures system security plan privacy plan other relevant documents or records' - id: ir-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident response responsibilities organizational personnel with information security and privacy responsibilities' - id: ir-2 class: SP800-53 title: Incident Response Training params: - id: ir-02_odp.01 props: - name: alt-identifier value: ir-2_prm_1 - name: label value: IR-02_ODP[01] class: sp800-53a label: time period constraints: - description: ten (10) days for privileged users, thirty (30) days for Incident Response roles guidelines: - prose: a time period within which incident response training is to be provided to system users assuming an incident response role or responsibility is defined; - id: ir-02_odp.02 props: - name: alt-identifier value: ir-2_prm_2 - name: label value: IR-02_ODP[02] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: frequency at which to provide incident response training to users is defined; - id: ir-02_odp.03 props: - name: alt-identifier value: ir-2_prm_3 - name: label value: IR-02_ODP[03] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: frequency at which to review and update incident response training content is defined; - id: ir-02_odp.04 props: - name: alt-identifier value: ir-2_prm_4 - name: label value: IR-02_ODP[04] class: sp800-53a label: events guidelines: - prose: events that initiate a review of the incident response training content are defined; props: - name: label value: IR-02 class: zero-padded - name: label value: IR-2 - name: label value: IR-02 class: sp800-53a - name: sort-id value: ir-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#5f4705ac-8d17-438c-b23a-ac7f12362ae4' rel: reference - href: '#511f6832-23ca-49a3-8c0f-ce493373cab8' rel: reference - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#at-4' rel: related - href: '#cp-3' rel: related - href: '#ir-3' rel: related - href: '#ir-4' rel: related - href: '#ir-8' rel: related - href: '#ir-9' rel: related parts: - id: ir-2_smt name: statement parts: - id: ir-2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Provide incident response training to system users consistent with assigned roles and responsibilities:' parts: - id: ir-2_smt.a.1 name: item props: - name: label value: '1.' prose: 'Within {{ insert: param, ir-02_odp.01 }} of assuming an incident response role or responsibility or acquiring system access;' - id: ir-2_smt.a.2 name: item props: - name: label value: '2.' prose: When required by system changes; and - id: ir-2_smt.a.3 name: item props: - name: label value: '3.' prose: '{{ insert: param, ir-02_odp.02 }} thereafter; and' - id: ir-2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Review and update incident response training content {{ insert: param, ir-02_odp.03 }} and following {{ insert: param, ir-02_odp.04 }}.' - id: ir-2_gdn name: guidance prose: Incident response training is associated with the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail are included in such training. For example, users may only need to know who to call or how to recognize an incident; system administrators may require additional training on how to handle incidents; and incident responders may receive more specific training on forensics, data collection techniques, reporting, system recovery, and system restoration. Incident response training includes user training in identifying and reporting suspicious activities from external and internal sources. Incident response training for users may be provided as part of [AT-2](#at-2) or [AT-3](#at-3) . Events that may precipitate an update to incident response training content include, but are not limited to, incident response plan testing or response to an actual incident (lessons learned), assessment or audit findings, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. - id: ir-2_obj name: assessment-objective props: - name: label value: IR-02 class: sp800-53a parts: - id: ir-2_obj.a name: assessment-objective props: - name: label value: IR-02a. class: sp800-53a parts: - id: ir-2_obj.a.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-02a.01 class: sp800-53a prose: 'incident response training is provided to system users consistent with assigned roles and responsibilities within {{ insert: param, ir-02_odp.01 }} of assuming an incident response role or responsibility or acquiring system access;' links: - href: '#ir-2_smt.a.1' rel: assessment-for - id: ir-2_obj.a.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-02a.02 class: sp800-53a prose: incident response training is provided to system users consistent with assigned roles and responsibilities when required by system changes; links: - href: '#ir-2_smt.a.2' rel: assessment-for - id: ir-2_obj.a.3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-02a.03 class: sp800-53a prose: 'incident response training is provided to system users consistent with assigned roles and responsibilities {{ insert: param, ir-02_odp.02 }} thereafter;' links: - href: '#ir-2_smt.a.3' rel: assessment-for links: - href: '#ir-2_smt.a' rel: assessment-for - id: ir-2_obj.b name: assessment-objective props: - name: label value: IR-02b. class: sp800-53a parts: - id: ir-2_obj.b-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-02b.[01] class: sp800-53a prose: 'incident response training content is reviewed and updated {{ insert: param, ir-02_odp.03 }};' links: - href: '#ir-2_smt.b' rel: assessment-for - id: ir-2_obj.b-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-02b.[02] class: sp800-53a prose: 'incident response training content is reviewed and updated following {{ insert: param, ir-02_odp.04 }}.' links: - href: '#ir-2_smt.b' rel: assessment-for links: - href: '#ir-2_smt.b' rel: assessment-for links: - href: '#ir-2_smt' rel: assessment-for - id: ir-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing incident response training incident response training curriculum incident response training materials privacy plan incident response plan incident response training records system security plan privacy plan other relevant documents or records' - id: ir-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident response training and operational responsibilities organizational personnel with information security and privacy responsibilities' controls: - id: ir-2.1 class: SP800-53-enhancement title: Simulated Events props: - name: label value: IR-02(01) class: zero-padded - name: label value: IR-2(1) - name: label value: IR-02(01) class: sp800-53a - name: sort-id value: ir-02.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ir-2' rel: required parts: - id: ir-2.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Incorporate simulated events into incident response training to facilitate the required response by personnel in crisis situations. - id: ir-2.1_gdn name: guidance prose: Organizations establish requirements for responding to incidents in incident response plans. Incorporating simulated events into incident response training helps to ensure that personnel understand their individual responsibilities and what specific actions to take in crisis situations. - id: ir-2.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-02(01) class: sp800-53a prose: simulated events are incorporated into incident response training to facilitate the required response by personnel in crisis situations. links: - href: '#ir-2.1_smt' rel: assessment-for - id: ir-2.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-02(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing incident response training incident response training curriculum incident response training materials incident response plan system security plan privacy plan other relevant documents or records' - id: ir-2.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-02(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident response training and operational responsibilities organizational personnel with information security and privacy responsibilities' - id: ir-2.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-02(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms that support and/or implement simulated events for incident response training - id: ir-2.2 class: SP800-53-enhancement title: Automated Training Environments params: - id: ir-02.02_odp props: - name: alt-identifier value: ir-2.2_prm_1 - name: label value: IR-02(02)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used in an incident response training environment are defined; props: - name: label value: IR-02(02) class: zero-padded - name: label value: IR-2(2) - name: label value: IR-02(02) class: sp800-53a - name: sort-id value: ir-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ir-2' rel: required parts: - id: ir-2.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Provide an incident response training environment using {{ insert: param, ir-02.02_odp }}.' - id: ir-2.2_gdn name: guidance prose: Automated mechanisms can provide a more thorough and realistic incident response training environment. This can be accomplished, for example, by providing more complete coverage of incident response issues, selecting more realistic training scenarios and environments, and stressing the response capability. - id: ir-2.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-02(02) class: sp800-53a prose: 'an incident response training environment is provided using {{ insert: param, ir-02.02_odp }}.' links: - href: '#ir-2.2_smt' rel: assessment-for - id: ir-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing incident response training incident response training curriculum incident response training materials automated mechanisms supporting incident response training incident response plan system security plan privacy plan other relevant documents or records' - id: ir-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident response training and operational responsibilities organizational personnel with information security and privacy responsibilities' - id: ir-2.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-02(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms that provide a thorough and realistic incident response training environment - id: ir-3 class: SP800-53 title: Incident Response Testing params: - id: ir-03_odp.01 props: - name: alt-identifier value: ir-3_prm_1 - name: label value: IR-03_ODP[01] class: sp800-53a label: frequency constraints: - description: at least every six (6) months, including functional at least annually guidelines: - prose: frequency at which to test the effectiveness of the incident response capability for the system is defined; - id: ir-03_odp.02 props: - name: alt-identifier value: ir-3_prm_2 - name: label value: IR-03_ODP[02] class: sp800-53a label: tests guidelines: - prose: tests used to test the effectiveness of the incident response capability for the system are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: IR-03 class: zero-padded - name: label value: IR-3 - name: label value: IR-03 class: sp800-53a - name: sort-id value: ir-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#53be2fcf-cfd1-4bcb-896b-9a3b65c22098' rel: reference - href: '#122177fa-c4ed-485d-8345-3082c0fb9a06' rel: reference - href: '#cp-3' rel: related - href: '#cp-4' rel: related - href: '#ir-2' rel: related - href: '#ir-4' rel: related - href: '#ir-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-14 rel: related parts: - id: ir-3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Test the effectiveness of the incident response capability for the system {{ insert: param, ir-03_odp.01 }} using the following tests: {{ insert: param, ir-03_odp.02 }}.' - id: ir-3_gdn name: guidance prose: Organizations test incident response capabilities to determine their effectiveness and identify potential weaknesses or deficiencies. Incident response testing includes the use of checklists, walk-through or tabletop exercises, and simulations (parallel or full interrupt). Incident response testing can include a determination of the effects on organizational operations and assets and individuals due to incident response. The use of qualitative and quantitative data aids in determining the effectiveness of incident response processes. - id: ir-3_fr name: item ns: http://fedramp.gov/ns/oscal title: IR-3-2 Additional FedRAMP Requirements and Guidance parts: - id: ir-3_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: The service provider defines tests and/or exercises in accordance with NIST Special Publication 800-61 (as amended). Functional testing must occur prior to testing for initial authorization. Annual functional testing may be concurrent with required penetration tests (see CA-8). The service provider provides test plans to the AO annually. Test plans are approved and accepted by the AO prior to test commencing. - id: ir-3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-03 class: sp800-53a prose: 'the effectiveness of the incident response capability for the system is tested {{ insert: param, ir-03_odp.01 }} using {{ insert: param, ir-03_odp.02 }}.' links: - href: '#ir-3_smt' rel: assessment-for - id: ir-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-03-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy contingency planning policy procedures addressing incident response testing procedures addressing contingency plan testing incident response testing material incident response test results incident response test plan incident response plan contingency plan system security plan privacy plan other relevant documents or records' - id: ir-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-03-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident response testing responsibilities organizational personnel with information security and privacy responsibilities' controls: - id: ir-3.2 class: SP800-53-enhancement title: Coordination with Related Plans props: - name: label value: IR-03(02) class: zero-padded - name: label value: IR-3(2) - name: label value: IR-03(02) class: sp800-53a - name: sort-id value: ir-03.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ir-3' rel: required parts: - id: ir-3.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Coordinate incident response testing with organizational elements responsible for related plans. - id: ir-3.2_gdn name: guidance prose: Organizational plans related to incident response testing include business continuity plans, disaster recovery plans, continuity of operations plans, contingency plans, crisis communications plans, critical infrastructure plans, and occupant emergency plans. - id: ir-3.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-03(02) class: sp800-53a prose: incident response testing is coordinated with organizational elements responsible for related plans. links: - href: '#ir-3.2_smt' rel: assessment-for - id: ir-3.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-03(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy contingency planning policy procedures addressing incident response testing incident response testing documentation incident response plan business continuity plans contingency plans disaster recovery plans continuity of operations plans crisis communications plans critical infrastructure plans occupant emergency plans system security plan privacy plan other relevant documents or records' - id: ir-3.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-03(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident response testing responsibilities organizational personnel with responsibilities for testing organizational plans related to incident response testing organizational personnel with information security and privacy responsibilities' - id: ir-4 class: SP800-53 title: Incident Handling props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: IR-04 class: zero-padded - name: label value: IR-4 - name: label value: IR-04 class: sp800-53a - name: sort-id value: ir-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#4ff10ed3-d8fe-4246-99e3-443045e27482' rel: reference - href: '#0f963c17-ab5a-432a-a867-91eac550309b' rel: reference - href: '#5f4705ac-8d17-438c-b23a-ac7f12362ae4' rel: reference - href: '#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb' rel: reference - href: '#cfdb1858-c473-46b3-89f9-a700308d0be2' rel: reference - href: '#10cf2fad-a216-41f9-bb1a-531b7e3119e3' rel: reference - href: '#9ef4b43c-42a4-4316-87dc-ffaf528bc05c' rel: reference - href: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference - href: '#31ae65ab-3f26-46b7-9d64-f25a4dac5778' rel: reference - href: '#2be7b163-e50a-435c-8906-f1162f2a457a' rel: reference - href: '#ac-19' rel: related - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#cm-6' rel: related - href: '#cp-2' rel: related - href: '#cp-3' rel: related - href: '#cp-4' rel: related - href: '#ir-2' rel: related - href: '#ir-3' rel: related - href: '#ir-5' rel: related - href: '#ir-6' rel: related - href: '#ir-8' rel: related - href: '#pe-6' rel: related - href: '#pl-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-12 rel: related - href: '#sa-8' rel: related - href: '#sc-5' rel: related - href: '#sc-7' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related parts: - id: ir-4_smt name: statement parts: - id: ir-4_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Implement an incident handling capability for incidents that is consistent with the incident response plan and includes preparation, detection and analysis, containment, eradication, and recovery; - id: ir-4_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Coordinate incident handling activities with contingency planning activities; - id: ir-4_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Incorporate lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implement the resulting changes accordingly; and - id: ir-4_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Ensure the rigor, intensity, scope, and results of incident handling activities are comparable and predictable across the organization. - id: ir-4_gdn name: guidance prose: Organizations recognize that incident response capabilities are dependent on the capabilities of organizational systems and the mission and business processes being supported by those systems. Organizations consider incident response as part of the definition, design, and development of mission and business processes and systems. Incident-related information can be obtained from a variety of sources, including audit monitoring, physical access monitoring, and network monitoring; user or administrator reports; and reported supply chain events. An effective incident handling capability includes coordination among many organizational entities (e.g., mission or business owners, system owners, authorizing officials, human resources offices, physical security offices, personnel security offices, legal departments, risk executive \[function\], operations personnel, procurement offices). Suspected security incidents include the receipt of suspicious email communications that can contain malicious code. Suspected supply chain incidents include the insertion of counterfeit hardware or malicious code into organizational systems or system components. For federal agencies, an incident that involves personally identifiable information is considered a breach. A breach results in unauthorized disclosure, the loss of control, unauthorized acquisition, compromise, or a similar occurrence where a person other than an authorized user accesses or potentially accesses personally identifiable information or an authorized user accesses or potentially accesses such information for other than authorized purposes. - id: ir-4_fr name: item ns: http://fedramp.gov/ns/oscal title: IR-4 Additional FedRAMP Requirements and Guidance parts: - id: ir-4_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: 'The FISMA definition of "incident" shall be used: "An occurrence that actually or imminently jeopardizes, without lawful authority, the confidentiality, integrity, or availability of information or an information system; or constitutes a violation or imminent threat of violation of law, security policies, security procedures, or acceptable use policies."' - id: ir-4_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system. - id: ir-4_obj name: assessment-objective props: - name: label value: IR-04 class: sp800-53a parts: - id: ir-4_obj.a name: assessment-objective props: - name: label value: IR-04a. class: sp800-53a parts: - id: ir-4_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-04a.[01] class: sp800-53a prose: an incident handling capability for incidents is implemented that is consistent with the incident response plan; links: - href: '#ir-4_smt.a' rel: assessment-for - id: ir-4_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-04a.[02] class: sp800-53a prose: the incident handling capability for incidents includes preparation; links: - href: '#ir-4_smt.a' rel: assessment-for - id: ir-4_obj.a-3 name: assessment-objective props: - name: label value: IR-04a.[03] class: sp800-53a prose: the incident handling capability for incidents includes detection and analysis; links: - href: '#ir-4_smt.a' rel: assessment-for - id: ir-4_obj.a-4 name: assessment-objective props: - name: label value: IR-04a.[04] class: sp800-53a prose: the incident handling capability for incidents includes containment; links: - href: '#ir-4_smt.a' rel: assessment-for - id: ir-4_obj.a-5 name: assessment-objective props: - name: label value: IR-04a.[05] class: sp800-53a prose: the incident handling capability for incidents includes eradication; links: - href: '#ir-4_smt.a' rel: assessment-for - id: ir-4_obj.a-6 name: assessment-objective props: - name: label value: IR-04a.[06] class: sp800-53a prose: the incident handling capability for incidents includes recovery; links: - href: '#ir-4_smt.a' rel: assessment-for links: - href: '#ir-4_smt.a' rel: assessment-for - id: ir-4_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-04b. class: sp800-53a prose: incident handling activities are coordinated with contingency planning activities; links: - href: '#ir-4_smt.b' rel: assessment-for - id: ir-4_obj.c name: assessment-objective props: - name: label value: IR-04c. class: sp800-53a parts: - id: ir-4_obj.c-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-04c.[01] class: sp800-53a prose: lessons learned from ongoing incident handling activities are incorporated into incident response procedures, training, and testing; links: - href: '#ir-4_smt.c' rel: assessment-for - id: ir-4_obj.c-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-04c.[02] class: sp800-53a prose: the changes resulting from the incorporated lessons learned are implemented accordingly; links: - href: '#ir-4_smt.c' rel: assessment-for links: - href: '#ir-4_smt.c' rel: assessment-for - id: ir-4_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-04d. class: sp800-53a parts: - id: ir-4_obj.d-1 name: assessment-objective props: - name: label value: IR-04d.[01] class: sp800-53a prose: the rigor of incident handling activities is comparable and predictable across the organization; links: - href: '#ir-4_smt.d' rel: assessment-for - id: ir-4_obj.d-2 name: assessment-objective props: - name: label value: IR-04d.[02] class: sp800-53a prose: the intensity of incident handling activities is comparable and predictable across the organization; links: - href: '#ir-4_smt.d' rel: assessment-for - id: ir-4_obj.d-3 name: assessment-objective props: - name: label value: IR-04d.[03] class: sp800-53a prose: the scope of incident handling activities is comparable and predictable across the organization; links: - href: '#ir-4_smt.d' rel: assessment-for - id: ir-4_obj.d-4 name: assessment-objective props: - name: label value: IR-04d.[04] class: sp800-53a prose: the results of incident handling activities are comparable and predictable across the organization. links: - href: '#ir-4_smt.d' rel: assessment-for links: - href: '#ir-4_smt.d' rel: assessment-for links: - href: '#ir-4_smt' rel: assessment-for - id: ir-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy contingency planning policy procedures addressing incident handling incident response plan contingency plan system security plan privacy plan other relevant documents or records' - id: ir-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident handling responsibilities organizational personnel with contingency planning responsibilities organizational personnel with information security and privacy responsibilities' - id: ir-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04-Test class: sp800-53a parts: - name: assessment-objects prose: Incident handling capability for the organization controls: - id: ir-4.1 class: SP800-53-enhancement title: Automated Incident Handling Processes params: - id: ir-04.01_odp props: - name: alt-identifier value: ir-4.1_prm_1 - name: label value: IR-04(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to support the incident handling process are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: IR-04(01) class: zero-padded - name: label value: IR-4(1) - name: label value: IR-04(01) class: sp800-53a - name: sort-id value: ir-04.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required parts: - id: ir-4.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Support the incident handling process using {{ insert: param, ir-04.01_odp }}.' - id: ir-4.1_gdn name: guidance prose: Automated mechanisms that support incident handling processes include online incident management systems and tools that support the collection of live response data, full network packet capture, and forensic analysis. - id: ir-4.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-04(01) class: sp800-53a prose: 'the incident handling process is supported using {{ insert: param, ir-04.01_odp }}.' links: - href: '#ir-4.1_smt' rel: assessment-for - id: ir-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing incident handling automated mechanisms supporting incident handling system design documentation system configuration settings and associated documentation system audit records incident response plan system security plan other relevant documents or records' - id: ir-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident handling responsibilities organizational personnel with information security responsibilities' - id: ir-4.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms that support and/or implement the incident handling process - id: ir-4.2 class: SP800-53-enhancement title: Dynamic Reconfiguration params: - id: ir-04.02_odp.01 props: - name: alt-identifier value: ir-4.2_prm_2 - name: label value: IR-04(02)_ODP[01] class: sp800-53a label: types of dynamic reconfiguration guidelines: - prose: types of dynamic reconfiguration for system components are defined; - id: ir-04.02_odp.02 props: - name: alt-identifier value: ir-4.2_prm_1 - name: label value: IR-04(02)_ODP[02] class: sp800-53a label: system components constraints: - description: all network, data storage, and computing devices guidelines: - prose: system components that require dynamic reconfiguration are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: IR-04(02) class: zero-padded - name: label value: IR-4(2) - name: label value: IR-04(02) class: sp800-53a - name: sort-id value: ir-04.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required - href: '#ac-2' rel: related - href: '#ac-4' rel: related - href: '#cm-2' rel: related parts: - id: ir-4.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Include the following types of dynamic reconfiguration for {{ insert: param, ir-04.02_odp.02 }} as part of the incident response capability: {{ insert: param, ir-04.02_odp.01 }}.' - id: ir-4.2_gdn name: guidance prose: Dynamic reconfiguration includes changes to router rules, access control lists, intrusion detection or prevention system parameters, and filter rules for guards or firewalls. Organizations may perform dynamic reconfiguration of systems to stop attacks, misdirect attackers, and isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include specific time frames for achieving the reconfiguration of systems in the definition of the reconfiguration capability, considering the potential need for rapid response to effectively address cyber threats. - id: ir-4.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-04(02) class: sp800-53a prose: '{{ insert: param, ir-04.02_odp.01 }} for {{ insert: param, ir-04.02_odp.02 }} are included as part of the incident response capability.' links: - href: '#ir-4.2_smt' rel: assessment-for - id: ir-4.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing incident handling mechanisms supporting incident handling list of system components to be dynamically reconfigured as part of incident response capability system design documentation system configuration settings and associated documentation system audit records incident response plan system security plan other relevant documents or records' - id: ir-4.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident handling responsibilities organizational personnel with information security responsibilities' - id: ir-4.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms that support and/or implement the dynamic reconfiguration of components as part of incident response - id: ir-4.4 class: SP800-53-enhancement title: Information Correlation props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: IR-04(04) class: zero-padded - name: label value: IR-4(4) - name: label value: IR-04(04) class: sp800-53a - name: sort-id value: ir-04.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required parts: - id: ir-4.4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Correlate incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response. - id: ir-4.4_gdn name: guidance prose: Sometimes, a threat event, such as a hostile cyber-attack, can only be observed by bringing together information from different sources, including various reports and reporting procedures established by organizations. - id: ir-4.4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-04(04) class: sp800-53a prose: incident information and individual incident responses are correlated to achieve an organization-wide perspective on incident awareness and response. links: - href: '#ir-4.4_smt' rel: assessment-for - id: ir-4.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing incident handling incident response plan privacy plan mechanisms supporting incident and event correlation system design documentation system configuration settings and associated documentation system security plan privacy plan incident management correlation logs event management correlation logs security information and event management logs incident management correlation reports event management correlation reports security information and event management reports audit records other relevant documents or records' - id: ir-4.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident handling responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with whom incident information and individual incident responses are to be correlated' - id: ir-4.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04(04)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for correlating incident information and individual incident responses mechanisms that support and or implement the correlation of incident response information with individual incident responses' - id: ir-4.6 class: SP800-53-enhancement title: Insider Threats props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: IR-04(06) class: zero-padded - name: label value: IR-4(6) - name: label value: IR-04(06) class: sp800-53a - name: sort-id value: ir-04.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required parts: - id: ir-4.6_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Implement an incident handling capability for incidents involving insider threats. - id: ir-4.6_gdn name: guidance prose: Explicit focus on handling incidents involving insider threats provides additional emphasis on this type of threat and the need for specific incident handling capabilities to provide appropriate and timely responses. - id: ir-4.6_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-04(06) class: sp800-53a prose: an incident handling capability is implemented for incidents involving insider threats. links: - href: '#ir-4.6_smt' rel: assessment-for - id: ir-4.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing incident handling mechanisms supporting incident handling system design documentation system configuration settings and associated documentation incident response plan system security plan audit records other relevant documents or records' - id: ir-4.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident handling responsibilities organizational personnel with information security responsibilities' - id: ir-4.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Incident handling capability for the organization - id: ir-4.11 class: SP800-53-enhancement title: Integrated Incident Response Team params: - id: ir-04.11_odp props: - name: alt-identifier value: ir-4.11_prm_1 - name: label value: IR-04(11)_ODP class: sp800-53a label: time period guidelines: - prose: the time period within which an integrated incident response team can be deployed is defined; props: - name: label value: IR-04(11) class: zero-padded - name: label value: IR-4(11) - name: label value: IR-04(11) class: sp800-53a - name: sort-id value: ir-04.11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required - href: '#at-3' rel: related parts: - id: ir-4.11_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Establish and maintain an integrated incident response team that can be deployed to any location identified by the organization in {{ insert: param, ir-04.11_odp }}.' - id: ir-4.11_gdn name: guidance prose: 'An integrated incident response team is a team of experts that assesses, documents, and responds to incidents so that organizational systems and networks can recover quickly and implement the necessary controls to avoid future incidents. Incident response team personnel include forensic and malicious code analysts, tool developers, systems security and privacy engineers, and real-time operations personnel. The incident handling capability includes performing rapid forensic preservation of evidence and analysis of and response to intrusions. For some organizations, the incident response team can be a cross-organizational entity. An integrated incident response team facilitates information sharing and allows organizational personnel (e.g., developers, implementers, and operators) to leverage team knowledge of the threat and implement defensive measures that enable organizations to deter intrusions more effectively. Moreover, integrated teams promote the rapid detection of intrusions, the development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing cyber intelligence development. Integrated incident response teams are better able to identify adversary tactics, techniques, and procedures that are linked to the operations tempo or specific mission and business functions and to define responsive actions in a way that does not disrupt those mission and business functions. Incident response teams can be distributed within organizations to make the capability resilient.' - id: ir-4.11_obj name: assessment-objective props: - name: label value: IR-04(11) class: sp800-53a parts: - id: ir-4.11_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-04(11)[01] class: sp800-53a prose: an integrated incident response team is established and maintained; links: - href: '#ir-4.11_smt' rel: assessment-for - id: ir-4.11_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-04(11)[02] class: sp800-53a prose: 'the integrated incident response team can be deployed to any location identified by the organization in {{ insert: param, ir-04.11_odp }}.' links: - href: '#ir-4.11_smt' rel: assessment-for links: - href: '#ir-4.11_smt' rel: assessment-for - id: ir-4.11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(11)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing incident handling procedures addressing incident response planning incident response plan system security plan privacy plan other relevant documents or records' - id: ir-4.11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(11)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident handling responsibilities organizational personnel with information security and privacy responsibilities members of the integrated incident response team' - id: ir-5 class: SP800-53 title: Incident Monitoring props: - name: label value: IR-05 class: zero-padded - name: label value: IR-5 - name: label value: IR-05 class: sp800-53a - name: sort-id value: ir-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb' rel: reference - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#ir-4' rel: related - href: '#ir-6' rel: related - href: '#ir-8' rel: related - href: '#pe-6' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-5 rel: related - href: '#sc-5' rel: related - href: '#sc-7' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related parts: - id: ir-5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Track and document incidents. - id: ir-5_gdn name: guidance prose: Documenting incidents includes maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics as well as evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources, including network monitoring, incident reports, incident response teams, user complaints, supply chain partners, audit monitoring, physical access monitoring, and user and administrator reports. [IR-4](#ir-4) provides information on the types of incidents that are appropriate for monitoring. - id: ir-5_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-05 class: sp800-53a parts: - id: ir-5_obj-1 name: assessment-objective props: - name: label value: IR-05[01] class: sp800-53a prose: incidents are tracked; links: - href: '#ir-5_smt' rel: assessment-for - id: ir-5_obj-2 name: assessment-objective props: - name: label value: IR-05[02] class: sp800-53a prose: incidents are documented. links: - href: '#ir-5_smt' rel: assessment-for links: - href: '#ir-5_smt' rel: assessment-for - id: ir-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-05-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing incident monitoring incident response records and documentation incident response plan system security plan privacy plan other relevant documents or records' - id: ir-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-05-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident monitoring responsibilities organizational personnel with information security and privacy responsibilities' - id: ir-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-05-Test class: sp800-53a parts: - name: assessment-objects prose: 'Incident monitoring capability for the organization mechanisms supporting and/or implementing the tracking and documenting of system security incidents' controls: - id: ir-5.1 class: SP800-53-enhancement title: Automated Tracking, Data Collection, and Analysis params: - id: ir-5.1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ir-05.01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ir-05.01_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ir-05.01_odp.03 label: organization-defined automated mechanisms - id: ir-05.01_odp.01 props: - name: label value: IR-05(01)_ODP[01] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to track incidents are defined; - id: ir-05.01_odp.02 props: - name: label value: IR-05(01)_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to collect incident information are defined; - id: ir-05.01_odp.03 props: - name: label value: IR-05(01)_ODP[03] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to analyze incident information are defined; props: - name: label value: IR-05(01) class: zero-padded - name: label value: IR-5(1) - name: label value: IR-05(01) class: sp800-53a - name: sort-id value: ir-05.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ir-5' rel: required parts: - id: ir-5.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Track incidents and collect and analyze incident information using {{ insert: param, ir-5.1_prm_1 }}.' - id: ir-5.1_gdn name: guidance prose: Automated mechanisms for tracking incidents and collecting and analyzing incident information include Computer Incident Response Centers or other electronic databases of incidents and network monitoring devices. - id: ir-5.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-05(01) class: sp800-53a parts: - id: ir-5.1_obj-1 name: assessment-objective props: - name: label value: IR-05(01)[01] class: sp800-53a prose: 'incidents are tracked using {{ insert: param, ir-05.01_odp.01 }};' links: - href: '#ir-5.1_smt' rel: assessment-for - id: ir-5.1_obj-2 name: assessment-objective props: - name: label value: IR-05(01)[02] class: sp800-53a prose: 'incident information is collected using {{ insert: param, ir-05.01_odp.02 }};' links: - href: '#ir-5.1_smt' rel: assessment-for - id: ir-5.1_obj-3 name: assessment-objective props: - name: label value: IR-05(01)[03] class: sp800-53a prose: 'incident information is analyzed using {{ insert: param, ir-05.01_odp.03 }}.' links: - href: '#ir-5.1_smt' rel: assessment-for links: - href: '#ir-5.1_smt' rel: assessment-for - id: ir-5.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-05(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing incident monitoring incident response records and documentation system security plan incident response plan other relevant documents or records' - id: ir-5.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-05(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident monitoring responsibilities organizational personnel with information security responsibilities' - id: ir-5.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-05(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Incident monitoring capability for the organization automated mechanisms supporting and/or implementing the tracking and documenting of system security incidents' - id: ir-6 class: SP800-53 title: Incident Reporting params: - id: ir-06_odp.01 props: - name: alt-identifier value: ir-6_prm_1 - name: label value: IR-06_ODP[01] class: sp800-53a label: time period constraints: - description: US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) guidelines: - prose: time period for personnel to report suspected incidents to the organizational incident response capability is defined; - id: ir-06_odp.02 props: - name: alt-identifier value: ir-6_prm_2 - name: label value: IR-06_ODP[02] class: sp800-53a label: authorities guidelines: - prose: authorities to whom incident information is to be reported are defined; props: - name: label value: IR-06 class: zero-padded - name: label value: IR-6 - name: label value: IR-06 class: sp800-53a - name: sort-id value: ir-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#4ff10ed3-d8fe-4246-99e3-443045e27482' rel: reference - href: '#0f963c17-ab5a-432a-a867-91eac550309b' rel: reference - href: '#40b78258-c892-480e-9af8-77ac36648301' rel: reference - href: '#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb' rel: reference - href: '#cm-6' rel: related - href: '#cp-2' rel: related - href: '#ir-4' rel: related - href: '#ir-5' rel: related - href: '#ir-8' rel: related - href: '#ir-9' rel: related parts: - id: ir-6_smt name: statement parts: - id: ir-6_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Require personnel to report suspected incidents to the organizational incident response capability within {{ insert: param, ir-06_odp.01 }} ; and' - id: ir-6_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Report incident information to {{ insert: param, ir-06_odp.02 }}.' - id: ir-6_gdn name: guidance prose: The types of incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Incident information can inform risk assessments, control effectiveness assessments, security requirements for acquisitions, and selection criteria for technology products. - id: ir-6_fr name: item ns: http://fedramp.gov/ns/oscal title: IR-6 Additional FedRAMP Requirements and Guidance parts: - id: ir-6_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Reports security incident information according to FedRAMP Incident Communications Procedure. - id: ir-6_obj name: assessment-objective props: - name: label value: IR-06 class: sp800-53a parts: - id: ir-6_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-06a. class: sp800-53a prose: 'personnel is/are required to report suspected incidents to the organizational incident response capability within {{ insert: param, ir-06_odp.01 }};' links: - href: '#ir-6_smt.a' rel: assessment-for - id: ir-6_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-06b. class: sp800-53a prose: 'incident information is reported to {{ insert: param, ir-06_odp.02 }}.' links: - href: '#ir-6_smt.b' rel: assessment-for links: - href: '#ir-6_smt' rel: assessment-for - id: ir-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-06-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing incident reporting incident reporting records and documentation incident response plan system security plan privacy plan other relevant documents or records' - id: ir-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-06-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident reporting responsibilities organizational personnel with information security and privacy responsibilities personnel who have/should have reported incidents personnel (authorities) to whom incident information is to be reported system users' - id: ir-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-06-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for incident reporting mechanisms supporting and/or implementing incident reporting' controls: - id: ir-6.1 class: SP800-53-enhancement title: Automated Reporting params: - id: ir-06.01_odp props: - name: alt-identifier value: ir-6.1_prm_1 - name: label value: IR-06(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used for reporting incidents are defined; props: - name: label value: IR-06(01) class: zero-padded - name: label value: IR-6(1) - name: label value: IR-06(01) class: sp800-53a - name: sort-id value: ir-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-6' rel: required - href: '#ir-7' rel: related parts: - id: ir-6.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Report incidents using {{ insert: param, ir-06.01_odp }}.' - id: ir-6.1_gdn name: guidance prose: The recipients of incident reports are specified in [IR-6b](#ir-6_smt.b) . Automated reporting mechanisms include email, posting on websites (with automatic updates), and automated incident response tools and programs. - id: ir-6.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-06(01) class: sp800-53a prose: 'incidents are reported using {{ insert: param, ir-06.01_odp }}.' links: - href: '#ir-6.1_smt' rel: assessment-for - id: ir-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-06(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing incident reporting automated mechanisms supporting incident reporting system design documentation system configuration settings and associated documentation incident response plan system security plan other relevant documents or records' - id: ir-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-06(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident reporting responsibilities organizational personnel with information security responsibilities' - id: ir-6.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-06(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for incident reporting automated mechanisms supporting and/or implementing the reporting of security incidents' - id: ir-6.3 class: SP800-53-enhancement title: Supply Chain Coordination props: - name: label value: IR-06(03) class: zero-padded - name: label value: IR-6(3) - name: label value: IR-06(03) class: sp800-53a - name: sort-id value: ir-06.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-6' rel: required - href: '#sr-8' rel: related parts: - id: ir-6.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Provide incident information to the provider of the product or service and other organizations involved in the supply chain or supply chain governance for systems or system components related to the incident. - id: ir-6.3_gdn name: guidance prose: Organizations involved in supply chain activities include product developers, system integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Entities that provide supply chain governance include the Federal Acquisition Security Council (FASC). Supply chain incidents include compromises or breaches that involve information technology products, system components, development processes or personnel, distribution processes, or warehousing facilities. Organizations determine the appropriate information to share and consider the value gained from informing external organizations about supply chain incidents, including the ability to improve processes or to identify the root cause of an incident. - id: ir-6.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-06(03) class: sp800-53a prose: incident information is provided to the provider of the product or service and other organizations involved in the supply chain or supply chain governance for systems or system components related to the incident. links: - href: '#ir-6.3_smt' rel: assessment-for - id: ir-6.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-06(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing supply chain coordination and supply chain risk information sharing with the Federal Acquisition Security Council acquisition policy acquisition contracts service-level agreements incident response plan supply chain risk management plan system security plan plans of other organizations involved in supply chain activities other relevant documents or records' - id: ir-6.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-06(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident reporting responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities organization personnel with acquisition responsibilities' - id: ir-6.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-06(03)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for incident reporting organizational processes for supply chain risk information sharing mechanisms supporting and/or implementing the reporting of incident information involved in the supply chain' - id: ir-7 class: SP800-53 title: Incident Response Assistance props: - name: label value: IR-07 class: zero-padded - name: label value: IR-7 - name: label value: IR-07 class: sp800-53a - name: sort-id value: ir-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#2be7b163-e50a-435c-8906-f1162f2a457a' rel: reference - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#ir-4' rel: related - href: '#ir-6' rel: related - href: '#ir-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-22 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-26 rel: related - href: '#sa-9' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-18 rel: related parts: - id: ir-7_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Provide an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the system for the handling and reporting of incidents. - id: ir-7_gdn name: guidance prose: Incident response support resources provided by organizations include help desks, assistance groups, automated ticketing systems to open and track incident response tickets, and access to forensics services or consumer redress services, when required. - id: ir-7_obj name: assessment-objective props: - name: label value: IR-07 class: sp800-53a parts: - id: ir-7_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-07[01] class: sp800-53a prose: an incident response support resource, integral to the organizational incident response capability, is provided; links: - href: '#ir-7_smt' rel: assessment-for - id: ir-7_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-07[02] class: sp800-53a prose: the incident response support resource offers advice and assistance to users of the system for the response and reporting of incidents. links: - href: '#ir-7_smt' rel: assessment-for links: - href: '#ir-7_smt' rel: assessment-for - id: ir-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-07-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing incident response assistance incident response plan system security plan privacy plan other relevant documents or records' - id: ir-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-07-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident response assistance and support responsibilities organizational personnel with access to incident response support and assistance capability organizational personnel with information security and privacy responsibilities' - id: ir-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-07-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for incident response assistance mechanisms supporting and/or implementing incident response assistance' controls: - id: ir-7.1 class: SP800-53-enhancement title: Automation Support for Availability of Information and Support params: - id: ir-07.01_odp props: - name: alt-identifier value: ir-7.1_prm_1 - name: label value: IR-07(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to increase the availability of incident response information and support are defined; props: - name: label value: IR-07(01) class: zero-padded - name: label value: IR-7(1) - name: label value: IR-07(01) class: sp800-53a - name: sort-id value: ir-07.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-7' rel: required parts: - id: ir-7.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Increase the availability of incident response information and support using {{ insert: param, ir-07.01_odp }}.' - id: ir-7.1_gdn name: guidance prose: Automated mechanisms can provide a push or pull capability for users to obtain incident response assistance. For example, individuals may have access to a website to query the assistance capability, or the assistance capability can proactively send incident response information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support. - id: ir-7.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-07(01) class: sp800-53a prose: 'the availability of incident response information and support is increased using {{ insert: param, ir-07.01_odp }}.' links: - href: '#ir-7.1_smt' rel: assessment-for - id: ir-7.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-07(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing incident response assistance automated mechanisms supporting incident response support and assistance system design documentation system configuration settings and associated documentation incident response plan system security plan other relevant documents or records' - id: ir-7.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-07(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident response support and assistance responsibilities organizational personnel with access to incident response support and assistance capability organizational personnel with information security responsibilities' - id: ir-7.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-07(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for incident response assistance automated mechanisms supporting and/or implementing an increase in the availability of incident response information and support' - id: ir-8 class: SP800-53 title: Incident Response Plan params: - id: ir-8_prm_5 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ir-08_odp.06 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ir-08_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ir-08_odp.07 label: organization-defined incident response personnel (identified by name and/or by role) and organizational elements - id: ir-08_odp.01 props: - name: alt-identifier value: ir-8_prm_1 - name: label value: IR-08_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles that review and approve the incident response plan is/are identified; - id: ir-08_odp.02 props: - name: alt-identifier value: ir-8_prm_2 - name: label value: IR-08_ODP[02] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which to review and approve the incident response plan is defined; - id: ir-08_odp.03 props: - name: alt-identifier value: ir-8_prm_3 - name: label value: IR-08_ODP[03] class: sp800-53a label: entities, personnel, or roles guidelines: - prose: entities, personnel, or roles with designated responsibility for incident response are defined; - id: ir-08_odp.04 props: - name: alt-identifier value: ir-8_prm_4 - name: alt-label value: incident response personnel (identified by name and/or by role) and organizational elements class: sp800-53 - name: label value: IR-08_ODP[04] class: sp800-53a label: incident response personnel constraints: - description: see additional FedRAMP Requirements and Guidance guidelines: - prose: incident response personnel (identified by name and/or by role) to whom copies of the incident response plan are to be distributed is/are defined; - id: ir-08_odp.05 props: - name: label value: IR-08_ODP[05] class: sp800-53a label: organizational elements constraints: - description: see additional FedRAMP Requirements and Guidance guidelines: - prose: organizational elements to which copies of the incident response plan are to be distributed are defined; - id: ir-08_odp.06 props: - name: label value: IR-08_ODP[06] class: sp800-53a label: incident response personnel constraints: - description: see additional FedRAMP Requirements and Guidance guidelines: - prose: incident response personnel (identified by name and/or by role) to whom changes to the incident response plan is/are communicated are defined; - id: ir-08_odp.07 props: - name: label value: IR-08_ODP[07] class: sp800-53a label: organizational elements constraints: - description: see additional FedRAMP Requirements and Guidance guidelines: - prose: organizational elements to which changes to the incident response plan are communicated are defined; props: - name: label value: IR-08 class: zero-padded - name: label value: IR-8 - name: label value: IR-08 class: sp800-53a - name: sort-id value: ir-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb' rel: reference - href: '#5f4705ac-8d17-438c-b23a-ac7f12362ae4' rel: reference - href: '#ac-2' rel: related - href: '#cp-2' rel: related - href: '#cp-4' rel: related - href: '#ir-4' rel: related - href: '#ir-7' rel: related - href: '#ir-9' rel: related - href: '#pe-6' rel: related - href: '#pl-2' rel: related - href: '#sa-15' rel: related - href: '#si-12' rel: related - href: '#sr-8' rel: related parts: - id: ir-8_smt name: statement parts: - id: ir-8_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Develop an incident response plan that:' parts: - id: ir-8_smt.a.1 name: item props: - name: label value: '1.' prose: Provides the organization with a roadmap for implementing its incident response capability; - id: ir-8_smt.a.2 name: item props: - name: label value: '2.' prose: Describes the structure and organization of the incident response capability; - id: ir-8_smt.a.3 name: item props: - name: label value: '3.' prose: Provides a high-level approach for how the incident response capability fits into the overall organization; - id: ir-8_smt.a.4 name: item props: - name: label value: '4.' prose: Meets the unique requirements of the organization, which relate to mission, size, structure, and functions; - id: ir-8_smt.a.5 name: item props: - name: label value: '5.' prose: Defines reportable incidents; - id: ir-8_smt.a.6 name: item props: - name: label value: '6.' prose: Provides metrics for measuring the incident response capability within the organization; - id: ir-8_smt.a.7 name: item props: - name: label value: '7.' prose: Defines the resources and management support needed to effectively maintain and mature an incident response capability; - id: ir-8_smt.a.8 name: item props: - name: label value: '8.' prose: Addresses the sharing of incident information; - id: ir-8_smt.a.9 name: item props: - name: label value: '9.' prose: 'Is reviewed and approved by {{ insert: param, ir-08_odp.01 }} {{ insert: param, ir-08_odp.02 }} ; and' - id: ir-8_smt.a.10 name: item props: - name: label value: '10.' prose: 'Explicitly designates responsibility for incident response to {{ insert: param, ir-08_odp.03 }}.' - id: ir-8_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Distribute copies of the incident response plan to {{ insert: param, ir-08_odp.04 }};' - id: ir-8_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Update the incident response plan to address system and organizational changes or problems encountered during plan implementation, execution, or testing; - id: ir-8_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: 'Communicate incident response plan changes to {{ insert: param, ir-8_prm_5 }} ; and' - id: ir-8_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: Protect the incident response plan from unauthorized disclosure and modification. - id: ir-8_gdn name: guidance prose: It is important that organizations develop and implement a coordinated approach to incident response. Organizational mission and business functions determine the structure of incident response capabilities. As part of the incident response capabilities, organizations consider the coordination and sharing of information with external organizations, including external service providers and other organizations involved in the supply chain. For incidents involving personally identifiable information (i.e., breaches), include a process to determine whether notice to oversight organizations or affected individuals is appropriate and provide that notice accordingly. - id: ir-8_fr name: item ns: http://fedramp.gov/ns/oscal title: IR-8 Additional FedRAMP Requirements and Guidance parts: - id: ir-8_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(b) Requirement:' prose: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. - id: ir-8_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(d) Requirement:' prose: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. - id: ir-8_obj name: assessment-objective props: - name: label value: IR-08 class: sp800-53a parts: - id: ir-8_obj.a name: assessment-objective props: - name: label value: IR-08a. class: sp800-53a parts: - id: ir-8_obj.a.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IR-08a.01 class: sp800-53a prose: an incident response plan is developed that provides the organization with a roadmap for implementing its incident response capability; links: - href: '#ir-8_smt.a.1' rel: assessment-for - id: ir-8_obj.a.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IR-08a.02 class: sp800-53a prose: an incident response plan is developed that describes the structure and organization of the incident response capability; links: - href: '#ir-8_smt.a.2' rel: assessment-for - id: ir-8_obj.a.3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IR-08a.03 class: sp800-53a prose: an incident response plan is developed that provides a high-level approach for how the incident response capability fits into the overall organization; links: - href: '#ir-8_smt.a.3' rel: assessment-for - id: ir-8_obj.a.4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IR-08a.04 class: sp800-53a prose: an incident response plan is developed that meets the unique requirements of the organization with regard to mission, size, structure, and functions; links: - href: '#ir-8_smt.a.4' rel: assessment-for - id: ir-8_obj.a.5 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IR-08a.05 class: sp800-53a prose: an incident response plan is developed that defines reportable incidents; links: - href: '#ir-8_smt.a.5' rel: assessment-for - id: ir-8_obj.a.6 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IR-08a.06 class: sp800-53a prose: an incident response plan is developed that provides metrics for measuring the incident response capability within the organization; links: - href: '#ir-8_smt.a.6' rel: assessment-for - id: ir-8_obj.a.7 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IR-08a.07 class: sp800-53a prose: an incident response plan is developed that defines the resources and management support needed to effectively maintain and mature an incident response capability; links: - href: '#ir-8_smt.a.7' rel: assessment-for - id: ir-8_obj.a.8 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IR-08a.08 class: sp800-53a prose: an incident response plan is developed that addresses the sharing of incident information; links: - href: '#ir-8_smt.a.8' rel: assessment-for - id: ir-8_obj.a.9 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IR-08a.09 class: sp800-53a prose: 'an incident response plan is developed that is reviewed and approved by {{ insert: param, ir-08_odp.01 }} {{ insert: param, ir-08_odp.02 }};' links: - href: '#ir-8_smt.a.9' rel: assessment-for - id: ir-8_obj.a.10 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IR-08a.10 class: sp800-53a prose: 'an incident response plan is developed that explicitly designates responsibility for incident response to {{ insert: param, ir-08_odp.03 }}.' links: - href: '#ir-8_smt.a.10' rel: assessment-for links: - href: '#ir-8_smt.a' rel: assessment-for - id: ir-8_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-08b. class: sp800-53a parts: - id: ir-8_obj.b-1 name: assessment-objective props: - name: label value: IR-08b.[01] class: sp800-53a prose: 'copies of the incident response plan are distributed to {{ insert: param, ir-08_odp.04 }};' links: - href: '#ir-8_smt.b' rel: assessment-for - id: ir-8_obj.b-2 name: assessment-objective props: - name: label value: IR-08b.[02] class: sp800-53a prose: 'copies of the incident response plan are distributed to {{ insert: param, ir-08_odp.05 }};' links: - href: '#ir-8_smt.b' rel: assessment-for links: - href: '#ir-8_smt.b' rel: assessment-for - id: ir-8_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-08c. class: sp800-53a prose: the incident response plan is updated to address system and organizational changes or problems encountered during plan implementation, execution, or testing; links: - href: '#ir-8_smt.c' rel: assessment-for - id: ir-8_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-08d. class: sp800-53a parts: - id: ir-8_obj.d-1 name: assessment-objective props: - name: label value: IR-08d.[01] class: sp800-53a prose: 'incident response plan changes are communicated to {{ insert: param, ir-08_odp.06 }};' links: - href: '#ir-8_smt.d' rel: assessment-for - id: ir-8_obj.d-2 name: assessment-objective props: - name: label value: IR-08d.[02] class: sp800-53a prose: 'incident response plan changes are communicated to {{ insert: param, ir-08_odp.07 }};' links: - href: '#ir-8_smt.d' rel: assessment-for links: - href: '#ir-8_smt.d' rel: assessment-for - id: ir-8_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-08e. class: sp800-53a parts: - id: ir-8_obj.e-1 name: assessment-objective props: - name: label value: IR-08e.[01] class: sp800-53a prose: the incident response plan is protected from unauthorized disclosure; links: - href: '#ir-8_smt.e' rel: assessment-for - id: ir-8_obj.e-2 name: assessment-objective props: - name: label value: IR-08e.[02] class: sp800-53a prose: the incident response plan is protected from unauthorized modification. links: - href: '#ir-8_smt.e' rel: assessment-for links: - href: '#ir-8_smt.e' rel: assessment-for links: - href: '#ir-8_smt' rel: assessment-for - id: ir-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-08-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing incident response planning incident response plan system security plan privacy plan records of incident response plan reviews and approvals other relevant documents or records' - id: ir-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-08-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident response planning responsibilities organizational personnel with information security and privacy responsibilities' - id: ir-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-08-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational incident response plan and related organizational processes - id: ir-9 class: SP800-53 title: Information Spillage Response params: - id: ir-09_odp.01 props: - name: alt-identifier value: ir-9_prm_1 - name: label value: IR-09_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles assigned the responsibility for responding to information spills is/are defined; - id: ir-09_odp.02 props: - name: alt-identifier value: ir-9_prm_2 - name: label value: IR-09_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be alerted of the information spill using a method of communication not associated with the spill is/are defined; - id: ir-09_odp.03 props: - name: alt-identifier value: ir-9_prm_3 - name: label value: IR-09_ODP[03] class: sp800-53a label: actions guidelines: - prose: actions to be performed are defined; props: - name: label value: IR-09 class: zero-padded - name: label value: IR-9 - name: label value: IR-09 class: sp800-53a - name: sort-id value: ir-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: related - href: '#ir-6' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-26 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-27 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-2 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-3 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-7 rel: related - href: '#ra-7' rel: related parts: - id: ir-9_smt name: statement prose: 'Respond to information spills by:' parts: - id: ir-9_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Assigning {{ insert: param, ir-09_odp.01 }} with responsibility for responding to information spills;' - id: ir-9_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Identifying the specific information involved in the system contamination; - id: ir-9_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Alerting {{ insert: param, ir-09_odp.02 }} of the information spill using a method of communication not associated with the spill;' - id: ir-9_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Isolating the contaminated system or system component; - id: ir-9_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: Eradicating the information from the contaminated system or component; - id: ir-9_smt.f name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: f. prose: Identifying other systems or system components that may have been subsequently contaminated; and - id: ir-9_smt.g name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: g. prose: 'Performing the following additional actions: {{ insert: param, ir-09_odp.03 }}.' - id: ir-9_gdn name: guidance prose: Information spillage refers to instances where information is placed on systems that are not authorized to process such information. Information spills occur when information that is thought to be a certain classification or impact level is transmitted to a system and subsequently is determined to be of a higher classification or impact level. At that point, corrective action is required. The nature of the response is based on the classification or impact level of the spilled information, the security capabilities of the system, the specific nature of the contaminated storage media, and the access authorizations of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated. - id: ir-9_obj name: assessment-objective props: - name: label value: IR-09 class: sp800-53a parts: - id: ir-9_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-09a. class: sp800-53a prose: '{{ insert: param, ir-09_odp.01 }} is/are assigned the responsibility to respond to information spills;' links: - href: '#ir-9_smt.a' rel: assessment-for - id: ir-9_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: IR-09b. class: sp800-53a prose: the specific information involved in the system contamination is identified in response to information spills; links: - href: '#ir-9_smt.b' rel: assessment-for - id: ir-9_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-09c. class: sp800-53a prose: '{{ insert: param, ir-09_odp.02 }} is/are alerted of the information spill using a method of communication not associated with the spill;' links: - href: '#ir-9_smt.c' rel: assessment-for - id: ir-9_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-09d. class: sp800-53a prose: the contaminated system or system component is isolated in response to information spills; links: - href: '#ir-9_smt.d' rel: assessment-for - id: ir-9_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-09e. class: sp800-53a prose: the information is eradicated from the contaminated system or component in response to information spills; links: - href: '#ir-9_smt.e' rel: assessment-for - id: ir-9_obj.f name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-09f. class: sp800-53a prose: other systems or system components that may have been subsequently contaminated are identified in response to information spills; links: - href: '#ir-9_smt.f' rel: assessment-for - id: ir-9_obj.g name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-09g. class: sp800-53a prose: '{{ insert: param, ir-09_odp.03 }} are performed in response to information spills.' links: - href: '#ir-9_smt.g' rel: assessment-for links: - href: '#ir-9_smt' rel: assessment-for - id: ir-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-09-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing information spillage incident response plan system security plan records of information spillage alerts/notifications list of personnel who should receive alerts of information spillage list of actions to be performed regarding information spillage other relevant documents or records' - id: ir-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-09-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident response responsibilities organizational personnel with information security responsibilities' - id: ir-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-09-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for information spillage response mechanisms supporting and/or implementing information spillage response actions and related communications' controls: - id: ir-9.2 class: SP800-53-enhancement title: Training params: - id: ir-09.02_odp props: - name: alt-identifier value: ir-9.2_prm_1 - name: label value: IR-09(02)_ODP class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: frequency at which to provide information spillage response training is defined; props: - name: label value: IR-09(02) class: zero-padded - name: label value: IR-9(2) - name: label value: IR-09(02) class: sp800-53a - name: sort-id value: ir-09.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-9' rel: required - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#cp-3' rel: related - href: '#ir-2' rel: related parts: - id: ir-9.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Provide information spillage response training {{ insert: param, ir-09.02_odp }}.' - id: ir-9.2_gdn name: guidance prose: Organizations establish requirements for responding to information spillage incidents in incident response plans. Incident response training on a regular basis helps to ensure that organizational personnel understand their individual responsibilities and what specific actions to take when spillage incidents occur. - id: ir-9.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-09(02) class: sp800-53a prose: 'information spillage response training is provided {{ insert: param, ir-09.02_odp }}.' links: - href: '#ir-9.2_smt' rel: assessment-for - id: ir-9.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-09(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing information spillage response training information spillage response training curriculum information spillage response training materials incident response plan system security plan information spillage response training records other relevant documents or records' - id: ir-9.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-09(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident response training responsibilities organizational personnel with information security responsibilities' - id: ir-9.3 class: SP800-53-enhancement title: Post-spill Operations params: - id: ir-09.03_odp props: - name: alt-identifier value: ir-9.3_prm_1 - name: label value: IR-09(03)_ODP class: sp800-53a label: procedures guidelines: - prose: procedures to be implemented to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions are defined; props: - name: label value: IR-09(03) class: zero-padded - name: label value: IR-9(3) - name: label value: IR-09(03) class: sp800-53a - name: sort-id value: ir-09.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-9' rel: required parts: - id: ir-9.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Implement the following procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions: {{ insert: param, ir-09.03_odp }}.' - id: ir-9.3_gdn name: guidance prose: Corrective actions for systems contaminated due to information spillages may be time-consuming. Personnel may not have access to the contaminated systems while corrective actions are being taken, which may potentially affect their ability to conduct organizational business. - id: ir-9.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: IR-09(03) class: sp800-53a prose: '{{ insert: param, ir-09.03_odp }} are implemented to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.' links: - href: '#ir-9.3_smt' rel: assessment-for - id: ir-9.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-09(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing incident response procedures addressing information spillage incident response plan system security plan other relevant documents or records' - id: ir-9.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-09(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident response responsibilities organizational personnel with information security responsibilities' - id: ir-9.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-09(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for post-spill operations - id: ir-9.4 class: SP800-53-enhancement title: Exposure to Unauthorized Personnel params: - id: ir-09.04_odp props: - name: alt-identifier value: ir-9.4_prm_1 - name: label value: IR-09(04)_ODP class: sp800-53a label: controls guidelines: - prose: controls employed for personnel exposed to information not within assigned access authorizations are defined; props: - name: label value: IR-09(04) class: zero-padded - name: label value: IR-9(4) - name: label value: IR-09(04) class: sp800-53a - name: sort-id value: ir-09.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-9' rel: required parts: - id: ir-9.4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Employ the following controls for personnel exposed to information not within assigned access authorizations: {{ insert: param, ir-09.04_odp }}.' - id: ir-9.4_gdn name: guidance prose: Controls include ensuring that personnel who are exposed to spilled information are made aware of the laws, executive orders, directives, regulations, policies, standards, and guidelines regarding the information and the restrictions imposed based on exposure to such information. - id: ir-9.4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: IR-09(04) class: sp800-53a prose: '{{ insert: param, ir-09.04_odp }} are employed for personnel exposed to information not within assigned access authorizations.' links: - href: '#ir-9.4_smt' rel: assessment-for - id: ir-9.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-09(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Incident response policy procedures addressing incident response procedures addressing information spillage incident response plan system security plan security safeguards regarding information spillage/exposure to unauthorized personnel other relevant documents or records' - id: ir-9.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-09(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with incident response responsibilities organizational personnel with information security responsibilities' - id: ir-9.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-09(04)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for dealing with information exposed to unauthorized personnel mechanisms supporting and/or implementing safeguards for personnel exposed to information not within assigned access authorizations' - id: ma class: family title: Maintenance controls: - id: ma-1 class: SP800-53 title: Policy and Procedures params: - id: ma-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ma-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ma-01_odp.02 label: organization-defined personnel or roles - id: ma-01_odp.01 props: - name: label value: MA-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the maintenance policy is to be disseminated is/are defined; - id: ma-01_odp.02 props: - name: label value: MA-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the maintenance procedures are to be disseminated is/are defined; - id: ma-01_odp.03 props: - name: alt-identifier value: ma-1_prm_2 - name: label value: MA-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: ma-01_odp.04 props: - name: alt-identifier value: ma-1_prm_3 - name: label value: MA-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the maintenance policy and procedures is defined; - id: ma-01_odp.05 props: - name: alt-identifier value: ma-1_prm_4 - name: label value: MA-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency with which the current maintenance policy is reviewed and updated is defined; - id: ma-01_odp.06 props: - name: alt-identifier value: ma-1_prm_5 - name: label value: MA-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current maintenance policy to be reviewed and updated are defined; - id: ma-01_odp.07 props: - name: alt-identifier value: ma-1_prm_6 - name: label value: MA-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency with which the current maintenance procedures are reviewed and updated is defined; - id: ma-01_odp.08 props: - name: alt-identifier value: ma-1_prm_7 - name: label value: MA-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that would require the maintenance procedures to be reviewed and updated are defined; props: - name: label value: MA-01 class: zero-padded - name: label value: MA-1 - name: label value: MA-01 class: sp800-53a - name: sort-id value: ma-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ps-8' rel: related - href: '#si-12' rel: related parts: - id: ma-1_smt name: statement parts: - id: ma-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses Maintenance MUST be associated with MA-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses Maintenance MUST be associated with MA-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, ma-1_prm_1 }}:' parts: - id: ma-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, ma-01_odp.03 }} maintenance policy that:' parts: - id: ma-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: ma-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: ma-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the maintenance policy and the associated maintenance controls; - id: ma-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, ma-01_odp.04 }} to manage the development, documentation, and dissemination of the maintenance policy and procedures; and' - id: ma-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current maintenance:' parts: - id: ma-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, ma-01_odp.05 }} and following {{ insert: param, ma-01_odp.06 }} ; and' - id: ma-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, ma-01_odp.07 }} and following {{ insert: param, ma-01_odp.08 }}.' - id: ma-1_gdn name: guidance prose: Maintenance policy and procedures address the controls in the MA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of maintenance policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to maintenance policy and procedures assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: ma-1_obj name: assessment-objective props: - name: label value: MA-01 class: sp800-53a parts: - id: ma-1_obj.a name: assessment-objective props: - name: label value: MA-01a. class: sp800-53a parts: - id: ma-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: MA-01a.[01] class: sp800-53a prose: a maintenance policy is developed and documented; links: - href: '#ma-1_smt.a' rel: assessment-for - id: ma-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: MA-01a.[02] class: sp800-53a prose: 'the maintenance policy is disseminated to {{ insert: param, ma-01_odp.01 }};' links: - href: '#ma-1_smt.a' rel: assessment-for - id: ma-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: MA-01a.[03] class: sp800-53a prose: maintenance procedures to facilitate the implementation of the maintenance policy and associated maintenance controls are developed and documented; links: - href: '#ma-1_smt.a' rel: assessment-for - id: ma-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: MA-01a.[04] class: sp800-53a prose: 'the maintenance procedures are disseminated to {{ insert: param, ma-01_odp.02 }};' links: - href: '#ma-1_smt.a' rel: assessment-for - id: ma-1_obj.a.1 name: assessment-objective props: - name: label value: MA-01a.01 class: sp800-53a parts: - id: ma-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: MA-01a.01(a) class: sp800-53a parts: - id: ma-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: MA-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses purpose;' links: - href: '#ma-1_smt.a.1.a' rel: assessment-for - id: ma-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: MA-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses scope;' links: - href: '#ma-1_smt.a.1.a' rel: assessment-for - id: ma-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: MA-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses roles;' links: - href: '#ma-1_smt.a.1.a' rel: assessment-for - id: ma-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: MA-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses responsibilities;' links: - href: '#ma-1_smt.a.1.a' rel: assessment-for - id: ma-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: MA-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses management commitment;' links: - href: '#ma-1_smt.a.1.a' rel: assessment-for - id: ma-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: MA-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses coordination among organizational entities;' links: - href: '#ma-1_smt.a.1.a' rel: assessment-for - id: ma-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: MA-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses compliance;' links: - href: '#ma-1_smt.a.1.a' rel: assessment-for links: - href: '#ma-1_smt.a.1.a' rel: assessment-for - id: ma-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: MA-01a.01(b) class: sp800-53a prose: 'the {{ insert: param, ma-01_odp.03 }} maintenance policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;' links: - href: '#ma-1_smt.a.1.b' rel: assessment-for links: - href: '#ma-1_smt.a.1' rel: assessment-for links: - href: '#ma-1_smt.a' rel: assessment-for - id: ma-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: MA-01b. class: sp800-53a prose: 'the {{ insert: param, ma-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the maintenance policy and procedures;' links: - href: '#ma-1_smt.b' rel: assessment-for - id: ma-1_obj.c name: assessment-objective props: - name: label value: MA-01c. class: sp800-53a parts: - id: ma-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: MA-01c.01 class: sp800-53a parts: - id: ma-1_obj.c.1-1 name: assessment-objective props: - name: label value: MA-01c.01[01] class: sp800-53a prose: 'the current maintenance policy is reviewed and updated {{ insert: param, ma-01_odp.05 }};' links: - href: '#ma-1_smt.c.1' rel: assessment-for - id: ma-1_obj.c.1-2 name: assessment-objective props: - name: label value: MA-01c.01[02] class: sp800-53a prose: 'the current maintenance policy is reviewed and updated following {{ insert: param, ma-01_odp.06 }};' links: - href: '#ma-1_smt.c.1' rel: assessment-for links: - href: '#ma-1_smt.c.1' rel: assessment-for - id: ma-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: MA-01c.02 class: sp800-53a parts: - id: ma-1_obj.c.2-1 name: assessment-objective props: - name: label value: MA-01c.02[01] class: sp800-53a prose: 'the current maintenance procedures are reviewed and updated {{ insert: param, ma-01_odp.07 }};' links: - href: '#ma-1_smt.c.2' rel: assessment-for - id: ma-1_obj.c.2-2 name: assessment-objective props: - name: label value: MA-01c.02[02] class: sp800-53a prose: 'the current maintenance procedures are reviewed and updated following {{ insert: param, ma-01_odp.08 }}.' links: - href: '#ma-1_smt.c.2' rel: assessment-for links: - href: '#ma-1_smt.c.2' rel: assessment-for links: - href: '#ma-1_smt.c' rel: assessment-for links: - href: '#ma-1_smt' rel: assessment-for - id: ma-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Maintenance policy and procedures system security plan privacy plan organizational risk management strategy other relevant documents or records' - id: ma-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with maintenance responsibilities organizational personnel with information security and privacy responsibilities' - id: ma-2 class: SP800-53 title: Controlled Maintenance params: - id: ma-02_odp.01 props: - name: alt-identifier value: ma-2_prm_1 - name: label value: MA-02_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles required to explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance or repairs is/are defined; - id: ma-02_odp.02 props: - name: alt-identifier value: ma-2_prm_2 - name: label value: MA-02_ODP[02] class: sp800-53a label: information guidelines: - prose: information to be removed from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement is defined; - id: ma-02_odp.03 props: - name: alt-identifier value: ma-2_prm_3 - name: label value: MA-02_ODP[03] class: sp800-53a label: information guidelines: - prose: information to be included in organizational maintenance records is defined; props: - name: label value: MA-02 class: zero-padded - name: label value: MA-2 - name: label value: MA-02 class: sp800-53a - name: sort-id value: ma-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#4c501da5-9d79-4cb6-ba80-97260e1ce327' rel: reference - href: '#cm-2' rel: related - href: '#cm-3' rel: related - href: '#cm-4' rel: related - href: '#cm-5' rel: related - href: '#cm-8' rel: related - href: '#ma-4' rel: related - href: '#mp-6' rel: related - href: '#pe-16' rel: related - href: '#si-2' rel: related - href: '#sr-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-4 rel: related - href: '#sr-11' rel: related parts: - id: ma-2_smt name: statement parts: - id: ma-2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Schedule, document, and review records of maintenance, repair, and replacement on system components in accordance with manufacturer or vendor specifications and/or organizational requirements; - id: ma-2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Approve and monitor all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location; - id: ma-2_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Require that {{ insert: param, ma-02_odp.01 }} explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;' - id: ma-2_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: 'Sanitize equipment to remove the following information from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement: {{ insert: param, ma-02_odp.02 }};' - id: ma-2_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: Check all potentially impacted controls to verify that the controls are still functioning properly following maintenance, repair, or replacement actions; and - id: ma-2_smt.f name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: f. prose: 'Include the following information in organizational maintenance records: {{ insert: param, ma-02_odp.03 }}.' - id: ma-2_gdn name: guidance prose: Controlling system maintenance addresses the information security aspects of the system maintenance program and applies to all types of maintenance to system components conducted by local or nonlocal entities. Maintenance includes peripherals such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes the date and time of maintenance, a description of the maintenance performed, names of the individuals or group performing the maintenance, name of the escort, and system components or equipment that are removed or replaced. Organizations consider supply chain-related risks associated with replacement components for systems. - id: ma-2_obj name: assessment-objective props: - name: label value: MA-02 class: sp800-53a parts: - id: ma-2_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-02a. class: sp800-53a parts: - id: ma-2_obj.a-1 name: assessment-objective props: - name: label value: MA-02a.[01] class: sp800-53a prose: maintenance, repair, and replacement of system components are scheduled in accordance with manufacturer or vendor specifications and/or organizational requirements; links: - href: '#ma-2_smt.a' rel: assessment-for - id: ma-2_obj.a-2 name: assessment-objective props: - name: label value: MA-02a.[02] class: sp800-53a prose: maintenance, repair, and replacement of system components are documented in accordance with manufacturer or vendor specifications and/or organizational requirements; links: - href: '#ma-2_smt.a' rel: assessment-for - id: ma-2_obj.a-3 name: assessment-objective props: - name: label value: MA-02a.[03] class: sp800-53a prose: records of maintenance, repair, and replacement of system components are reviewed in accordance with manufacturer or vendor specifications and/or organizational requirements; links: - href: '#ma-2_smt.a' rel: assessment-for links: - href: '#ma-2_smt.a' rel: assessment-for - id: ma-2_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: MA-02b. class: sp800-53a parts: - id: ma-2_obj.b-1 name: assessment-objective props: - name: label value: MA-02b.[01] class: sp800-53a prose: all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location, are approved; links: - href: '#ma-2_smt.b' rel: assessment-for - id: ma-2_obj.b-2 name: assessment-objective props: - name: label value: MA-02b.[02] class: sp800-53a prose: all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location, are monitored; links: - href: '#ma-2_smt.b' rel: assessment-for links: - href: '#ma-2_smt.b' rel: assessment-for - id: ma-2_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: MA-02c. class: sp800-53a prose: '{{ insert: param, ma-02_odp.01 }} is/are required to explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;' links: - href: '#ma-2_smt.c' rel: assessment-for - id: ma-2_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: MA-02d. class: sp800-53a prose: 'equipment is sanitized to remove {{ insert: param, ma-02_odp.02 }} from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement;' links: - href: '#ma-2_smt.d' rel: assessment-for - id: ma-2_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-02e. class: sp800-53a prose: all potentially impacted controls are checked to verify that the controls are still functioning properly following maintenance, repair, or replacement actions; links: - href: '#ma-2_smt.e' rel: assessment-for - id: ma-2_obj.f name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-02f. class: sp800-53a prose: '{{ insert: param, ma-02_odp.03 }} is included in organizational maintenance records.' links: - href: '#ma-2_smt.f' rel: assessment-for links: - href: '#ma-2_smt' rel: assessment-for - id: ma-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Maintenance policy procedures addressing controlled system maintenance maintenance records manufacturer/vendor maintenance specifications equipment sanitization records media sanitization records system security plan other relevant documents or records' - id: ma-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities organizational personnel responsible for media sanitization system/network administrators' - id: ma-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-02-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the system organizational processes for sanitizing system components mechanisms supporting and/or implementing controlled maintenance mechanisms implementing the sanitization of system components' controls: - id: ma-2.2 class: SP800-53-enhancement title: Automated Maintenance Activities params: - id: ma-2.2_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ma-02.02_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ma-02.02_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ma-02.02_odp.03 label: organization-defined automated mechanisms - id: ma-02.02_odp.01 props: - name: label value: MA-02(02)_ODP[01] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to schedule maintenance, repair, and replacement actions for the system are defined; - id: ma-02.02_odp.02 props: - name: label value: MA-02(02)_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to conduct maintenance, repair, and replacement actions for the system are defined; - id: ma-02.02_odp.03 props: - name: label value: MA-02(02)_ODP[03] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to document maintenance, repair, and replacement actions for the system are defined; props: - name: label value: MA-02(02) class: zero-padded - name: label value: MA-2(2) - name: label value: MA-02(02) class: sp800-53a - name: sort-id value: ma-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-2' rel: required - href: '#ma-3' rel: related parts: - id: ma-2.2_smt name: statement parts: - id: ma-2.2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Schedule, conduct, and document maintenance, repair, and replacement actions for the system using {{ insert: param, ma-2.2_prm_1 }} ; and' - id: ma-2.2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Produce up-to date, accurate, and complete records of all maintenance, repair, and replacement actions requested, scheduled, in process, and completed. - id: ma-2.2_gdn name: guidance prose: The use of automated mechanisms to manage and control system maintenance programs and activities helps to ensure the generation of timely, accurate, complete, and consistent maintenance records. - id: ma-2.2_obj name: assessment-objective props: - name: label value: MA-02(02) class: sp800-53a parts: - id: ma-2.2_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-02(02)(a) class: sp800-53a parts: - id: ma-2.2_obj.a-1 name: assessment-objective props: - name: label value: MA-02(02)(a)[01] class: sp800-53a prose: '{{ insert: param, ma-02.02_odp.01 }} are used to schedule maintenance, repair, and replacement actions for the system;' links: - href: '#ma-2.2_smt.a' rel: assessment-for - id: ma-2.2_obj.a-2 name: assessment-objective props: - name: label value: MA-02(02)(a)[02] class: sp800-53a prose: '{{ insert: param, ma-02.02_odp.02 }} are used to conduct maintenance, repair, and replacement actions for the system;' links: - href: '#ma-2.2_smt.a' rel: assessment-for - id: ma-2.2_obj.a-3 name: assessment-objective props: - name: label value: MA-02(02)(a)[03] class: sp800-53a prose: '{{ insert: param, ma-02.02_odp.03 }} are used to document maintenance, repair, and replacement actions for the system;' links: - href: '#ma-2.2_smt.a' rel: assessment-for links: - href: '#ma-2.2_smt.a' rel: assessment-for - id: ma-2.2_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-02(02)(b) class: sp800-53a parts: - id: ma-2.2_obj.b-1 name: assessment-objective props: - name: label value: MA-02(02)(b)[01] class: sp800-53a prose: up-to date, accurate, and complete records of all maintenance actions requested, scheduled, in process, and completed are produced. links: - href: '#ma-2.2_smt.b' rel: assessment-for - id: ma-2.2_obj.b-2 name: assessment-objective props: - name: label value: MA-02(02)(b)[02] class: sp800-53a prose: up-to date, accurate, and complete records of all repair actions requested, scheduled, in process, and completed are produced. links: - href: '#ma-2.2_smt.b' rel: assessment-for - id: ma-2.2_obj.b-3 name: assessment-objective props: - name: label value: MA-02(02)(b)[03] class: sp800-53a prose: up-to date, accurate, and complete records of all replacement actions requested, scheduled, in process, and completed are produced. links: - href: '#ma-2.2_smt.b' rel: assessment-for links: - href: '#ma-2.2_smt.b' rel: assessment-for links: - href: '#ma-2.2_smt' rel: assessment-for - id: ma-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Maintenance policy procedures addressing controlled system maintenance automated mechanisms supporting system maintenance activities system configuration settings and associated documentation maintenance records system security plan other relevant documents or records' - id: ma-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities system/network administrators' - id: ma-2.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-02(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Automated mechanisms supporting and/or implementing controlled maintenance automated mechanisms supporting and/or implementing the production of records of maintenance and repair actions' - id: ma-3 class: SP800-53 title: Maintenance Tools params: - id: ma-03_odp props: - name: alt-identifier value: ma-3_prm_1 - name: label value: MA-03_ODP class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: frequency at which to review previously approved system maintenance tools is defined; props: - name: label value: MA-03 class: zero-padded - name: label value: MA-3 - name: label value: MA-03 class: sp800-53a - name: sort-id value: ma-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#a5b1d18d-e670-4586-9e6d-4a88b7ba3df6' rel: reference - href: '#ma-2' rel: related - href: '#pe-16' rel: related parts: - id: ma-3_smt name: statement parts: - id: ma-3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Approve, control, and monitor the use of system maintenance tools; and - id: ma-3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Review previously approved system maintenance tools {{ insert: param, ma-03_odp }}.' - id: ma-3_gdn name: guidance prose: Approving, controlling, monitoring, and reviewing maintenance tools address security-related issues associated with maintenance tools that are not within system authorization boundaries and are used specifically for diagnostic and repair actions on organizational systems. Organizations have flexibility in determining roles for the approval of maintenance tools and how that approval is documented. A periodic review of maintenance tools facilitates the withdrawal of approval for outdated, unsupported, irrelevant, or no-longer-used tools. Maintenance tools can include hardware, software, and firmware items and may be pre-installed, brought in with maintenance personnel on media, cloud-based, or downloaded from a website. Such tools can be vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into systems. Maintenance tools can include hardware and software diagnostic test equipment and packet sniffers. The hardware and software components that support maintenance and are a part of the system (including the software implementing utilities such as "ping," "ls," "ipconfig," or the hardware and software implementing the monitoring port of an Ethernet switch) are not addressed by maintenance tools. - id: ma-3_obj name: assessment-objective props: - name: label value: MA-03 class: sp800-53a parts: - id: ma-3_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-03a. class: sp800-53a parts: - id: ma-3_obj.a-1 name: assessment-objective props: - name: label value: MA-03a.[01] class: sp800-53a prose: the use of system maintenance tools is approved; links: - href: '#ma-3_smt.a' rel: assessment-for - id: ma-3_obj.a-2 name: assessment-objective props: - name: label value: MA-03a.[02] class: sp800-53a prose: the use of system maintenance tools is controlled; links: - href: '#ma-3_smt.a' rel: assessment-for - id: ma-3_obj.a-3 name: assessment-objective props: - name: label value: MA-03a.[03] class: sp800-53a prose: the use of system maintenance tools is monitored; links: - href: '#ma-3_smt.a' rel: assessment-for links: - href: '#ma-3_smt.a' rel: assessment-for - id: ma-3_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-03b. class: sp800-53a prose: 'previously approved system maintenance tools are reviewed {{ insert: param, ma-03_odp }}.' links: - href: '#ma-3_smt.b' rel: assessment-for links: - href: '#ma-3_smt' rel: assessment-for - id: ma-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-03-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Maintenance policy procedures addressing system maintenance tools system maintenance tools and associated documentation maintenance records system security plan other relevant documents or records' - id: ma-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-03-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities' - id: ma-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-03-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for approving, controlling, and monitoring maintenance tools mechanisms supporting and/or implementing the approval, control, and/or monitoring of maintenance tools' controls: - id: ma-3.1 class: SP800-53-enhancement title: Inspect Tools props: - name: label value: MA-03(01) class: zero-padded - name: label value: MA-3(1) - name: label value: MA-03(01) class: sp800-53a - name: sort-id value: ma-03.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-3' rel: required - href: '#si-7' rel: related parts: - id: ma-3.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Inspect the maintenance tools used by maintenance personnel for improper or unauthorized modifications. - id: ma-3.1_gdn name: guidance prose: Maintenance tools can be directly brought into a facility by maintenance personnel or downloaded from a vendor’s website. If, upon inspection of the maintenance tools, organizations determine that the tools have been modified in an improper manner or the tools contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling. - id: ma-3.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-03(01) class: sp800-53a prose: maintenance tools used by maintenance personnel are inspected for improper or unauthorized modifications. links: - href: '#ma-3.1_smt' rel: assessment-for - id: ma-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Maintenance policy procedures addressing system maintenance tools system maintenance tools and associated documentation maintenance tool inspection records maintenance records system security plan other relevant documents or records' - id: ma-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities' - id: ma-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-03(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for inspecting maintenance tools mechanisms supporting and/or implementing the inspection of maintenance tools' - id: ma-3.2 class: SP800-53-enhancement title: Inspect Media props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: MA-03(02) class: zero-padded - name: label value: MA-3(2) - name: label value: MA-03(02) class: sp800-53a - name: sort-id value: ma-03.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-3' rel: required - href: '#si-3' rel: related parts: - id: ma-3.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Check media containing diagnostic and test programs for malicious code before the media are used in the system. - id: ma-3.2_gdn name: guidance prose: If, upon inspection of media containing maintenance, diagnostic, and test programs, organizations determine that the media contains malicious code, the incident is handled consistent with organizational incident handling policies and procedures. - id: ma-3.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-03(02) class: sp800-53a prose: media containing diagnostic and test programs are checked for malicious code before the media are used in the system. links: - href: '#ma-3.2_smt' rel: assessment-for - id: ma-3.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-03(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Maintenance policy procedures addressing system maintenance tools system maintenance tools and associated documentation maintenance records system security plan other relevant documents or records' - id: ma-3.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-03(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities' - id: ma-3.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-03(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational process for inspecting media for malicious code mechanisms supporting and/or implementing the inspection of media used for maintenance' - id: ma-3.3 class: SP800-53-enhancement title: Prevent Unauthorized Removal params: - id: ma-03.03_odp props: - name: alt-identifier value: ma-3.3_prm_1 - name: label value: MA-03(03)_ODP class: sp800-53a label: personnel or roles constraints: - description: the information owner guidelines: - prose: personnel or roles who can authorize removal of equipment from the facility is/are defined; props: - name: label value: MA-03(03) class: zero-padded - name: label value: MA-3(3) - name: label value: MA-03(03) class: sp800-53a - name: sort-id value: ma-03.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-3' rel: required - href: '#mp-6' rel: related parts: - id: ma-3.3_smt name: statement prose: 'Prevent the removal of maintenance equipment containing organizational information by:' parts: - id: ma-3.3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: Verifying that there is no organizational information contained on the equipment; - id: ma-3.3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Sanitizing or destroying the equipment; - id: ma-3.3_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (c) prose: Retaining the equipment within the facility; or - id: ma-3.3_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (d) prose: 'Obtaining an exemption from {{ insert: param, ma-03.03_odp }} explicitly authorizing removal of the equipment from the facility.' - id: ma-3.3_gdn name: guidance prose: Organizational information includes all information owned by organizations and any information provided to organizations for which the organizations serve as information stewards. - id: ma-3.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-03(03) class: sp800-53a parts: - id: ma-3.3_obj.a name: assessment-objective props: - name: label value: MA-03(03)(a) class: sp800-53a prose: the removal of maintenance equipment containing organizational information is prevented by verifying that there is no organizational information contained on the equipment; or links: - href: '#ma-3.3_smt.a' rel: assessment-for - id: ma-3.3_obj.b name: assessment-objective props: - name: label value: MA-03(03)(b) class: sp800-53a prose: the removal of maintenance equipment containing organizational information is prevented by sanitizing or destroying the equipment; or links: - href: '#ma-3.3_smt.b' rel: assessment-for - id: ma-3.3_obj.c name: assessment-objective props: - name: label value: MA-03(03)(c) class: sp800-53a prose: the removal of maintenance equipment containing organizational information is prevented by retaining the equipment within the facility; or links: - href: '#ma-3.3_smt.c' rel: assessment-for - id: ma-3.3_obj.d name: assessment-objective props: - name: label value: MA-03(03)(d) class: sp800-53a prose: 'the removal of maintenance equipment containing organizational information is prevented by obtaining an exemption from {{ insert: param, ma-03.03_odp }} explicitly authorizing removal of the equipment from the facility.' links: - href: '#ma-3.3_smt.d' rel: assessment-for links: - href: '#ma-3.3_smt' rel: assessment-for - id: ma-3.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-03(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Maintenance policy procedures addressing system maintenance tools system maintenance tools and associated documentation maintenance records equipment sanitization records media sanitization records exemptions for equipment removal system security plan other relevant documents or records' - id: ma-3.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-03(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities organizational personnel responsible for media sanitization' - id: ma-3.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-03(03)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational process for preventing unauthorized removal of information mechanisms supporting media sanitization or destruction of equipment mechanisms supporting verification of media sanitization' - id: ma-4 class: SP800-53 title: Nonlocal Maintenance props: - name: label value: MA-04 class: zero-padded - name: label value: MA-4 - name: label value: MA-04 class: sp800-53a - name: sort-id value: ma-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#736d6310-e403-4b57-a79d-9967970c66d7' rel: reference - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#a5b1d18d-e670-4586-9e6d-4a88b7ba3df6' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-6' rel: related - href: '#ac-17' rel: related - href: '#au-2' rel: related - href: '#au-3' rel: related - href: '#ia-2' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: '#ia-8' rel: related - href: '#ma-2' rel: related - href: '#ma-5' rel: related - href: '#pl-2' rel: related - href: '#sc-7' rel: related - href: '#sc-10' rel: related parts: - id: ma-4_smt name: statement parts: - id: ma-4_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Approve and monitor nonlocal maintenance and diagnostic activities; - id: ma-4_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Allow the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the system; - id: ma-4_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Employ strong authentication in the establishment of nonlocal maintenance and diagnostic sessions; - id: ma-4_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Maintain records for nonlocal maintenance and diagnostic activities; and - id: ma-4_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: Terminate session and network connections when nonlocal maintenance is completed. - id: ma-4_gdn name: guidance prose: Nonlocal maintenance and diagnostic activities are conducted by individuals who communicate through either an external or internal network. Local maintenance and diagnostic activities are carried out by individuals who are physically present at the system location and not communicating across a network connection. Authentication techniques used to establish nonlocal maintenance and diagnostic sessions reflect the network access requirements in [IA-2](#ia-2) . Strong authentication requires authenticators that are resistant to replay attacks and employ multi-factor authentication. Strong authenticators include PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in [MA-4](#ma-4) is accomplished, in part, by other controls. [SP 800-63B](#e59c5a7c-8b1f-49ca-8de0-6ee0882180ce) provides additional guidance on strong authentication and authenticators. - id: ma-4_obj name: assessment-objective props: - name: label value: MA-04 class: sp800-53a parts: - id: ma-4_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-04a. class: sp800-53a parts: - id: ma-4_obj.a-1 name: assessment-objective props: - name: label value: MA-04a.[01] class: sp800-53a prose: nonlocal maintenance and diagnostic activities are approved; links: - href: '#ma-4_smt.a' rel: assessment-for - id: ma-4_obj.a-2 name: assessment-objective props: - name: label value: MA-04a.[02] class: sp800-53a prose: nonlocal maintenance and diagnostic activities are monitored; links: - href: '#ma-4_smt.a' rel: assessment-for links: - href: '#ma-4_smt.a' rel: assessment-for - id: ma-4_obj.b name: assessment-objective props: - name: label value: MA-04b. class: sp800-53a parts: - id: ma-4_obj.b-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-04b.[01] class: sp800-53a prose: the use of nonlocal maintenance and diagnostic tools are allowed only as consistent with organizational policy; links: - href: '#ma-4_smt.b' rel: assessment-for - id: ma-4_obj.b-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: MA-04b.[02] class: sp800-53a prose: the use of nonlocal maintenance and diagnostic tools are documented in the security plan for the system; links: - href: '#ma-4_smt.b' rel: assessment-for links: - href: '#ma-4_smt.b' rel: assessment-for - id: ma-4_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-04c. class: sp800-53a prose: strong authentication is employed in the establishment of nonlocal maintenance and diagnostic sessions; links: - href: '#ma-4_smt.c' rel: assessment-for - id: ma-4_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-04d. class: sp800-53a prose: records for nonlocal maintenance and diagnostic activities are maintained; links: - href: '#ma-4_smt.d' rel: assessment-for - id: ma-4_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-04e. class: sp800-53a parts: - id: ma-4_obj.e-1 name: assessment-objective props: - name: label value: MA-04e.[01] class: sp800-53a prose: session connections are terminated when nonlocal maintenance is completed; links: - href: '#ma-4_smt.e' rel: assessment-for - id: ma-4_obj.e-2 name: assessment-objective props: - name: label value: MA-04e.[02] class: sp800-53a prose: network connections are terminated when nonlocal maintenance is completed. links: - href: '#ma-4_smt.e' rel: assessment-for links: - href: '#ma-4_smt.e' rel: assessment-for links: - href: '#ma-4_smt' rel: assessment-for - id: ma-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-04-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Maintenance policy procedures addressing nonlocal system maintenance remote access policy remote access procedures system design documentation system configuration settings and associated documentation maintenance records records of remote access diagnostic records system security plan other relevant documents or records' - id: ma-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-04-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities system/network administrators' - id: ma-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-04-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for managing nonlocal maintenance mechanisms implementing, supporting, and/or managing nonlocal maintenance mechanisms for strong authentication of nonlocal maintenance diagnostic sessions mechanisms for terminating nonlocal maintenance sessions and network connections' controls: - id: ma-4.3 class: SP800-53-enhancement title: Comparable Security and Sanitization props: - name: label value: MA-04(03) class: zero-padded - name: label value: MA-4(3) - name: label value: MA-04(03) class: sp800-53a - name: sort-id value: ma-04.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-4' rel: required - href: '#mp-6' rel: related - href: '#si-3' rel: related - href: '#si-7' rel: related parts: - id: ma-4.3_smt name: statement parts: - id: ma-4.3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: Require that nonlocal maintenance and diagnostic services be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; or - id: ma-4.3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Remove the component to be serviced from the system prior to nonlocal maintenance or diagnostic services; sanitize the component (for organizational information); and after the service is performed, inspect and sanitize the component (for potentially malicious software) before reconnecting the component to the system. - id: ma-4.3_gdn name: guidance prose: Comparable security capability on systems, diagnostic tools, and equipment providing maintenance services implies that the implemented controls on those systems, tools, and equipment are at least as comprehensive as the controls on the system being serviced. - id: ma-4.3_obj name: assessment-objective props: - name: label value: MA-04(03) class: sp800-53a parts: - id: ma-4.3_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-04(03)(a) class: sp800-53a parts: - id: ma-4.3_obj.a-1 name: assessment-objective props: - name: label value: MA-04(03)(a)[01] class: sp800-53a prose: nonlocal maintenance services are required to be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; links: - href: '#ma-4.3_smt.a' rel: assessment-for - id: ma-4.3_obj.a-2 name: assessment-objective props: - name: label value: MA-04(03)(a)[02] class: sp800-53a prose: nonlocal diagnostic services are required to be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; or links: - href: '#ma-4.3_smt.a' rel: assessment-for links: - href: '#ma-4.3_smt.a' rel: assessment-for - id: ma-4.3_obj.b name: assessment-objective props: - name: label value: MA-04(03)(b) class: sp800-53a parts: - id: ma-4.3_obj.b-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-04(03)(b)[01] class: sp800-53a prose: the component to be serviced is removed from the system prior to nonlocal maintenance or diagnostic services; links: - href: '#ma-4.3_smt.b' rel: assessment-for - id: ma-4.3_obj.b-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-04(03)(b)[02] class: sp800-53a prose: the component to be serviced is sanitized (for organizational information); links: - href: '#ma-4.3_smt.b' rel: assessment-for - id: ma-4.3_obj.b-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-04(03)(b)[03] class: sp800-53a prose: the component is inspected and sanitized (for potentially malicious software) after the service is performed and before reconnecting the component to the system. links: - href: '#ma-4.3_smt.b' rel: assessment-for links: - href: '#ma-4.3_smt.b' rel: assessment-for links: - href: '#ma-4.3_smt' rel: assessment-for - id: ma-4.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-04(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Maintenance policy procedures addressing nonlocal system maintenance service provider contracts and/or service-level agreements maintenance records inspection records audit records equipment sanitization records media sanitization records system security plan other relevant documents or records' - id: ma-4.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-04(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system maintenance responsibilities system maintenance provider organizational personnel with information security responsibilities organizational personnel responsible for media sanitization system/network administrators' - id: ma-4.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-04(03)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for comparable security and sanitization for nonlocal maintenance organizational processes for the removal, sanitization, and inspection of components serviced via nonlocal maintenance mechanisms supporting and/or implementing component sanitization and inspection' - id: ma-5 class: SP800-53 title: Maintenance Personnel props: - name: label value: MA-05 class: zero-padded - name: label value: MA-5 - name: label value: MA-05 class: sp800-53a - name: sort-id value: ma-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-5' rel: related - href: '#ac-6' rel: related - href: '#ia-2' rel: related - href: '#ia-8' rel: related - href: '#ma-4' rel: related - href: '#mp-2' rel: related - href: '#pe-2' rel: related - href: '#pe-3' rel: related - href: '#ps-7' rel: related - href: '#ra-3' rel: related parts: - id: ma-5_smt name: statement parts: - id: ma-5_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Establish a process for maintenance personnel authorization and maintain a list of authorized maintenance organizations or personnel; - id: ma-5_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Verify that non-escorted personnel performing maintenance on the system possess the required access authorizations; and - id: ma-5_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Designate organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations. - id: ma-5_gdn name: guidance prose: Maintenance personnel refers to individuals who perform hardware or software maintenance on organizational systems, while [PE-2](#pe-2) addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems. Technical competence of supervising individuals relates to the maintenance performed on the systems, while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel—such as information technology manufacturers, vendors, systems integrators, and consultants—may require privileged access to organizational systems, such as when they are 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. - id: ma-5_obj name: assessment-objective props: - name: label value: MA-05 class: sp800-53a parts: - id: ma-5_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: MA-05a. class: sp800-53a parts: - id: ma-5_obj.a-1 name: assessment-objective props: - name: label value: MA-05a.[01] class: sp800-53a prose: a process for maintenance personnel authorization is established; links: - href: '#ma-5_smt.a' rel: assessment-for - id: ma-5_obj.a-2 name: assessment-objective props: - name: label value: MA-05a.[02] class: sp800-53a prose: a list of authorized maintenance organizations or personnel is maintained; links: - href: '#ma-5_smt.a' rel: assessment-for links: - href: '#ma-5_smt.a' rel: assessment-for - id: ma-5_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-05b. class: sp800-53a prose: non-escorted personnel performing maintenance on the system possess the required access authorizations; links: - href: '#ma-5_smt.b' rel: assessment-for - id: ma-5_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-05c. class: sp800-53a prose: organizational personnel with required access authorizations and technical competence is/are designated to supervise the maintenance activities of personnel who do not possess the required access authorizations. links: - href: '#ma-5_smt.c' rel: assessment-for links: - href: '#ma-5_smt' rel: assessment-for - id: ma-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-05-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Maintenance policy procedures addressing maintenance personnel service provider contracts service-level agreements list of authorized personnel maintenance records access control records system security plan other relevant documents or records' - id: ma-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-05-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities' - id: ma-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-05-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for authorizing and managing maintenance personnel mechanisms supporting and/or implementing authorization of maintenance personnel' controls: - id: ma-5.1 class: SP800-53-enhancement title: Individuals Without Appropriate Access params: - id: ma-05.01_odp props: - name: alt-identifier value: ma-5.1_prm_1 - name: label value: MA-05(01)_ODP class: sp800-53a label: alternate controls guidelines: - prose: alternate controls to be developed and implemented in the event that a system component cannot be sanitized, removed, or disconnected from the system are defined; props: - name: label value: MA-05(01) class: zero-padded - name: label value: MA-5(1) - name: label value: MA-05(01) class: sp800-53a - name: sort-id value: ma-05.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-5' rel: required - href: '#mp-6' rel: related - href: '#pl-2' rel: related parts: - id: ma-5.1_smt name: statement parts: - id: ma-5.1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Implement procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:' parts: - id: ma-5.1_smt.a.1 name: item props: - name: label value: (1) prose: Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified; and - id: ma-5.1_smt.a.2 name: item props: - name: label value: (2) prose: Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and - id: ma-5.1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'Develop and implement {{ insert: param, ma-05.01_odp }} in the event a system component cannot be sanitized, removed, or disconnected from the system.' - id: ma-5.1_gdn name: guidance prose: Procedures for individuals who lack appropriate security clearances or who are not U.S. citizens are intended to deny visual and electronic access to classified or controlled unclassified information contained on organizational systems. Procedures for the use of maintenance personnel can be documented in security plans for the systems. - id: ma-5.1_obj name: assessment-objective props: - name: label value: MA-05(01) class: sp800-53a parts: - id: ma-5.1_obj.a name: assessment-objective props: - name: label value: MA-05(01)(a) class: sp800-53a parts: - id: ma-5.1_obj.a.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-05(01)(a)(01) class: sp800-53a prose: procedures for the use of maintenance personnel who lack appropriate security clearances or are not U.S. citizens are implemented and include approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified escorting and supervising maintenance personnel without the needed access authorization during the performance of maintenance and diagnostic activities; links: - href: '#ma-5.1_smt.a.1' rel: assessment-for - id: ma-5.1_obj.a.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-05(01)(a)(02) class: sp800-53a prose: procedures for the use of maintenance personnel who lack appropriate security clearances or are not U.S. citizens are implemented and include all volatile information storage components within the system being sanitized and all non-volatile storage media being removed or physically disconnected from the system and secured prior to initiating maintenance or diagnostic activities; links: - href: '#ma-5.1_smt.a.2' rel: assessment-for links: - href: '#ma-5.1_smt.a' rel: assessment-for - id: ma-5.1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-05(01)(b) class: sp800-53a prose: '{{ insert: param, ma-05.01_odp }} are developed and implemented in the event that a system cannot be sanitized, removed, or disconnected from the system.' links: - href: '#ma-5.1_smt.b' rel: assessment-for links: - href: '#ma-5.1_smt' rel: assessment-for - id: ma-5.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-05(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Maintenance policy procedures addressing maintenance personnel system media protection policy physical and environmental protection policy list of maintenance personnel requiring escort/supervision maintenance records access control records system security plan other relevant documents or records' - id: ma-5.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-05(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system maintenance responsibilities organizational personnel with personnel security responsibilities organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities organizational personnel responsible for media sanitization system/network administrators' - id: ma-5.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-05(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for managing maintenance personnel without appropriate access mechanisms supporting and/or implementing alternative security safeguards mechanisms supporting and/or implementing information storage component sanitization' - id: ma-6 class: SP800-53 title: Timely Maintenance params: - id: ma-06_odp.01 props: - name: alt-identifier value: ma-6_prm_1 - name: label value: MA-06_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components for which maintenance support and/or spare parts are obtained are defined; - id: ma-06_odp.02 props: - name: alt-identifier value: ma-6_prm_2 - name: label value: MA-06_ODP[02] class: sp800-53a label: time period constraints: - description: a timeframe to support advertised uptime and availability guidelines: - prose: time period within which maintenance support and/or spare parts are to be obtained after a failure are defined; props: - name: label value: MA-06 class: zero-padded - name: label value: MA-6 - name: label value: MA-06 class: sp800-53a - name: sort-id value: ma-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-8' rel: related - href: '#cp-2' rel: related - href: '#cp-7' rel: related - href: '#ra-7' rel: related - href: '#sa-15' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-13 rel: related - href: '#sr-2' rel: related - href: '#sr-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-4 rel: related parts: - id: ma-6_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Obtain maintenance support and/or spare parts for {{ insert: param, ma-06_odp.01 }} within {{ insert: param, ma-06_odp.02 }} of failure.' - id: ma-6_gdn name: guidance prose: Organizations specify the system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support include having appropriate contracts in place. - id: ma-6_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MA-06 class: sp800-53a prose: 'maintenance support and/or spare parts are obtained for {{ insert: param, ma-06_odp.01 }} within {{ insert: param, ma-06_odp.02 }} of failure.' links: - href: '#ma-6_smt' rel: assessment-for - id: ma-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-06-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Maintenance policy procedures addressing system maintenance service provider contracts service-level agreements inventory and availability of spare parts system security plan other relevant documents or records' - id: ma-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-06-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system maintenance responsibilities organizational personnel with acquisition responsibilities organizational personnel with information security responsibilities system/network administrators' - id: ma-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-06-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for ensuring timely maintenance - id: mp class: family title: Media Protection controls: - id: mp-1 class: SP800-53 title: Policy and Procedures params: - id: mp-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-01_odp.02 label: organization-defined personnel or roles - id: mp-01_odp.01 props: - name: label value: MP-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the media protection policy is to be disseminated is/are defined; - id: mp-01_odp.02 props: - name: label value: MP-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the media protection procedures are to be disseminated is/are defined; - id: mp-01_odp.03 props: - name: alt-identifier value: mp-1_prm_2 - name: label value: MP-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: mp-01_odp.04 props: - name: alt-identifier value: mp-1_prm_3 - name: label value: MP-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the media protection policy and procedures is defined; - id: mp-01_odp.05 props: - name: alt-identifier value: mp-1_prm_4 - name: label value: MP-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency with which the current media protection policy is reviewed and updated is defined; - id: mp-01_odp.06 props: - name: alt-identifier value: mp-1_prm_5 - name: label value: MP-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current media protection policy to be reviewed and updated are defined; - id: mp-01_odp.07 props: - name: alt-identifier value: mp-1_prm_6 - name: label value: MP-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency with which the current media protection procedures are reviewed and updated is defined; - id: mp-01_odp.08 props: - name: alt-identifier value: mp-1_prm_7 - name: label value: MP-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that would require media protection procedures to be reviewed and updated are defined; props: - name: label value: MP-01 class: zero-padded - name: label value: MP-1 - name: label value: MP-01 class: sp800-53a - name: sort-id value: mp-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ps-8' rel: related - href: '#si-12' rel: related parts: - id: mp-1_smt name: statement parts: - id: mp-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses Media Protection MUST be associated with MP-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses Media Protection MUST be associated with MP-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, mp-1_prm_1 }}:' parts: - id: mp-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, mp-01_odp.03 }} media protection policy that:' parts: - id: mp-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: mp-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: mp-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the media protection policy and the associated media protection controls; - id: mp-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, mp-01_odp.04 }} to manage the development, documentation, and dissemination of the media protection policy and procedures; and' - id: mp-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current media protection:' parts: - id: mp-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, mp-01_odp.05 }} and following {{ insert: param, mp-01_odp.06 }} ; and' - id: mp-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, mp-01_odp.07 }} and following {{ insert: param, mp-01_odp.08 }}.' - id: mp-1_gdn name: guidance prose: Media protection policy and procedures address the controls in the MP family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of media protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to media protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: mp-1_obj name: assessment-objective props: - name: label value: MP-01 class: sp800-53a parts: - id: mp-1_obj.a name: assessment-objective props: - name: label value: MP-01a. class: sp800-53a parts: - id: mp-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: MP-01a.[01] class: sp800-53a prose: a media protection policy is developed and documented; links: - href: '#mp-1_smt.a' rel: assessment-for - id: mp-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: MP-01a.[02] class: sp800-53a prose: 'the media protection policy is disseminated to {{ insert: param, mp-01_odp.01 }};' links: - href: '#mp-1_smt.a' rel: assessment-for - id: mp-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: MP-01a.[03] class: sp800-53a prose: media protection procedures to facilitate the implementation of the media protection policy and associated media protection controls are developed and documented; links: - href: '#mp-1_smt.a' rel: assessment-for - id: mp-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: MP-01a.[04] class: sp800-53a prose: 'the media protection procedures are disseminated to {{ insert: param, mp-01_odp.02 }};' links: - href: '#mp-1_smt.a' rel: assessment-for - id: mp-1_obj.a.1 name: assessment-objective props: - name: label value: MP-01a.01 class: sp800-53a parts: - id: mp-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: MP-01a.01(a) class: sp800-53a parts: - id: mp-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: MP-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, mp-01_odp.03 }} media protection policy addresses purpose;' links: - href: '#mp-1_smt.a.1.a' rel: assessment-for - id: mp-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: MP-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, mp-01_odp.03 }} media protection policy addresses scope;' links: - href: '#mp-1_smt.a.1.a' rel: assessment-for - id: mp-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: MP-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, mp-01_odp.03 }} media protection policy addresses roles;' links: - href: '#mp-1_smt.a.1.a' rel: assessment-for - id: mp-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: MP-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, mp-01_odp.03 }} media protection policy addresses responsibilities;' links: - href: '#mp-1_smt.a.1.a' rel: assessment-for - id: mp-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: MP-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, mp-01_odp.03 }} media protection policy addresses management commitment;' links: - href: '#mp-1_smt.a.1.a' rel: assessment-for - id: mp-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: MP-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, mp-01_odp.03 }} media protection policy addresses coordination among organizational entities;' links: - href: '#mp-1_smt.a.1.a' rel: assessment-for - id: mp-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: MP-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, mp-01_odp.03 }} media protection policy compliance;' links: - href: '#mp-1_smt.a.1.a' rel: assessment-for links: - href: '#mp-1_smt.a.1.a' rel: assessment-for - id: mp-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: MP-01a.01(b) class: sp800-53a prose: the media protection policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; links: - href: '#mp-1_smt.a.1.b' rel: assessment-for links: - href: '#mp-1_smt.a.1' rel: assessment-for links: - href: '#mp-1_smt.a' rel: assessment-for - id: mp-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: MP-01b. class: sp800-53a prose: 'the {{ insert: param, mp-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the media protection policy and procedures.' links: - href: '#mp-1_smt.b' rel: assessment-for - id: mp-1_obj.c name: assessment-objective props: - name: label value: MP-01c. class: sp800-53a parts: - id: mp-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: MP-01c.01 class: sp800-53a parts: - id: mp-1_obj.c.1-1 name: assessment-objective props: - name: label value: MP-01c.01[01] class: sp800-53a prose: 'the current media protection policy is reviewed and updated {{ insert: param, mp-01_odp.05 }};' links: - href: '#mp-1_smt.c.1' rel: assessment-for - id: mp-1_obj.c.1-2 name: assessment-objective props: - name: label value: MP-01c.01[02] class: sp800-53a prose: 'the current media protection policy is reviewed and updated following {{ insert: param, mp-01_odp.06 }};' links: - href: '#mp-1_smt.c.1' rel: assessment-for links: - href: '#mp-1_smt.c.1' rel: assessment-for - id: mp-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: MP-01c.02 class: sp800-53a parts: - id: mp-1_obj.c.2-1 name: assessment-objective props: - name: label value: MP-01c.02[01] class: sp800-53a prose: 'the current media protection procedures are reviewed and updated {{ insert: param, mp-01_odp.07 }};' links: - href: '#mp-1_smt.c.2' rel: assessment-for - id: mp-1_obj.c.2-2 name: assessment-objective props: - name: label value: MP-01c.02[02] class: sp800-53a prose: 'the current media protection procedures are reviewed and updated following {{ insert: param, mp-01_odp.08 }}.' links: - href: '#mp-1_smt.c.2' rel: assessment-for links: - href: '#mp-1_smt.c.2' rel: assessment-for links: - href: '#mp-1_smt.c' rel: assessment-for links: - href: '#mp-1_smt' rel: assessment-for - id: mp-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Media protection policy and procedures organizational risk management strategy system security plan privacy plan other relevant documents or records' - id: mp-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with media protection responsibilities organizational personnel with information security and privacy responsibilities' - id: mp-2 class: SP800-53 title: Media Access params: - id: mp-2_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-02_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-02_odp.03 label: organization-defined types of digital and/or non-digital media - id: mp-2_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-02_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-02_odp.04 label: organization-defined personnel or roles - id: mp-02_odp.01 props: - name: label value: MP-02_ODP[01] class: sp800-53a label: types of digital media constraints: - description: all types of digital and/or non-digital media containing sensitive information guidelines: - prose: types of digital media to which access is restricted are defined; - id: mp-02_odp.02 props: - name: label value: MP-02_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles authorized to access digital media is/are defined; - id: mp-02_odp.03 props: - name: label value: MP-02_ODP[03] class: sp800-53a label: types of non-digital media constraints: - description: all types of digital and/or non-digital media containing sensitive information guidelines: - prose: types of non-digital media to which access is restricted are defined; - id: mp-02_odp.04 props: - name: label value: MP-02_ODP[04] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles authorized to access non-digital media is/are defined; props: - name: label value: MP-02 class: zero-padded - name: label value: MP-2 - name: label value: MP-02 class: sp800-53a - name: sort-id value: mp-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#22f2d4f0-4365-4e88-a30d-275c1f5473ea' rel: reference - href: '#ac-19' rel: related - href: '#au-9' rel: related - href: '#cp-2' rel: related - href: '#cp-9' rel: related - href: '#cp-10' rel: related - href: '#ma-5' rel: related - href: '#mp-4' rel: related - href: '#mp-6' rel: related - href: '#pe-2' rel: related - href: '#pe-3' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-34 rel: related - href: '#si-12' rel: related parts: - id: mp-2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Restrict access to {{ insert: param, mp-2_prm_1 }} to {{ insert: param, mp-2_prm_2 }}.' - id: mp-2_gdn name: guidance prose: System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers is an example of restricting access to non-digital media. Limiting access to the design specifications stored on compact discs in the media library to individuals on the system development team is an example of restricting access to digital media. - id: mp-2_obj name: assessment-objective props: - name: label value: MP-02 class: sp800-53a parts: - id: mp-2_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-02[01] class: sp800-53a prose: 'access to {{ insert: param, mp-02_odp.01 }} is restricted to {{ insert: param, mp-02_odp.02 }};' links: - href: '#mp-2_smt' rel: assessment-for - id: mp-2_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-02[02] class: sp800-53a prose: 'access to {{ insert: param, mp-02_odp.03 }} is restricted to {{ insert: param, mp-02_odp.04 }}.' links: - href: '#mp-2_smt' rel: assessment-for links: - href: '#mp-2_smt' rel: assessment-for - id: mp-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System media protection policy procedures addressing media access restrictions access control policy and procedures physical and environmental protection policy and procedures media storage facilities access control records system security plan other relevant documents or records' - id: mp-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system media protection responsibilities organizational personnel with information security responsibilities system/network administrators' - id: mp-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-02-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for restricting information media mechanisms supporting and/or implementing media access restrictions' - id: mp-3 class: SP800-53 title: Media Marking params: - id: mp-03_odp.01 props: - name: alt-identifier value: mp-3_prm_1 - name: alt-label value: types of system media class: sp800-53 - name: label value: MP-03_ODP[01] class: sp800-53a label: types of media exempted from marking constraints: - description: no removable media types guidelines: - prose: types of system media exempt from marking when remaining in controlled areas are defined; - id: mp-03_odp.02 props: - name: alt-identifier value: mp-3_prm_2 - name: label value: MP-03_ODP[02] class: sp800-53a label: controlled areas constraints: - description: organization-defined security safeguards not applicable guidelines: - prose: controlled areas where media is exempt from marking are defined; props: - name: label value: MP-03 class: zero-padded - name: label value: MP-3 - name: label value: MP-03 class: sp800-53a - name: sort-id value: mp-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#34a5571f-e252-4309-a8a1-2fdb2faefbcd' rel: reference - href: '#91f992fb-f668-4c91-a50f-0f05b95ccee3' rel: reference - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-16 rel: related - href: '#cp-9' rel: related - href: '#mp-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pe-22 rel: related - href: '#si-12' rel: related parts: - id: mp-3_smt name: statement parts: - id: mp-3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Mark system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and - id: mp-3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Exempt {{ insert: param, mp-03_odp.01 }} from marking if the media remain within {{ insert: param, mp-03_odp.02 }}.' - id: mp-3_gdn name: guidance prose: Security marking refers to the application or use of human-readable security attributes. Digital media includes diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), flash drives, compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Controlled unclassified information is defined by the National Archives and Records Administration along with the appropriate safeguarding and dissemination requirements for such information and is codified in [32 CFR 2002](#91f992fb-f668-4c91-a50f-0f05b95ccee3) . Security markings are generally not required for media that contains information determined by organizations to be in the public domain or to be publicly releasable. Some organizations may require markings for public information indicating that the information is publicly releasable. System media marking reflects applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. - id: mp-3_fr name: item ns: http://fedramp.gov/ns/oscal title: MP-3 Additional FedRAMP Requirements and Guidance parts: - id: mp-3_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: '(b) Guidance:' prose: Second parameter not-applicable - id: mp-3_obj name: assessment-objective props: - name: label value: MP-03 class: sp800-53a parts: - id: mp-3_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-03a. class: sp800-53a prose: system media is marked to indicate distribution limitations, handling caveats, and applicable security markings (if any) of the information; links: - href: '#mp-3_smt.a' rel: assessment-for - id: mp-3_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-03b. class: sp800-53a prose: '{{ insert: param, mp-03_odp.01 }} remain within {{ insert: param, mp-03_odp.02 }}.' links: - href: '#mp-3_smt.b' rel: assessment-for links: - href: '#mp-3_smt' rel: assessment-for - id: mp-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-03-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System media protection policy procedures addressing media marking physical and environmental protection policy and procedures list of system media marking security attributes designated controlled areas system security plan other relevant documents or records' - id: mp-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-03-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system media protection and marking responsibilities organizational personnel with information security responsibilities' - id: mp-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-03-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for marking information media mechanisms supporting and/or implementing media marking' - id: mp-4 class: SP800-53 title: Media Storage params: - id: mp-4_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-04_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-04_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-04_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-04_odp.04 label: organization-defined types of digital and/or non-digital media - id: mp-4_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-04_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-04_odp.06 label: organization-defined controlled areas - id: mp-04_odp.01 props: - name: label value: MP-04_ODP[01] class: sp800-53a label: types of digital media constraints: - description: all types of digital and non-digital media with sensitive information guidelines: - prose: types of digital media to be physically controlled are defined (if selected); - id: mp-04_odp.02 props: - name: label value: MP-04_ODP[02] class: sp800-53a label: types of non-digital media constraints: - description: all types of digital and non-digital media with sensitive information guidelines: - prose: types of non-digital media to be physically controlled are defined (if selected); - id: mp-04_odp.03 props: - name: label value: MP-04_ODP[03] class: sp800-53a label: types of digital media constraints: - description: all types of digital and non-digital media with sensitive information guidelines: - prose: types of digital media to be securely stored are defined (if selected); - id: mp-04_odp.04 props: - name: label value: MP-04_ODP[04] class: sp800-53a label: types of non-digital media constraints: - description: all types of digital and non-digital media with sensitive information guidelines: - prose: types of non-digital media to be securely stored are defined (if selected); - id: mp-04_odp.05 props: - name: label value: MP-04_ODP[05] class: sp800-53a label: controlled areas constraints: - description: see additional FedRAMP requirements and guidance guidelines: - prose: controlled areas within which to securely store digital media are defined; - id: mp-04_odp.06 props: - name: label value: MP-04_ODP[06] class: sp800-53a label: controlled areas constraints: - description: see additional FedRAMP requirements and guidance guidelines: - prose: controlled areas within which to securely store non-digital media are defined; props: - name: label value: MP-04 class: zero-padded - name: label value: MP-4 - name: label value: MP-04 class: sp800-53a - name: sort-id value: mp-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#20957dbb-6a1e-40a2-b38a-66f67d33ac2e' rel: reference - href: '#0d083d8a-5cc6-46f1-8d79-3081d42bcb75' rel: reference - href: '#eef62b16-c796-4554-955c-505824135b8a' rel: reference - href: '#110e26af-4765-49e1-8740-6750f83fcda1' rel: reference - href: '#e7942589-e267-4a5a-a3d9-f39a7aae81f0' rel: reference - href: '#8306620b-1920-4d73-8b21-12008528595f' rel: reference - href: '#22f2d4f0-4365-4e88-a30d-275c1f5473ea' rel: reference - href: '#ac-19' rel: related - href: '#cp-2' rel: related - href: '#cp-6' rel: related - href: '#cp-9' rel: related - href: '#cp-10' rel: related - href: '#mp-2' rel: related - href: '#mp-7' rel: related - href: '#pe-3' rel: related - href: '#pl-2' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-28' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-34 rel: related - href: '#si-12' rel: related parts: - id: mp-4_smt name: statement parts: - id: mp-4_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Physically control and securely store {{ insert: param, mp-4_prm_1 }} within {{ insert: param, mp-4_prm_2 }} ; and' - id: mp-4_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Protect system media types defined in MP-4a until the media are destroyed or sanitized using approved equipment, techniques, and procedures. - id: mp-4_gdn name: guidance prose: System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Physically controlling stored media includes conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the library, and maintaining accountability for stored media. Secure storage includes a locked drawer, desk, or cabinet or a controlled media library. The type of media storage is commensurate with the security category or classification of the information on the media. Controlled areas are spaces that provide physical and procedural controls to meet the requirements established for protecting information and systems. Fewer controls may be needed for media that contains information determined to be in the public domain, publicly releasable, or have limited adverse impacts on organizations, operations, or individuals if accessed by other than authorized personnel. In these situations, physical access controls provide adequate protection. - id: mp-4_fr name: item ns: http://fedramp.gov/ns/oscal title: MP-4 Additional FedRAMP Requirements and Guidance parts: - id: mp-4_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(a) Requirement:' prose: The service provider defines controlled areas within facilities where the information and information system reside. - id: mp-4_obj name: assessment-objective props: - name: label value: MP-04 class: sp800-53a parts: - id: mp-4_obj.a name: assessment-objective props: - name: label value: MP-04a. class: sp800-53a parts: - id: mp-4_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-04a.[01] class: sp800-53a prose: '{{ insert: param, mp-04_odp.01 }} are physically controlled;' links: - href: '#mp-4_smt.a' rel: assessment-for - id: mp-4_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-04a.[02] class: sp800-53a prose: '{{ insert: param, mp-04_odp.02 }} are physically controlled;' links: - href: '#mp-4_smt.a' rel: assessment-for - id: mp-4_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-04a.[03] class: sp800-53a prose: '{{ insert: param, mp-04_odp.03 }} are securely stored within {{ insert: param, mp-04_odp.05 }};' links: - href: '#mp-4_smt.a' rel: assessment-for - id: mp-4_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-04a.[04] class: sp800-53a prose: '{{ insert: param, mp-04_odp.04 }} are securely stored within {{ insert: param, mp-04_odp.06 }};' links: - href: '#mp-4_smt.a' rel: assessment-for links: - href: '#mp-4_smt.a' rel: assessment-for - id: mp-4_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-04b. class: sp800-53a prose: system media types (defined in MP-04_ODP\[01\], MP-04_ODP\[02\], MP-04_ODP\[03\], MP-04_ODP\[04\]) are protected until the media are destroyed or sanitized using approved equipment, techniques, and procedures. links: - href: '#mp-4_smt.b' rel: assessment-for links: - href: '#mp-4_smt' rel: assessment-for - id: mp-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-04-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System media protection policy procedures addressing media storage physical and environmental protection policy and procedures access control policy and procedures system media designated controlled areas system security plan other relevant documents or records' - id: mp-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-04-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system media protection and storage responsibilities organizational personnel with information security responsibilities' - id: mp-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-04-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for storing information media mechanisms supporting and/or implementing secure media storage/media protection' - id: mp-5 class: SP800-53 title: Media Transport params: - id: mp-5_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-05_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-05_odp.03 label: organization-defined controls - id: mp-05_odp.01 props: - name: alt-identifier value: mp-5_prm_1 - name: label value: MP-05_ODP[01] class: sp800-53a label: types of system media constraints: - description: all media with sensitive information guidelines: - prose: types of system media to protect and control during transport outside of controlled areas are defined; - id: mp-05_odp.02 props: - name: label value: MP-05_ODP[02] class: sp800-53a label: controls constraints: - description: 'prior to leaving secure/controlled environment: for digital media, encryption in compliance with Federal requirements and utilizes FIPS validated or NSA approved cryptography (see SC-13.); for non-digital media, secured in locked container' guidelines: - prose: controls used to protect system media outside of controlled areas are defined; - id: mp-05_odp.03 props: - name: label value: MP-05_ODP[03] class: sp800-53a label: controls constraints: - description: 'prior to leaving secure/controlled environment: for digital media, encryption in compliance with Federal requirements and utilizes FIPS validated or NSA approved cryptography (see SC-13.); for non-digital media, secured in locked container' guidelines: - prose: controls used to control system media outside of controlled areas are defined; props: - name: label value: MP-05 class: zero-padded - name: label value: MP-5 - name: label value: MP-05 class: sp800-53a - name: sort-id value: mp-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a' rel: reference - href: '#9be5d661-421f-41ad-854e-86f98b811891' rel: reference - href: '#ac-7' rel: related - href: '#ac-19' rel: related - href: '#cp-2' rel: related - href: '#cp-9' rel: related - href: '#mp-3' rel: related - href: '#mp-4' rel: related - href: '#pe-16' rel: related - href: '#pl-2' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-28' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-34 rel: related parts: - id: mp-5_smt name: statement parts: - id: mp-5_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Protect and control {{ insert: param, mp-05_odp.01 }} during transport outside of controlled areas using {{ insert: param, mp-5_prm_2 }};' - id: mp-5_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Maintain accountability for system media during transport outside of controlled areas; - id: mp-5_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Document activities associated with the transport of system media; and - id: mp-5_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Restrict the activities associated with the transport of system media to authorized personnel. - id: mp-5_gdn name: guidance prose: System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state and magnetic), compact discs, and digital versatile discs. Non-digital media includes microfilm and paper. Controlled areas are spaces for which organizations provide physical or procedural controls to meet requirements established for protecting information and systems. Controls to protect media during transport include cryptography and locked containers. Cryptographic mechanisms can provide confidentiality and integrity protections depending on the mechanisms implemented. Activities associated with media transport include releasing media for transport, ensuring that media enters the appropriate transport processes, and the actual transport. Authorized transport and courier personnel may include individuals external to the organization. Maintaining accountability of media during transport includes restricting transport activities to authorized personnel and tracking and/or obtaining records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of system media in accordance with organizational assessments of risk. Organizations maintain the flexibility to define record-keeping methods for the different types of media transport as part of a system of transport-related records. - id: mp-5_fr name: item ns: http://fedramp.gov/ns/oscal title: MP-5 Additional FedRAMP Requirements and Guidance parts: - id: mp-5_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(a) Requirement:' prose: The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the AO. - id: mp-5_obj name: assessment-objective props: - name: label value: MP-05 class: sp800-53a parts: - id: mp-5_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-05a. class: sp800-53a parts: - id: mp-5_obj.a-1 name: assessment-objective props: - name: label value: MP-05a.[01] class: sp800-53a prose: '{{ insert: param, mp-05_odp.01 }} are protected during transport outside of controlled areas using {{ insert: param, mp-05_odp.02 }};' links: - href: '#mp-5_smt.a' rel: assessment-for - id: mp-5_obj.a-2 name: assessment-objective props: - name: label value: MP-05a.[02] class: sp800-53a prose: '{{ insert: param, mp-05_odp.01 }} are controlled during transport outside of controlled areas using {{ insert: param, mp-05_odp.03 }};' links: - href: '#mp-5_smt.a' rel: assessment-for links: - href: '#mp-5_smt.a' rel: assessment-for - id: mp-5_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-05b. class: sp800-53a prose: accountability for system media is maintained during transport outside of controlled areas; links: - href: '#mp-5_smt.b' rel: assessment-for - id: mp-5_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: MP-05c. class: sp800-53a prose: activities associated with the transport of system media are documented; links: - href: '#mp-5_smt.c' rel: assessment-for - id: mp-5_obj.d name: assessment-objective props: - name: label value: MP-05d. class: sp800-53a parts: - id: mp-5_obj.d-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: MP-05d.[01] class: sp800-53a prose: personnel authorized to conduct media transport activities is/are identified; links: - href: '#mp-5_smt.d' rel: assessment-for - id: mp-5_obj.d-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-05d.[02] class: sp800-53a prose: activities associated with the transport of system media are restricted to identified authorized personnel. links: - href: '#mp-5_smt.d' rel: assessment-for links: - href: '#mp-5_smt.d' rel: assessment-for links: - href: '#mp-5_smt' rel: assessment-for - id: mp-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-05-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System media protection policy procedures addressing media storage physical and environmental protection policy and procedures access control policy and procedures authorized personnel list system media designated controlled areas system security plan other relevant documents or records' - id: mp-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-05-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system media protection and storage responsibilities organizational personnel with information security responsibilities system/network administrators' - id: mp-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-05-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for storing information media mechanisms supporting and/or implementing media storage/media protection' - id: mp-6 class: SP800-53 title: Media Sanitization params: - id: mp-6_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-06_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-06_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-06_odp.03 label: organization-defined system media - id: mp-6_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-06_odp.04 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-06_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-06_odp.06 label: organization-defined sanitization techniques and procedures - id: mp-06_odp.01 props: - name: label value: MP-06_ODP[01] class: sp800-53a label: system media constraints: - description: 'techniques and procedures IAW NIST SP 800-88 Section 4: Reuse and Disposal of Storage Media and Hardware' guidelines: - prose: system media to be sanitized prior to disposal is defined; - id: mp-06_odp.02 props: - name: label value: MP-06_ODP[02] class: sp800-53a label: system media constraints: - description: 'techniques and procedures IAW NIST SP 800-88 Section 4: Reuse and Disposal of Storage Media and Hardware' guidelines: - prose: system media to be sanitized prior to release from organizational control is defined; - id: mp-06_odp.03 props: - name: label value: MP-06_ODP[03] class: sp800-53a label: system media constraints: - description: 'techniques and procedures IAW NIST SP 800-88 Section 4: Reuse and Disposal of Storage Media and Hardware' guidelines: - prose: system media to be sanitized prior to release for reuse is defined; - id: mp-06_odp.04 props: - name: label value: MP-06_ODP[04] class: sp800-53a label: sanitization techniques and procedures guidelines: - prose: sanitization techniques and procedures to be used for sanitization prior to disposal are defined; - id: mp-06_odp.05 props: - name: label value: MP-06_ODP[05] class: sp800-53a label: sanitization techniques and procedures guidelines: - prose: sanitization techniques and procedures to be used for sanitization prior to release from organizational control are defined; - id: mp-06_odp.06 props: - name: label value: MP-06_ODP[06] class: sp800-53a label: sanitization techniques and procedures guidelines: - prose: sanitization techniques and procedures to be used for sanitization prior to release for reuse are defined; props: - name: label value: MP-06 class: zero-padded - name: label value: MP-6 - name: label value: MP-06 class: sp800-53a - name: sort-id value: mp-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#91f992fb-f668-4c91-a50f-0f05b95ccee3' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94' rel: reference - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a' rel: reference - href: '#9be5d661-421f-41ad-854e-86f98b811891' rel: reference - href: '#a5b1d18d-e670-4586-9e6d-4a88b7ba3df6' rel: reference - href: '#0f66be67-85e7-4ca6-bd19-39453e9f4394' rel: reference - href: '#4c501da5-9d79-4cb6-ba80-97260e1ce327' rel: reference - href: '#df9f87e9-71e7-4c74-9ac3-3cabd4e92f21' rel: reference - href: '#ac-3' rel: related - href: '#ac-7' rel: related - href: '#au-11' rel: related - href: '#ma-2' rel: related - href: '#ma-3' rel: related - href: '#ma-4' rel: related - href: '#ma-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-22 rel: related - href: '#si-12' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-18 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-19 rel: related - href: '#sr-11' rel: related parts: - id: mp-6_smt name: statement parts: - id: mp-6_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Sanitize {{ insert: param, mp-6_prm_1 }} prior to disposal, release out of organizational control, or release for reuse using {{ insert: param, mp-6_prm_2 }} ; and' - id: mp-6_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Employ sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information. - id: mp-6_gdn name: guidance prose: Media sanitization applies to all digital and non-digital system media subject to disposal or reuse, whether or not the media is considered removable. Examples include digital media in scanners, copiers, printers, notebook computers, workstations, network components, mobile devices, and non-digital media (e.g., paper and microfilm). The sanitization process removes information from system media such that the information cannot be retrieved or reconstructed. Sanitization techniques—including clearing, purging, cryptographic erase, de-identification of personally identifiable information, 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 that contains information deemed to be in the public domain or publicly releasable or information deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes destruction, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections or words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media that contains classified information. NARA policies control the sanitization process for controlled unclassified information. - id: mp-6_obj name: assessment-objective props: - name: label value: MP-06 class: sp800-53a parts: - id: mp-6_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-06a. class: sp800-53a parts: - id: mp-6_obj.a-1 name: assessment-objective props: - name: label value: MP-06a.[01] class: sp800-53a prose: '{{ insert: param, mp-06_odp.01 }} is sanitized using {{ insert: param, mp-06_odp.04 }} prior to disposal;' links: - href: '#mp-6_smt.a' rel: assessment-for - id: mp-6_obj.a-2 name: assessment-objective props: - name: label value: MP-06a.[02] class: sp800-53a prose: '{{ insert: param, mp-06_odp.02 }} is sanitized using {{ insert: param, mp-06_odp.05 }} prior to release from organizational control;' links: - href: '#mp-6_smt.a' rel: assessment-for - id: mp-6_obj.a-3 name: assessment-objective props: - name: label value: MP-06a.[03] class: sp800-53a prose: '{{ insert: param, mp-06_odp.03 }} is sanitized using {{ insert: param, mp-06_odp.06 }} prior to release for reuse;' links: - href: '#mp-6_smt.a' rel: assessment-for links: - href: '#mp-6_smt.a' rel: assessment-for - id: mp-6_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-06b. class: sp800-53a prose: sanitization mechanisms with strength and integrity commensurate with the security category or classification of the information are employed. links: - href: '#mp-6_smt.b' rel: assessment-for links: - href: '#mp-6_smt' rel: assessment-for - id: mp-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-06-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System media protection policy procedures addressing media sanitization and disposal applicable federal standards and policies addressing media sanitization policy media sanitization records system audit records system design documentation records retention and disposition policy records retention and disposition procedures system configuration settings and associated documentation system security plan privacy plan other relevant documents or records' - id: mp-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-06-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with media sanitization responsibilities organizational personnel with records retention and disposition responsibilities organizational personnel with information security and privacy responsibilities system/network administrators' - id: mp-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-06-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for media sanitization mechanisms supporting and/or implementing media sanitization' controls: - id: mp-6.1 class: SP800-53-enhancement title: Review, Approve, Track, Document, and Verify props: - name: label value: MP-06(01) class: zero-padded - name: label value: MP-6(1) - name: label value: MP-06(01) class: sp800-53a - name: sort-id value: mp-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#mp-6' rel: required parts: - id: mp-6.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Review, approve, track, document, and verify media sanitization and disposal actions. - id: mp-6.1_gdn name: guidance prose: Organizations review and approve media to be sanitized to ensure compliance with records retention policies. Tracking and documenting actions include listing personnel who reviewed and approved sanitization and disposal actions, types of media sanitized, files stored on the media, sanitization methods used, date and time of the sanitization actions, personnel who performed the sanitization, verification actions taken and personnel who performed the verification, and the disposal actions taken. Organizations verify that the sanitization of the media was effective prior to disposal. - id: mp-6.1_fr name: item ns: http://fedramp.gov/ns/oscal title: MP-6 (1) Additional FedRAMP Requirements and Guidance parts: - id: mp-6.1_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Must comply with NIST SP 800-88 - id: mp-6.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-06(01) class: sp800-53a parts: - id: mp-6.1_obj-1 name: assessment-objective props: - name: label value: MP-06(01)[01] class: sp800-53a prose: media sanitization and disposal actions are reviewed; links: - href: '#mp-6.1_smt' rel: assessment-for - id: mp-6.1_obj-2 name: assessment-objective props: - name: label value: MP-06(01)[02] class: sp800-53a prose: media sanitization and disposal actions are approved; links: - href: '#mp-6.1_smt' rel: assessment-for - id: mp-6.1_obj-3 name: assessment-objective props: - name: label value: MP-06(01)[03] class: sp800-53a prose: media sanitization and disposal actions are tracked; links: - href: '#mp-6.1_smt' rel: assessment-for - id: mp-6.1_obj-4 name: assessment-objective props: - name: label value: MP-06(01)[04] class: sp800-53a prose: media sanitization and disposal actions are documented; links: - href: '#mp-6.1_smt' rel: assessment-for - id: mp-6.1_obj-5 name: assessment-objective props: - name: label value: MP-06(01)[05] class: sp800-53a prose: media sanitization and disposal actions are verified. links: - href: '#mp-6.1_smt' rel: assessment-for links: - href: '#mp-6.1_smt' rel: assessment-for - id: mp-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-06(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System media protection policy procedures addressing media sanitization and disposal records retention and disposition policy records retention and disposition procedures media sanitization and disposal records review records for media sanitization and disposal actions approvals for media sanitization and disposal actions tracking records verification records system audit records system security plan privacy plan other relevant documents or records' - id: mp-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-06(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system media sanitization and disposal responsibilities organizational personnel with records retention and disposition responsibilities organizational personnel with information security and privacy responsibilities system/network administrators' - id: mp-6.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-06(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for media sanitization mechanisms supporting and/or implementing media sanitization mechanisms supporting and/or implementing verification of media sanitization' - id: mp-6.2 class: SP800-53-enhancement title: Equipment Testing params: - id: mp-6.2_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-06.02_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-06.02_odp.02 label: organization-defined frequency - id: mp-06.02_odp.01 props: - name: label value: MP-06(02)_ODP[01] class: sp800-53a label: frequency constraints: - description: at least every six (6) months guidelines: - prose: frequency with which to test sanitization equipment is defined; - id: mp-06.02_odp.02 props: - name: label value: MP-06(02)_ODP[02] class: sp800-53a label: frequency constraints: - description: at least every six (6) months guidelines: - prose: frequency with which to test sanitization procedures is defined; props: - name: label value: MP-06(02) class: zero-padded - name: label value: MP-6(2) - name: label value: MP-06(02) class: sp800-53a - name: sort-id value: mp-06.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#mp-6' rel: required parts: - id: mp-6.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Test sanitization equipment and procedures {{ insert: param, mp-6.2_prm_1 }} to ensure that the intended sanitization is being achieved.' - id: mp-6.2_gdn name: guidance prose: Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities, including federal agencies or external service providers. - id: mp-6.2_fr name: item ns: http://fedramp.gov/ns/oscal title: MP-6 (2) Additional FedRAMP Requirements and Guidance parts: - id: mp-6.2_fr_smt.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Equipment and procedures may be tested or validated for effectiveness - id: mp-6.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-06(02) class: sp800-53a parts: - id: mp-6.2_obj-1 name: assessment-objective props: - name: label value: MP-06(02)[01] class: sp800-53a prose: 'sanitization equipment is tested {{ insert: param, mp-06.02_odp.01 }} to ensure that the intended sanitization is being achieved;' links: - href: '#mp-6.2_smt' rel: assessment-for - id: mp-6.2_obj-2 name: assessment-objective props: - name: label value: MP-06(02)[02] class: sp800-53a prose: 'sanitization procedures are tested {{ insert: param, mp-06.02_odp.02 }} to ensure that the intended sanitization is being achieved.' links: - href: '#mp-6.2_smt' rel: assessment-for links: - href: '#mp-6.2_smt' rel: assessment-for - id: mp-6.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-06(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System media protection policy procedures addressing media sanitization and disposal procedures addressing testing of media sanitization equipment results of media sanitization equipment and procedures testing system audit records records retention and disposition policy records retention and disposition procedures system security plan privacy plan other relevant documents or records' - id: mp-6.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-06(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system media sanitization responsibilities organizational personnel with records retention and disposition responsibilities organizational personnel with information security and privacy responsibilities' - id: mp-6.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-06(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for media sanitization automated mechanisms supporting and/or implementing media sanitization automated mechanisms supporting and/or implementing media sanitization procedures sanitization equipment' - id: mp-6.3 class: SP800-53-enhancement title: Nondestructive Techniques params: - id: mp-06.03_odp props: - name: alt-identifier value: mp-6.3_prm_1 - name: alt-label value: circumstances requiring sanitization of portable storage devices class: sp800-53 - name: label value: MP-06(03)_ODP class: sp800-53a label: circumstances guidelines: - prose: circumstances requiring sanitization of portable storage devices are defined; props: - name: label value: MP-06(03) class: zero-padded - name: label value: MP-6(3) - name: label value: MP-06(03) class: sp800-53a - name: sort-id value: mp-06.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#mp-6' rel: required parts: - id: mp-6.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Apply nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the system under the following circumstances: {{ insert: param, mp-06.03_odp }}.' - id: mp-6.3_gdn name: guidance prose: Portable storage devices include external or removable hard disk drives (e.g., solid state, magnetic), optical discs, magnetic or optical tapes, flash memory devices, flash memory cards, and other external or removable disks. Portable storage devices can be obtained from untrustworthy sources and contain malicious code that can be inserted into or transferred to organizational systems through USB ports or other entry portals. While scanning storage devices is recommended, sanitization provides additional assurance that such devices are free of malicious code. Organizations consider nondestructive sanitization of portable storage devices when the devices are purchased from manufacturers or vendors prior to initial use or when organizations cannot maintain a positive chain of custody for the devices. - id: mp-6.3_fr name: item ns: http://fedramp.gov/ns/oscal title: MP-6 (3) Additional FedRAMP Requirements and Guidance parts: - id: mp-6.3_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Must comply with NIST SP 800-88 - id: mp-6.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-06(03) class: sp800-53a prose: 'non-destructive sanitization techniques are applied to portable storage devices prior to connecting such devices to the system under {{ insert: param, mp-06.03_odp }}.' links: - href: '#mp-6.3_smt' rel: assessment-for - id: mp-6.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-06(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System media protection policy procedures addressing media sanitization and disposal information on portable storage devices for the system list of circumstances requiring sanitization of portable storage devices media sanitization records audit records system security plan other relevant documents or records' - id: mp-6.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-06(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system media sanitization responsibilities organizational personnel with information security responsibilities' - id: mp-6.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-06(03)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for media sanitization of portable storage devices mechanisms supporting and/or implementing media sanitization' - id: mp-7 class: SP800-53 title: Media Use params: - id: mp-07_odp.01 props: - name: alt-identifier value: mp-7_prm_2 - name: label value: MP-07_ODP[01] class: sp800-53a label: types of system media guidelines: - prose: types of system media to be restricted or prohibited from use on systems or system components are defined; - id: mp-07_odp.02 props: - name: alt-identifier value: mp-7_prm_1 - name: label value: MP-07_ODP[02] class: sp800-53a select: choice: - restrict - prohibit - id: mp-07_odp.03 props: - name: alt-identifier value: mp-7_prm_3 - name: label value: MP-07_ODP[03] class: sp800-53a label: systems or system components guidelines: - prose: systems or system components on which the use of specific types of system media to be restricted or prohibited are defined; - id: mp-07_odp.04 props: - name: alt-identifier value: mp-7_prm_4 - name: label value: MP-07_ODP[04] class: sp800-53a label: controls guidelines: - prose: controls to restrict or prohibit the use of specific types of system media on systems or system components are defined; props: - name: label value: MP-07 class: zero-padded - name: label value: MP-7 - name: label value: MP-07 class: sp800-53a - name: sort-id value: mp-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#22f2d4f0-4365-4e88-a30d-275c1f5473ea' rel: reference - href: '#ac-19' rel: related - href: '#ac-20' rel: related - href: '#pl-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-12 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-34 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-41 rel: related parts: - id: mp-7_smt name: statement parts: - id: mp-7_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: '{{ insert: param, mp-07_odp.02 }} the use of {{ insert: param, mp-07_odp.01 }} on {{ insert: param, mp-07_odp.03 }} using {{ insert: param, mp-07_odp.04 }} ; and' - id: mp-7_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Prohibit the use of portable storage devices in organizational systems when such devices have no identifiable owner. - id: mp-7_gdn name: guidance prose: System media includes both digital and non-digital media. Digital media includes diskettes, magnetic tapes, flash drives, compact discs, digital versatile discs, and removable hard disk drives. Non-digital media includes paper and microfilm. Media use protections also apply to mobile devices with information storage capabilities. In contrast to [MP-2](#mp-2) , which restricts user access to media, MP-7 restricts the use of certain types of media on systems, for example, restricting or prohibiting the use of flash drives or external hard disk drives. Organizations use technical and nontechnical controls to restrict the use of system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports or disabling or removing the ability to insert, read, or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices, including 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, such as by prohibiting the use of writeable, portable storage devices and implementing this restriction by disabling or removing the capability to write to such devices. Requiring identifiable owners for storage devices reduces the risk of using such devices by allowing organizations to assign responsibility for addressing known vulnerabilities in the devices. - id: mp-7_obj name: assessment-objective props: - name: label value: MP-07 class: sp800-53a parts: - id: mp-7_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-07a. class: sp800-53a prose: 'the use of {{ insert: param, mp-07_odp.01 }} is {{ insert: param, mp-07_odp.02 }} on {{ insert: param, mp-07_odp.03 }} using {{ insert: param, mp-07_odp.04 }};' links: - href: '#mp-7_smt.a' rel: assessment-for - id: mp-7_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: MP-07b. class: sp800-53a prose: the use of portable storage devices in organizational systems is prohibited when such devices have no identifiable owner. links: - href: '#mp-7_smt.b' rel: assessment-for links: - href: '#mp-7_smt' rel: assessment-for - id: mp-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-07-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System media protection policy system use policy procedures addressing media usage restrictions rules of behavior system design documentation system configuration settings and associated documentation audit records system security plan other relevant documents or records' - id: mp-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-07-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system media use responsibilities organizational personnel with information security responsibilities system/network administrators' - id: mp-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-07-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for media use mechanisms restricting or prohibiting the use of system media on systems or system components' - id: pe class: family title: Physical and Environmental Protection controls: - id: pe-1 class: SP800-53 title: Policy and Procedures params: - id: pe-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pe-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pe-01_odp.02 label: organization-defined personnel or roles - id: pe-01_odp.01 props: - name: label value: PE-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the physical and environmental protection policy is to be disseminated is/are defined; - id: pe-01_odp.02 props: - name: label value: PE-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the physical and environmental protection procedures are to be disseminated is/are defined; - id: pe-01_odp.03 props: - name: alt-identifier value: pe-1_prm_2 - name: label value: PE-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: pe-01_odp.04 props: - name: alt-identifier value: pe-1_prm_3 - name: label value: PE-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the physical and environmental protection policy and procedures is defined; - id: pe-01_odp.05 props: - name: alt-identifier value: pe-1_prm_4 - name: label value: PE-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current physical and environmental protection policy is reviewed and updated is defined; - id: pe-01_odp.06 props: - name: alt-identifier value: pe-1_prm_5 - name: label value: PE-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current physical and environmental protection policy to be reviewed and updated are defined; - id: pe-01_odp.07 props: - name: alt-identifier value: pe-1_prm_6 - name: label value: PE-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current physical and environmental protection procedures are reviewed and updated is defined; - id: pe-01_odp.08 props: - name: alt-identifier value: pe-1_prm_7 - name: label value: PE-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that would require the physical and environmental protection procedures to be reviewed and updated are defined; props: - name: label value: PE-01 class: zero-padded - name: label value: PE-1 - name: label value: PE-01 class: sp800-53a - name: sort-id value: pe-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: '#at-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ps-8' rel: related - href: '#si-12' rel: related parts: - id: pe-1_smt name: statement parts: - id: pe-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses Physical and Environmental Protection MUST be associated with PE-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses Physical and Environmental Protection MUST be associated with PE-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, pe-1_prm_1 }}:' parts: - id: pe-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, pe-01_odp.03 }} physical and environmental protection policy that:' parts: - id: pe-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: pe-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: pe-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the physical and environmental protection policy and the associated physical and environmental protection controls; - id: pe-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, pe-01_odp.04 }} to manage the development, documentation, and dissemination of the physical and environmental protection policy and procedures; and' - id: pe-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current physical and environmental protection:' parts: - id: pe-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, pe-01_odp.05 }} and following {{ insert: param, pe-01_odp.06 }} ; and' - id: pe-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, pe-01_odp.07 }} and following {{ insert: param, pe-01_odp.08 }}.' - id: pe-1_gdn name: guidance prose: Physical and environmental protection policy and procedures address the controls in the PE family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of physical and environmental protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to physical and environmental protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: pe-1_obj name: assessment-objective props: - name: label value: PE-01 class: sp800-53a parts: - id: pe-1_obj.a name: assessment-objective props: - name: label value: PE-01a. class: sp800-53a parts: - id: pe-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PE-01a.[01] class: sp800-53a prose: a physical and environmental protection policy is developed and documented; links: - href: '#pe-1_smt.a' rel: assessment-for - id: pe-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PE-01a.[02] class: sp800-53a prose: 'the physical and environmental protection policy is disseminated to {{ insert: param, pe-01_odp.01 }};' links: - href: '#pe-1_smt.a' rel: assessment-for - id: pe-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PE-01a.[03] class: sp800-53a prose: physical and environmental protection procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls are developed and documented; links: - href: '#pe-1_smt.a' rel: assessment-for - id: pe-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PE-01a.[04] class: sp800-53a prose: 'the physical and environmental protection procedures are disseminated to {{ insert: param, pe-01_odp.02 }};' links: - href: '#pe-1_smt.a' rel: assessment-for - id: pe-1_obj.a.1 name: assessment-objective props: - name: label value: PE-01a.01 class: sp800-53a parts: - id: pe-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PE-01a.01(a) class: sp800-53a parts: - id: pe-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: PE-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses purpose;' links: - href: '#pe-1_smt.a.1.a' rel: assessment-for - id: pe-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: PE-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses scope;' links: - href: '#pe-1_smt.a.1.a' rel: assessment-for - id: pe-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: PE-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses roles;' links: - href: '#pe-1_smt.a.1.a' rel: assessment-for - id: pe-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: PE-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses responsibilities;' links: - href: '#pe-1_smt.a.1.a' rel: assessment-for - id: pe-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: PE-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses management commitment;' links: - href: '#pe-1_smt.a.1.a' rel: assessment-for - id: pe-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: PE-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses coordination among organizational entities;' links: - href: '#pe-1_smt.a.1.a' rel: assessment-for - id: pe-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: PE-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses compliance;' links: - href: '#pe-1_smt.a.1.a' rel: assessment-for links: - href: '#pe-1_smt.a.1.a' rel: assessment-for - id: pe-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PE-01a.01(b) class: sp800-53a prose: 'the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;' links: - href: '#pe-1_smt.a.1.b' rel: assessment-for links: - href: '#pe-1_smt.a.1' rel: assessment-for links: - href: '#pe-1_smt.a' rel: assessment-for - id: pe-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PE-01b. class: sp800-53a prose: 'the {{ insert: param, pe-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the physical and environmental protection policy and procedures;' links: - href: '#pe-1_smt.b' rel: assessment-for - id: pe-1_obj.c name: assessment-objective props: - name: label value: PE-01c. class: sp800-53a parts: - id: pe-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PE-01c.01 class: sp800-53a parts: - id: pe-1_obj.c.1-1 name: assessment-objective props: - name: label value: PE-01c.01[01] class: sp800-53a prose: 'the current physical and environmental protection policy is reviewed and updated {{ insert: param, pe-01_odp.05 }};' links: - href: '#pe-1_smt.c.1' rel: assessment-for - id: pe-1_obj.c.1-2 name: assessment-objective props: - name: label value: PE-01c.01[02] class: sp800-53a prose: 'the current physical and environmental protection policy is reviewed and updated following {{ insert: param, pe-01_odp.06 }};' links: - href: '#pe-1_smt.c.1' rel: assessment-for links: - href: '#pe-1_smt.c.1' rel: assessment-for - id: pe-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PE-01c.02 class: sp800-53a parts: - id: pe-1_obj.c.2-1 name: assessment-objective props: - name: label value: PE-01c.02[01] class: sp800-53a prose: 'the current physical and environmental protection procedures are reviewed and updated {{ insert: param, pe-01_odp.07 }};' links: - href: '#pe-1_smt.c.2' rel: assessment-for - id: pe-1_obj.c.2-2 name: assessment-objective props: - name: label value: PE-01c.02[02] class: sp800-53a prose: 'the current physical and environmental protection procedures are reviewed and updated following {{ insert: param, pe-01_odp.08 }}.' links: - href: '#pe-1_smt.c.2' rel: assessment-for links: - href: '#pe-1_smt.c.2' rel: assessment-for links: - href: '#pe-1_smt.c' rel: assessment-for links: - href: '#pe-1_smt' rel: assessment-for - id: pe-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy and procedures system security plan privacy plan organizational risk management strategy other relevant documents or records' - id: pe-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with physical and environmental protection responsibilities organizational personnel with information security and privacy responsibilities' - id: pe-2 class: SP800-53 title: Physical Access Authorizations params: - id: pe-02_odp props: - name: alt-identifier value: pe-2_prm_1 - name: label value: PE-02_ODP class: sp800-53a label: frequency constraints: - description: at least every ninety (90) days guidelines: - prose: frequency at which to review the access list detailing authorized facility access by individuals is defined; props: - name: label value: PE-02 class: zero-padded - name: label value: PE-2 - name: label value: PE-02 class: sp800-53a - name: sort-id value: pe-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#858705be-3c1f-48aa-a328-0ce398d95ef0' rel: reference - href: '#7af2e6ec-9f7e-4232-ad3f-09888eb0793a' rel: reference - href: '#828856bd-d7c4-427b-8b51-815517ec382d' rel: reference - href: '#at-3' rel: related - href: '#au-9' rel: related - href: '#ia-4' rel: related - href: '#ma-5' rel: related - href: '#mp-2' rel: related - href: '#pe-3' rel: related - href: '#pe-4' rel: related - href: '#pe-5' rel: related - href: '#pe-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-12 rel: related - href: '#ps-3' rel: related - href: '#ps-4' rel: related - href: '#ps-5' rel: related - href: '#ps-6' rel: related parts: - id: pe-2_smt name: statement parts: - id: pe-2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Develop, approve, and maintain a list of individuals with authorized access to the facility where the system resides; - id: pe-2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Issue authorization credentials for facility access; - id: pe-2_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Review the access list detailing authorized facility access by individuals {{ insert: param, pe-02_odp }} ; and' - id: pe-2_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Remove individuals from the facility access list when access is no longer required. - id: pe-2_gdn name: guidance prose: Physical access authorizations apply to employees and visitors. Individuals with permanent physical access authorization credentials are not considered visitors. Authorization credentials include ID badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Physical access authorizations may not be necessary to access certain areas within facilities that are designated as publicly accessible. - id: pe-2_obj name: assessment-objective props: - name: label value: PE-02 class: sp800-53a parts: - id: pe-2_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PE-02a. class: sp800-53a parts: - id: pe-2_obj.a-1 name: assessment-objective props: - name: label value: PE-02a.[01] class: sp800-53a prose: a list of individuals with authorized access to the facility where the system resides has been developed; links: - href: '#pe-2_smt.a' rel: assessment-for - id: pe-2_obj.a-2 name: assessment-objective props: - name: label value: PE-02a.[02] class: sp800-53a prose: the list of individuals with authorized access to the facility where the system resides has been approved; links: - href: '#pe-2_smt.a' rel: assessment-for - id: pe-2_obj.a-3 name: assessment-objective props: - name: label value: PE-02a.[03] class: sp800-53a prose: the list of individuals with authorized access to the facility where the system resides has been maintained; links: - href: '#pe-2_smt.a' rel: assessment-for links: - href: '#pe-2_smt.a' rel: assessment-for - id: pe-2_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-02b. class: sp800-53a prose: authorization credentials are issued for facility access; links: - href: '#pe-2_smt.b' rel: assessment-for - id: pe-2_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-02c. class: sp800-53a prose: 'the access list detailing authorized facility access by individuals is reviewed {{ insert: param, pe-02_odp }};' links: - href: '#pe-2_smt.c' rel: assessment-for - id: pe-2_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-02d. class: sp800-53a prose: individuals are removed from the facility access list when access is no longer required. links: - href: '#pe-2_smt.d' rel: assessment-for links: - href: '#pe-2_smt' rel: assessment-for - id: pe-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing physical access authorizations authorized personnel access list authorization credentials physical access list reviews physical access termination records and associated documentation system security plan other relevant documents or records' - id: pe-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with physical access authorization responsibilities organizational personnel with physical access to system facility organizational personnel with information security responsibilities' - id: pe-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-02-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for physical access authorizations mechanisms supporting and/or implementing physical access authorizations' - id: pe-3 class: SP800-53 title: Physical Access Control params: - id: pe-3_prm_9 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pe-03_odp.09 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pe-03_odp.10 label: organization-defined frequency - id: pe-03_odp.01 props: - name: alt-identifier value: pe-3_prm_1 - name: alt-label value: entry and exit points to the facility where the system resides class: sp800-53 - name: label value: PE-03_ODP[01] class: sp800-53a label: entry and exit points guidelines: - prose: entry and exit points to the facility in which the system resides are defined; - id: pe-03_odp.02 props: - name: alt-identifier value: pe-3_prm_2 - name: label value: PE-03_ODP[02] class: sp800-53a constraints: - description: CSP defined physical access control systems/devices AND guards - id: pe-03_odp.03 props: - name: alt-identifier value: pe-3_prm_3 - name: alt-label value: physical access control systems or devices class: sp800-53 - name: label value: PE-03_ODP[03] class: sp800-53a label: systems or devices guidelines: - prose: physical access control systems or devices used to control ingress and egress to the facility are defined (if selected); - id: pe-03_odp.04 props: - name: alt-identifier value: pe-3_prm_4 - name: label value: PE-03_ODP[04] class: sp800-53a label: entry or exit points guidelines: - prose: entry or exit points for which physical access logs are maintained are defined; - id: pe-03_odp.05 props: - name: alt-identifier value: pe-3_prm_5 - name: label value: PE-03_ODP[05] class: sp800-53a label: physical access controls guidelines: - prose: physical access controls to control access to areas within the facility designated as publicly accessible are defined; - id: pe-03_odp.06 props: - name: alt-identifier value: pe-3_prm_6 - name: alt-label value: circumstances requiring visitor escorts and control of visitor activity class: sp800-53 - name: label value: PE-03_ODP[06] class: sp800-53a label: circumstances constraints: - description: in all circumstances within restricted access area where the information system resides guidelines: - prose: circumstances requiring visitor escorts and control of visitor activity are defined; - id: pe-03_odp.07 props: - name: alt-identifier value: pe-3_prm_7 - name: label value: PE-03_ODP[07] class: sp800-53a label: physical access devices guidelines: - prose: physical access devices to be inventoried are defined; - id: pe-03_odp.08 props: - name: alt-identifier value: pe-3_prm_8 - name: label value: PE-03_ODP[08] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: frequency at which to inventory physical access devices is defined; - id: pe-03_odp.09 props: - name: label value: PE-03_ODP[09] class: sp800-53a label: frequency constraints: - description: at least annually or earlier as required by a security relevant event. guidelines: - prose: frequency at which to change combinations is defined; - id: pe-03_odp.10 props: - name: label value: PE-03_ODP[10] class: sp800-53a label: frequency constraints: - description: at least annually or earlier as required by a security relevant event. guidelines: - prose: frequency at which to change keys is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: PE-03 class: zero-padded - name: label value: PE-3 - name: label value: PE-03 class: sp800-53a - name: sort-id value: pe-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#858705be-3c1f-48aa-a328-0ce398d95ef0' rel: reference - href: '#7af2e6ec-9f7e-4232-ad3f-09888eb0793a' rel: reference - href: '#828856bd-d7c4-427b-8b51-815517ec382d' rel: reference - href: '#2100332a-16a5-4598-bacf-7261baea9711' rel: reference - href: '#at-3' rel: related - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#au-9' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-13 rel: related - href: '#cp-10' rel: related - href: '#ia-3' rel: related - href: '#ia-8' rel: related - href: '#ma-5' rel: related - href: '#mp-2' rel: related - href: '#mp-4' rel: related - href: '#pe-2' rel: related - href: '#pe-4' rel: related - href: '#pe-5' rel: related - href: '#pe-8' rel: related - href: '#ps-2' rel: related - href: '#ps-3' rel: related - href: '#ps-6' rel: related - href: '#ps-7' rel: related - href: '#ra-3' rel: related - href: '#sc-28' rel: related - href: '#si-4' rel: related - href: '#sr-3' rel: related parts: - id: pe-3_smt name: statement parts: - id: pe-3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Enforce physical access authorizations at {{ insert: param, pe-03_odp.01 }} by:' parts: - id: pe-3_smt.a.1 name: item props: - name: label value: '1.' prose: Verifying individual access authorizations before granting access to the facility; and - id: pe-3_smt.a.2 name: item props: - name: label value: '2.' prose: 'Controlling ingress and egress to the facility using {{ insert: param, pe-03_odp.02 }};' - id: pe-3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Maintain physical access audit logs for {{ insert: param, pe-03_odp.04 }};' - id: pe-3_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Control access to areas within the facility designated as publicly accessible by implementing the following controls: {{ insert: param, pe-03_odp.05 }};' - id: pe-3_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: 'Escort visitors and control visitor activity {{ insert: param, pe-03_odp.06 }};' - id: pe-3_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: Secure keys, combinations, and other physical access devices; - id: pe-3_smt.f name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: f. prose: 'Inventory {{ insert: param, pe-03_odp.07 }} every {{ insert: param, pe-03_odp.08 }} ; and' - id: pe-3_smt.g name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: g. prose: 'Change combinations and keys {{ insert: param, pe-3_prm_9 }} and/or when keys are lost, combinations are compromised, or when individuals possessing the keys or combinations are transferred or terminated.' - id: pe-3_gdn name: guidance prose: Physical access control applies to employees and visitors. Individuals with permanent physical access authorizations are not considered visitors. Physical access controls for publicly accessible areas may include physical access control logs/records, guards, or physical access devices and barriers to prevent movement from publicly accessible areas to non-public areas. Organizations determine the types of guards needed, including professional security staff, system users, or administrative staff. Physical access devices include keys, locks, combinations, biometric readers, and card readers. Physical access control systems comply with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural, automated, or some combination thereof. Physical access points can include facility access points, interior access points to systems that require supplemental access controls, or both. Components of systems may be in areas designated as publicly accessible with organizations controlling access to the components. - id: pe-3_obj name: assessment-objective props: - name: label value: PE-03 class: sp800-53a parts: - id: pe-3_obj.a name: assessment-objective props: - name: label value: PE-03a. class: sp800-53a parts: - id: pe-3_obj.a.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-03a.01 class: sp800-53a prose: 'physical access authorizations are enforced at {{ insert: param, pe-03_odp.01 }} by verifying individual access authorizations before granting access to the facility;' links: - href: '#pe-3_smt.a.1' rel: assessment-for - id: pe-3_obj.a.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-03a.02 class: sp800-53a prose: 'physical access authorizations are enforced at {{ insert: param, pe-03_odp.01 }} by controlling ingress and egress to the facility using {{ insert: param, pe-03_odp.02 }};' links: - href: '#pe-3_smt.a.2' rel: assessment-for links: - href: '#pe-3_smt.a' rel: assessment-for - id: pe-3_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PE-03b. class: sp800-53a prose: 'physical access audit logs are maintained for {{ insert: param, pe-03_odp.04 }};' links: - href: '#pe-3_smt.b' rel: assessment-for - id: pe-3_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-03c. class: sp800-53a prose: 'access to areas within the facility designated as publicly accessible are maintained by implementing {{ insert: param, pe-03_odp.05 }};' links: - href: '#pe-3_smt.c' rel: assessment-for - id: pe-3_obj.d name: assessment-objective props: - name: label value: PE-03d. class: sp800-53a parts: - id: pe-3_obj.d-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-03d.[01] class: sp800-53a prose: visitors are escorted; links: - href: '#pe-3_smt.d' rel: assessment-for - id: pe-3_obj.d-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-03d.[02] class: sp800-53a prose: 'visitor activity is controlled {{ insert: param, pe-03_odp.06 }};' links: - href: '#pe-3_smt.d' rel: assessment-for links: - href: '#pe-3_smt.d' rel: assessment-for - id: pe-3_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-03e. class: sp800-53a parts: - id: pe-3_obj.e-1 name: assessment-objective props: - name: label value: PE-03e.[01] class: sp800-53a prose: keys are secured; links: - href: '#pe-3_smt.e' rel: assessment-for - id: pe-3_obj.e-2 name: assessment-objective props: - name: label value: PE-03e.[02] class: sp800-53a prose: combinations are secured; links: - href: '#pe-3_smt.e' rel: assessment-for - id: pe-3_obj.e-3 name: assessment-objective props: - name: label value: PE-03e.[03] class: sp800-53a prose: other physical access devices are secured; links: - href: '#pe-3_smt.e' rel: assessment-for links: - href: '#pe-3_smt.e' rel: assessment-for - id: pe-3_obj.f name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PE-03f. class: sp800-53a prose: '{{ insert: param, pe-03_odp.07 }} are inventoried {{ insert: param, pe-03_odp.08 }};' links: - href: '#pe-3_smt.f' rel: assessment-for - id: pe-3_obj.g name: assessment-objective props: - name: label value: PE-03g. class: sp800-53a parts: - id: pe-3_obj.g-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-03g.[01] class: sp800-53a prose: 'combinations are changed {{ insert: param, pe-03_odp.09 }} , when combinations are compromised, or when individuals possessing the combinations are transferred or terminated;' links: - href: '#pe-3_smt.g' rel: assessment-for - id: pe-3_obj.g-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-03g.[02] class: sp800-53a prose: 'keys are changed {{ insert: param, pe-03_odp.10 }} , when keys are lost, or when individuals possessing the keys are transferred or terminated.' links: - href: '#pe-3_smt.g' rel: assessment-for links: - href: '#pe-3_smt.g' rel: assessment-for links: - href: '#pe-3_smt' rel: assessment-for - id: pe-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-03-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing physical access control physical access control logs or records inventory records of physical access control devices system entry and exit points records of key and lock combination changes storage locations for physical access control devices physical access control devices list of security safeguards controlling access to designated publicly accessible areas within facility system security plan other relevant documents or records' - id: pe-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-03-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities' - id: pe-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-03-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for physical access control mechanisms supporting and/or implementing physical access control physical access control devices' controls: - id: pe-3.1 class: SP800-53-enhancement title: System Access params: - id: pe-03.01_odp props: - name: alt-identifier value: pe-3.1_prm_1 - name: alt-label value: physical spaces containing one or more components of the system class: sp800-53 - name: label value: PE-03(01)_ODP class: sp800-53a label: physical spaces guidelines: - prose: physical spaces containing one or more components of the system are defined; props: - name: label value: PE-03(01) class: zero-padded - name: label value: PE-3(1) - name: label value: PE-03(01) class: sp800-53a - name: sort-id value: pe-03.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-3' rel: required parts: - id: pe-3.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Enforce physical access authorizations to the system in addition to the physical access controls for the facility at {{ insert: param, pe-03.01_odp }}.' - id: pe-3.1_gdn name: guidance prose: Control of physical access to the system provides additional physical security for those areas within facilities where there is a concentration of system components. - id: pe-3.1_obj name: assessment-objective props: - name: label value: PE-03(01) class: sp800-53a parts: - id: pe-3.1_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-03(01)[01] class: sp800-53a prose: physical access authorizations to the system are enforced; links: - href: '#pe-3.1_smt' rel: assessment-for - id: pe-3.1_obj.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-03(01)[02] class: sp800-53a prose: 'physical access controls are enforced for the facility at {{ insert: param, pe-03.01_odp }}.' links: - href: '#pe-3.1_smt' rel: assessment-for links: - href: '#pe-3.1_smt' rel: assessment-for - id: pe-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing physical access control physical access control logs or records physical access control devices access authorizations access credentials system entry and exit points list of areas within the facility containing concentrations of system components or system components requiring additional physical protection system security plan other relevant documents or records' - id: pe-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with physical access authorization responsibilities organizational personnel with information security responsibilities' - id: pe-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-03(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for physical access control to the information system/components mechanisms supporting and/or implementing physical access control for facility areas containing system components' - id: pe-4 class: SP800-53 title: Access Control for Transmission params: - id: pe-04_odp.01 props: - name: alt-identifier value: pe-4_prm_1 - name: label value: PE-04_ODP[01] class: sp800-53a label: system distribution and transmission lines guidelines: - prose: system distribution and transmission lines requiring physical access controls are defined; - id: pe-04_odp.02 props: - name: alt-identifier value: pe-4_prm_2 - name: label value: PE-04_ODP[02] class: sp800-53a label: security controls guidelines: - prose: security controls to be implemented to control physical access to system distribution and transmission lines within the organizational facility are defined; props: - name: label value: PE-04 class: zero-padded - name: label value: PE-4 - name: label value: PE-04 class: sp800-53a - name: sort-id value: pe-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#at-3' rel: related - href: '#ia-4' rel: related - href: '#mp-2' rel: related - href: '#mp-4' rel: related - href: '#pe-2' rel: related - href: '#pe-3' rel: related - href: '#pe-5' rel: related - href: '#pe-9' rel: related - href: '#sc-7' rel: related - href: '#sc-8' rel: related parts: - id: pe-4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Control physical access to {{ insert: param, pe-04_odp.01 }} within organizational facilities using {{ insert: param, pe-04_odp.02 }}.' - id: pe-4_gdn name: guidance prose: Security controls applied to system distribution and transmission lines prevent accidental damage, disruption, and physical tampering. Such controls may also be necessary to prevent eavesdropping or modification of unencrypted transmissions. Security controls used to control physical access to system distribution and transmission lines include disconnected or locked spare jacks, locked wiring closets, protection of cabling by conduit or cable trays, and wiretapping sensors. - id: pe-4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-04 class: sp800-53a prose: 'physical access to {{ insert: param, pe-04_odp.01 }} within organizational facilities is controlled using {{ insert: param, pe-04_odp.02 }}.' links: - href: '#pe-4_smt' rel: assessment-for - id: pe-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-04-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing access control for transmission mediums system design documentation facility communications and wiring diagrams list of physical security safeguards applied to system distribution and transmission lines system security plan other relevant documents or records' - id: pe-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-04-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities' - id: pe-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-04-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for access control to distribution and transmission lines mechanisms/security safeguards supporting and/or implementing access control to distribution and transmission lines' - id: pe-5 class: SP800-53 title: Access Control for Output Devices params: - id: pe-05_odp props: - name: alt-identifier value: pe-5_prm_1 - name: label value: PE-05_ODP class: sp800-53a label: output devices guidelines: - prose: output devices that require physical access control to output are defined; props: - name: label value: PE-05 class: zero-padded - name: label value: PE-5 - name: label value: PE-05 class: sp800-53a - name: sort-id value: pe-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#4c501da5-9d79-4cb6-ba80-97260e1ce327' rel: reference - href: '#pe-2' rel: related - href: '#pe-3' rel: related - href: '#pe-4' rel: related - href: '#pe-18' rel: related parts: - id: pe-5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Control physical access to output from {{ insert: param, pe-05_odp }} to prevent unauthorized individuals from obtaining the output.' - id: pe-5_gdn name: guidance prose: Controlling physical access to output devices includes placing output devices in locked rooms or other secured areas with keypad or card reader access controls and allowing access to authorized individuals only, placing output devices in locations that can be monitored by personnel, installing monitor or screen filters, and using headphones. Examples of output devices include monitors, printers, scanners, audio devices, facsimile machines, and copiers. - id: pe-5_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-05 class: sp800-53a prose: 'physical access to output from {{ insert: param, pe-05_odp }} is controlled to prevent unauthorized individuals from obtaining the output.' links: - href: '#pe-5_smt' rel: assessment-for - id: pe-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-05-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing access control for display medium facility layout of system components actual displays from system components list of output devices and associated outputs requiring physical access controls physical access control logs or records for areas containing output devices and related outputs system security plan other relevant documents or records' - id: pe-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-05-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities' - id: pe-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-05-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for access control to output devices mechanisms supporting and/or implementing access control to output devices' - id: pe-6 class: SP800-53 title: Monitoring Physical Access params: - id: pe-06_odp.01 props: - name: alt-identifier value: pe-6_prm_1 - name: label value: PE-06_ODP[01] class: sp800-53a label: frequency constraints: - description: at least monthly guidelines: - prose: the frequency at which to review physical access logs is defined; - id: pe-06_odp.02 props: - name: alt-identifier value: pe-6_prm_2 - name: alt-label value: events or potential indications of events class: sp800-53 - name: label value: PE-06_ODP[02] class: sp800-53a label: events guidelines: - prose: events or potential indication of events requiring physical access logs to be reviewed are defined; props: - name: label value: PE-06 class: zero-padded - name: label value: PE-6 - name: label value: PE-06 class: sp800-53a - name: sort-id value: pe-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#au-9' rel: related - href: '#au-12' rel: related - href: '#ca-7' rel: related - href: '#cp-10' rel: related - href: '#ir-4' rel: related - href: '#ir-8' rel: related parts: - id: pe-6_smt name: statement parts: - id: pe-6_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Monitor physical access to the facility where the system resides to detect and respond to physical security incidents; - id: pe-6_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Review physical access logs {{ insert: param, pe-06_odp.01 }} and upon occurrence of {{ insert: param, pe-06_odp.02 }} ; and' - id: pe-6_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Coordinate results of reviews and investigations with the organizational incident response capability. - id: pe-6_gdn name: guidance prose: Physical access monitoring includes publicly accessible areas within organizational facilities. Examples of physical access monitoring include the employment of guards, video surveillance equipment (i.e., cameras), and sensor devices. Reviewing physical access logs can help identify suspicious activity, anomalous events, or potential threats. The reviews can be supported by audit logging controls, such as [AU-2](#au-2) , if the access logs are part of an automated system. Organizational incident response capabilities include investigations of physical security incidents and responses to the incidents. Incidents include security violations or suspicious physical access activities. Suspicious physical access activities include accesses outside of normal work hours, repeated accesses to areas not normally accessed, accesses for unusual lengths of time, and out-of-sequence accesses. - id: pe-6_obj name: assessment-objective props: - name: label value: PE-06 class: sp800-53a parts: - id: pe-6_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-06a. class: sp800-53a prose: physical access to the facility where the system resides is monitored to detect and respond to physical security incidents; links: - href: '#pe-6_smt.a' rel: assessment-for - id: pe-6_obj.b name: assessment-objective props: - name: label value: PE-06b. class: sp800-53a parts: - id: pe-6_obj.b-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-06b.[01] class: sp800-53a prose: 'physical access logs are reviewed {{ insert: param, pe-06_odp.01 }};' links: - href: '#pe-6_smt.b' rel: assessment-for - id: pe-6_obj.b-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-06b.[02] class: sp800-53a prose: 'physical access logs are reviewed upon occurrence of {{ insert: param, pe-06_odp.02 }};' links: - href: '#pe-6_smt.b' rel: assessment-for links: - href: '#pe-6_smt.b' rel: assessment-for - id: pe-6_obj.c name: assessment-objective props: - name: label value: PE-06c. class: sp800-53a parts: - id: pe-6_obj.c-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PE-06c.[01] class: sp800-53a prose: results of reviews are coordinated with organizational incident response capabilities; links: - href: '#pe-6_smt.c' rel: assessment-for - id: pe-6_obj.c-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PE-06c.[02] class: sp800-53a prose: results of investigations are coordinated with organizational incident response capabilities. links: - href: '#pe-6_smt.c' rel: assessment-for links: - href: '#pe-6_smt.c' rel: assessment-for links: - href: '#pe-6_smt' rel: assessment-for - id: pe-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-06-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing physical access monitoring physical access logs or records physical access monitoring records physical access log reviews system security plan other relevant documents or records' - id: pe-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-06-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with physical access monitoring responsibilities organizational personnel with incident response responsibilities organizational personnel with information security responsibilities' - id: pe-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-06-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for monitoring physical access mechanisms supporting and/or implementing physical access monitoring mechanisms supporting and/or implementing the review of physical access logs' controls: - id: pe-6.1 class: SP800-53-enhancement title: Intrusion Alarms and Surveillance Equipment props: - name: label value: PE-06(01) class: zero-padded - name: label value: PE-6(1) - name: label value: PE-06(01) class: sp800-53a - name: sort-id value: pe-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#pe-6' rel: required parts: - id: pe-6.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Monitor physical access to the facility where the system resides using physical intrusion alarms and surveillance equipment. - id: pe-6.1_gdn name: guidance prose: Physical intrusion alarms can be employed to alert security personnel when unauthorized access to the facility is attempted. Alarm systems work in conjunction with physical barriers, physical access control systems, and security guards by triggering a response when these other forms of security have been compromised or breached. Physical intrusion alarms can include different types of sensor devices, such as motion sensors, contact sensors, and broken glass sensors. Surveillance equipment includes video cameras installed at strategic locations throughout the facility. - id: pe-6.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-06(01) class: sp800-53a parts: - id: pe-6.1_obj-1 name: assessment-objective props: - name: label value: PE-06(01)[01] class: sp800-53a prose: physical access to the facility where the system resides is monitored using physical intrusion alarms; links: - href: '#pe-6.1_smt' rel: assessment-for - id: pe-6.1_obj-2 name: assessment-objective props: - name: label value: PE-06(01)[02] class: sp800-53a prose: physical access to the facility where the system resides is monitored using physical surveillance equipment. links: - href: '#pe-6.1_smt' rel: assessment-for links: - href: '#pe-6.1_smt' rel: assessment-for - id: pe-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-06(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing physical access monitoring physical access logs or records physical access monitoring records physical access log reviews system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records' - id: pe-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-06(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with physical access monitoring responsibilities organizational personnel with incident response responsibilities organizational personnel with information security and privacy responsibilities' - id: pe-6.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-06(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for monitoring physical intrusion alarms and surveillance equipment mechanisms supporting and/or implementing physical access monitoring mechanisms supporting and/or implementing physical intrusion alarms and surveillance equipment' - id: pe-6.4 class: SP800-53-enhancement title: Monitoring Physical Access to Systems params: - id: pe-06.04_odp props: - name: alt-identifier value: pe-6.4_prm_1 - name: alt-label value: physical spaces containing one or more components of the system class: sp800-53 - name: label value: PE-06(04)_ODP class: sp800-53a label: physical spaces guidelines: - prose: physical spaces containing one or more components of the system are defined; props: - name: label value: PE-06(04) class: zero-padded - name: label value: PE-6(4) - name: label value: PE-06(04) class: sp800-53a - name: sort-id value: pe-06.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#pe-6' rel: required parts: - id: pe-6.4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Monitor physical access to the system in addition to the physical access monitoring of the facility at {{ insert: param, pe-06.04_odp }}.' - id: pe-6.4_gdn name: guidance prose: Monitoring physical access to systems provides additional monitoring for those areas within facilities where there is a concentration of system components, including server rooms, media storage areas, and communications centers. Physical access monitoring can be coordinated with intrusion detection systems and system monitoring capabilities to provide comprehensive and integrated threat coverage for the organization. - id: pe-6.4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-06(04) class: sp800-53a prose: 'physical access to the system is monitored in addition to the physical access monitoring of the facility at {{ insert: param, pe-06.04_odp }}.' links: - href: '#pe-6.4_smt' rel: assessment-for - id: pe-6.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-06(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing physical access monitoring physical access control logs or records physical access control devices access authorizations access credentials list of areas within the facility containing concentrations of system components or system components requiring additional physical access monitoring system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records' - id: pe-6.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-06(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with physical access monitoring responsibilities organizational personnel with information security and privacy responsibilities' - id: pe-6.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-06(04)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for monitoring physical access to the system mechanisms supporting and/or implementing physical access monitoring for facility areas containing system components' - id: pe-8 class: SP800-53 title: Visitor Access Records params: - id: pe-08_odp.01 props: - name: alt-identifier value: pe-8_prm_1 - name: label value: PE-08_ODP[01] class: sp800-53a label: time period constraints: - description: for a minimum of one (1) year guidelines: - prose: time period for which to maintain visitor access records for the facility where the system resides is defined; - id: pe-08_odp.02 props: - name: alt-identifier value: pe-8_prm_2 - name: label value: PE-08_ODP[02] class: sp800-53a label: frequency constraints: - description: at least monthly guidelines: - prose: the frequency at which to review visitor access records is defined; - id: pe-08_odp.03 props: - name: alt-identifier value: pe-8_prm_3 - name: label value: PE-08_ODP[03] class: sp800-53a label: personnel guidelines: - prose: personnel to whom visitor access records anomalies are reported to is/are defined; props: - name: label value: PE-08 class: zero-padded - name: label value: PE-8 - name: label value: PE-08 class: sp800-53a - name: sort-id value: pe-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#pe-2' rel: related - href: '#pe-3' rel: related - href: '#pe-6' rel: related parts: - id: pe-8_smt name: statement parts: - id: pe-8_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Maintain visitor access records to the facility where the system resides for {{ insert: param, pe-08_odp.01 }};' - id: pe-8_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Review visitor access records {{ insert: param, pe-08_odp.02 }} ; and' - id: pe-8_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Report anomalies in visitor access records to {{ insert: param, pe-08_odp.03 }}.' - id: pe-8_gdn name: guidance prose: Visitor access records include the names and organizations of individuals visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purpose of visits, and the names and organizations of individuals visited. Access record reviews determine if access authorizations are current and are still required to support organizational mission and business functions. Access records are not required for publicly accessible areas. - id: pe-8_obj name: assessment-objective props: - name: label value: PE-08 class: sp800-53a parts: - id: pe-8_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PE-08a. class: sp800-53a prose: 'visitor access records for the facility where the system resides are maintained for {{ insert: param, pe-08_odp.01 }};' links: - href: '#pe-8_smt.a' rel: assessment-for - id: pe-8_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-08b. class: sp800-53a prose: 'visitor access records are reviewed {{ insert: param, pe-08_odp.02 }};' links: - href: '#pe-8_smt.b' rel: assessment-for - id: pe-8_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PE-08c. class: sp800-53a prose: 'visitor access records anomalies are reported to {{ insert: param, pe-08_odp.03 }}.' links: - href: '#pe-8_smt.c' rel: assessment-for links: - href: '#pe-8_smt' rel: assessment-for - id: pe-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-08-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing visitor access records visitor access control logs or records visitor access record or log reviews system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records' - id: pe-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-08-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with visitor access record responsibilities organizational personnel with information security and privacy responsibilities' - id: pe-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-08-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for maintaining and reviewing visitor access records mechanisms supporting and/or implementing the maintenance and review of visitor access records' controls: - id: pe-8.1 class: SP800-53-enhancement title: Automated Records Maintenance and Review params: - id: pe-8.1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pe-08.01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pe-08.01_odp.02 label: organization-defined automated mechanisms - id: pe-08.01_odp.01 props: - name: label value: PE-08(01)_ODP[01] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to maintain visitor access records are defined; - id: pe-08.01_odp.02 props: - name: label value: PE-08(01)_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to review visitor access records are defined; props: - name: label value: PE-08(01) class: zero-padded - name: label value: PE-8(1) - name: label value: PE-08(01) class: sp800-53a - name: sort-id value: pe-08.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-8' rel: required parts: - id: pe-8.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Maintain and review visitor access records using {{ insert: param, pe-8.1_prm_1 }}.' - id: pe-8.1_gdn name: guidance prose: Visitor access records may be stored and maintained in a database management system that is accessible by organizational personnel. Automated access to such records facilitates record reviews on a regular basis to determine if access authorizations are current and still required to support organizational mission and business functions. - id: pe-8.1_obj name: assessment-objective props: - name: label value: PE-08(01) class: sp800-53a parts: - id: pe-8.1_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PE-08(01)[01] class: sp800-53a prose: 'visitor access records are maintained using {{ insert: param, pe-08.01_odp.01 }};' links: - href: '#pe-8.1_smt' rel: assessment-for - id: pe-8.1_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-08(01)[02] class: sp800-53a prose: 'visitor access records are reviewed using {{ insert: param, pe-08.01_odp.02 }}.' links: - href: '#pe-8.1_smt' rel: assessment-for links: - href: '#pe-8.1_smt' rel: assessment-for - id: pe-8.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-08(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing visitor access records automated mechanisms supporting management of visitor access records visitor access control logs or records system security plan privacy plan other relevant documents or records' - id: pe-8.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-08(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with visitor access record responsibilities organizational personnel with information security and privacy responsibilities' - id: pe-8.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-08(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for maintaining and reviewing visitor access records automated mechanisms supporting and/or implementing the maintenance and review of visitor access records' - id: pe-9 class: SP800-53 title: Power Equipment and Cabling props: - name: label value: PE-09 class: zero-padded - name: label value: PE-9 - name: label value: PE-09 class: sp800-53a - name: sort-id value: pe-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-4' rel: related parts: - id: pe-9_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Protect power equipment and power cabling for the system from damage and destruction. - id: pe-9_gdn name: guidance prose: Organizations determine the types of protection necessary for the power equipment and cabling employed at different locations that are both internal and external to organizational facilities and environments of operation. Types of power equipment and cabling include internal cabling and uninterruptable power sources in offices or data centers, generators and power cabling outside of buildings, and power sources for self-contained components such as satellites, vehicles, and other deployable systems. - id: pe-9_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-09 class: sp800-53a parts: - id: pe-9_obj-1 name: assessment-objective props: - name: label value: PE-09[01] class: sp800-53a prose: power equipment for the system is protected from damage and destruction; links: - href: '#pe-9_smt' rel: assessment-for - id: pe-9_obj-2 name: assessment-objective props: - name: label value: PE-09[02] class: sp800-53a prose: power cabling for the system is protected from damage and destruction. links: - href: '#pe-9_smt' rel: assessment-for links: - href: '#pe-9_smt' rel: assessment-for - id: pe-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-09-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing power equipment/cabling protection facilities housing power equipment/cabling system security plan other relevant documents or records' - id: pe-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-09-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with the responsibility to protect power equipment/cabling organizational personnel with information security responsibilities' - id: pe-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-09-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the protection of power equipment/cabling - id: pe-10 class: SP800-53 title: Emergency Shutoff params: - id: pe-10_odp.01 props: - name: alt-identifier value: pe-10_prm_1 - name: label value: PE-10_ODP[01] class: sp800-53a label: system or individual system components guidelines: - prose: system or individual system components that require the capability to shut off power in emergency situations is/are defined; - id: pe-10_odp.02 props: - name: alt-identifier value: pe-10_prm_2 - name: alt-label value: location by system or system component class: sp800-53 - name: label value: PE-10_ODP[02] class: sp800-53a label: location constraints: - description: near more than one egress point of the IT area and ensures it is labeled and protected by a cover to prevent accidental shut-off guidelines: - prose: location of emergency shutoff switches or devices by system or system component is defined; props: - name: label value: PE-10 class: zero-padded - name: label value: PE-10 - name: label value: PE-10 class: sp800-53a - name: sort-id value: pe-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-15' rel: related parts: - id: pe-10_smt name: statement parts: - id: pe-10_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Provide the capability of shutting off power to {{ insert: param, pe-10_odp.01 }} in emergency situations;' - id: pe-10_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Place emergency shutoff switches or devices in {{ insert: param, pe-10_odp.02 }} to facilitate access for authorized personnel; and' - id: pe-10_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Protect emergency power shutoff capability from unauthorized activation. - id: pe-10_gdn name: guidance prose: Emergency power shutoff primarily applies to organizational facilities that contain concentrations of system resources, including data centers, mainframe computer rooms, server rooms, and areas with computer-controlled machinery. - id: pe-10_obj name: assessment-objective props: - name: label value: PE-10 class: sp800-53a parts: - id: pe-10_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-10a. class: sp800-53a prose: 'the capability to shut off power to {{ insert: param, pe-10_odp.01 }} in emergency situations is provided;' links: - href: '#pe-10_smt.a' rel: assessment-for - id: pe-10_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-10b. class: sp800-53a prose: 'emergency shutoff switches or devices are placed in {{ insert: param, pe-10_odp.02 }} to facilitate access for authorized personnel;' links: - href: '#pe-10_smt.b' rel: assessment-for - id: pe-10_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-10c. class: sp800-53a prose: the emergency power shutoff capability is protected from unauthorized activation. links: - href: '#pe-10_smt.c' rel: assessment-for links: - href: '#pe-10_smt' rel: assessment-for - id: pe-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-10-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing power source emergency shutoff emergency shutoff controls or switches locations housing emergency shutoff switches and devices security safeguards protecting the emergency power shutoff capability from unauthorized activation system security plan other relevant documents or records' - id: pe-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-10-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with the responsibility for the emergency power shutoff capability (both implementing and using the capability) organizational personnel with information security responsibilities' - id: pe-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-10-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing emergency power shutoff - id: pe-11 class: SP800-53 title: Emergency Power params: - id: pe-11_odp props: - name: alt-identifier value: pe-11_prm_1 - name: label value: PE-11_ODP class: sp800-53a select: choice: - an orderly shutdown of the system - transition of the system to long-term alternate power props: - name: label value: PE-11 class: zero-padded - name: label value: PE-11 - name: label value: PE-11 class: sp800-53a - name: sort-id value: pe-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#at-3' rel: related - href: '#cp-2' rel: related - href: '#cp-7' rel: related parts: - id: pe-11_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Provide an uninterruptible power supply to facilitate {{ insert: param, pe-11_odp }} in the event of a primary power source loss.' - id: pe-11_gdn name: guidance prose: An uninterruptible power supply (UPS) is an electrical system or mechanism that provides emergency power when there is a failure of the main power source. A UPS is typically used to protect computers, data centers, telecommunication equipment, or other electrical equipment where an unexpected power disruption could cause injuries, fatalities, serious mission or business disruption, or loss of data or information. A UPS differs from an emergency power system or backup generator in that the UPS provides near-instantaneous protection from unanticipated power interruptions from the main power source by providing energy stored in batteries, supercapacitors, or flywheels. The battery duration of a UPS is relatively short but provides sufficient time to start a standby power source, such as a backup generator, or properly shut down the system. - id: pe-11_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-11 class: sp800-53a prose: 'an uninterruptible power supply is provided to facilitate {{ insert: param, pe-11_odp }} in the event of a primary power source loss.' links: - href: '#pe-11_smt' rel: assessment-for - id: pe-11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-11-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing emergency power uninterruptible power supply uninterruptible power supply documentation uninterruptible power supply test records system security plan other relevant documents or records' - id: pe-11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-11-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with the responsibility for emergency power and/or planning organizational personnel with information security responsibilities' - id: pe-11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-11-Test class: sp800-53a parts: - name: assessment-objects prose: 'Mechanisms supporting and/or implementing an uninterruptible power supply the uninterruptable power supply' controls: - id: pe-11.1 class: SP800-53-enhancement title: Alternate Power Supply — Minimal Operational Capability params: - id: pe-11.01_odp props: - name: alt-identifier value: pe-11.1_prm_1 - name: label value: PE-11(01)_ODP class: sp800-53a constraints: - description: automatically props: - name: label value: PE-11(01) class: zero-padded - name: label value: PE-11(1) - name: label value: PE-11(01) class: sp800-53a - name: sort-id value: pe-11.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-11' rel: required parts: - id: pe-11.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Provide an alternate power supply for the system that is activated {{ insert: param, pe-11.01_odp }} and that can maintain minimally required operational capability in the event of an extended loss of the primary power source.' - id: pe-11.1_gdn name: guidance prose: Provision of an alternate power supply with minimal operating capability can be satisfied by accessing a secondary commercial power supply or other external power supply. - id: pe-11.1_obj name: assessment-objective props: - name: label value: PE-11(01) class: sp800-53a parts: - id: pe-11.1_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-11(01)[01] class: sp800-53a prose: 'an alternate power supply provided for the system is activated {{ insert: param, pe-11.01_odp }};' links: - href: '#pe-11.1_smt' rel: assessment-for - id: pe-11.1_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-11(01)[02] class: sp800-53a prose: the alternate power supply provided for the system can maintain minimally required operational capability in the event of an extended loss of the primary power source. links: - href: '#pe-11.1_smt' rel: assessment-for links: - href: '#pe-11.1_smt' rel: assessment-for - id: pe-11.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-11(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing emergency power alternate power supply alternate power supply documentation alternate power supply test records system security plan other relevant documents or records' - id: pe-11.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-11(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with the responsibility for emergency power and/or planning organizational personnel with information security responsibilities' - id: pe-11.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-11(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Mechanisms supporting and/or implementing an alternate power supply the alternate power supply' - id: pe-12 class: SP800-53 title: Emergency Lighting props: - name: label value: PE-12 class: zero-padded - name: label value: PE-12 - name: label value: PE-12 class: sp800-53a - name: sort-id value: pe-12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: related - href: '#cp-7' rel: related parts: - id: pe-12_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Employ and maintain automatic emergency lighting for the system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility. - id: pe-12_gdn name: guidance prose: The provision of emergency lighting applies primarily to organizational facilities that contain concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Emergency lighting provisions for the system are described in the contingency plan for the organization. If emergency lighting for the system fails or cannot be provided, organizations consider alternate processing sites for power-related contingencies. - id: pe-12_obj name: assessment-objective props: - name: label value: PE-12 class: sp800-53a parts: - id: pe-12_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-12[01] class: sp800-53a prose: automatic emergency lighting that activates in the event of a power outage or disruption is employed for the system; links: - href: '#pe-12_smt' rel: assessment-for - id: pe-12_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-12[02] class: sp800-53a prose: automatic emergency lighting that activates in the event of a power outage or disruption is maintained for the system; links: - href: '#pe-12_smt' rel: assessment-for - id: pe-12_obj-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-12[03] class: sp800-53a prose: automatic emergency lighting for the system covers emergency exits within the facility; links: - href: '#pe-12_smt' rel: assessment-for - id: pe-12_obj-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-12[04] class: sp800-53a prose: automatic emergency lighting for the system covers evacuation routes within the facility. links: - href: '#pe-12_smt' rel: assessment-for links: - href: '#pe-12_smt' rel: assessment-for - id: pe-12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-12-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing emergency lighting emergency lighting documentation emergency lighting test records emergency exits and evacuation routes system security plan other relevant documents or records' - id: pe-12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-12-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with the responsibility for emergency lighting and/or planning organizational personnel with information security responsibilities' - id: pe-12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-12-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing an emergency lighting capability - id: pe-13 class: SP800-53 title: Fire Protection props: - name: label value: PE-13 class: zero-padded - name: label value: PE-13 - name: label value: PE-13 class: sp800-53a - name: sort-id value: pe-13 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#at-3' rel: related parts: - id: pe-13_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Employ and maintain fire detection and suppression systems that are supported by an independent energy source. - id: pe-13_gdn name: guidance prose: The provision of fire detection and suppression systems applies primarily to organizational facilities that contain concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Fire detection and suppression systems that may require an independent energy source include sprinkler systems and smoke detectors. An independent energy source is an energy source, such as a microgrid, that is separate, or can be separated, from the energy sources providing power for the other parts of the facility. - id: pe-13_obj name: assessment-objective props: - name: label value: PE-13 class: sp800-53a parts: - id: pe-13_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-13[01] class: sp800-53a prose: fire detection systems are employed; links: - href: '#pe-13_smt' rel: assessment-for - id: pe-13_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-13[02] class: sp800-53a prose: employed fire detection systems are supported by an independent energy source; links: - href: '#pe-13_smt' rel: assessment-for - id: pe-13_obj-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-13[03] class: sp800-53a prose: employed fire detection systems are maintained; links: - href: '#pe-13_smt' rel: assessment-for - id: pe-13_obj-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-13[04] class: sp800-53a prose: fire suppression systems are employed; links: - href: '#pe-13_smt' rel: assessment-for - id: pe-13_obj-5 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-13[05] class: sp800-53a prose: employed fire suppression systems are supported by an independent energy source; links: - href: '#pe-13_smt' rel: assessment-for - id: pe-13_obj-6 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-13[06] class: sp800-53a prose: employed fire suppression systems are maintained. links: - href: '#pe-13_smt' rel: assessment-for links: - href: '#pe-13_smt' rel: assessment-for - id: pe-13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-13-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing fire protection fire suppression and detection devices/systems fire suppression and detection devices/systems documentation test records of fire suppression and detection devices/systems system security plan other relevant documents or records' - id: pe-13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-13-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for fire detection and suppression devices/systems organizational personnel with information security responsibilities' - id: pe-13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-13-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing fire suppression/detection devices/systems controls: - id: pe-13.1 class: SP800-53-enhancement title: Detection Systems — Automatic Activation and Notification params: - id: pe-13.01_odp.01 props: - name: alt-identifier value: pe-13.1_prm_1 - name: label value: PE-13(01)_ODP[01] class: sp800-53a label: personnel or roles constraints: - description: service provider building maintenance/physical security personnel guidelines: - prose: personnel or roles to be notified in the event of a fire is/are defined; - id: pe-13.01_odp.02 props: - name: alt-identifier value: pe-13.1_prm_2 - name: label value: PE-13(01)_ODP[02] class: sp800-53a label: emergency responders constraints: - description: service provider emergency responders with incident response responsibilities guidelines: - prose: emergency responders to be notified in the event of a fire are defined; props: - name: label value: PE-13(01) class: zero-padded - name: label value: PE-13(1) - name: label value: PE-13(01) class: sp800-53a - name: sort-id value: pe-13.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-13' rel: required parts: - id: pe-13.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Employ fire detection systems that activate automatically and notify {{ insert: param, pe-13.01_odp.01 }} and {{ insert: param, pe-13.01_odp.02 }} in the event of a fire.' - id: pe-13.1_gdn name: guidance prose: Organizations can identify personnel, roles, and emergency responders if individuals on the notification list need to have access authorizations or clearances (e.g., to enter to facilities where access is restricted due to the classification or impact level of information within the facility). Notification mechanisms may require independent energy sources to ensure that the notification capability is not adversely affected by the fire. - id: pe-13.1_obj name: assessment-objective props: - name: label value: PE-13(01) class: sp800-53a parts: - id: pe-13.1_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-13(01)[01] class: sp800-53a prose: fire detection systems that activate automatically are employed in the event of a fire; links: - href: '#pe-13.1_smt' rel: assessment-for - id: pe-13.1_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-13(01)[02] class: sp800-53a prose: 'fire detection systems that notify {{ insert: param, pe-13.01_odp.01 }} automatically are employed in the event of a fire;' links: - href: '#pe-13.1_smt' rel: assessment-for - id: pe-13.1_obj-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-13(01)[03] class: sp800-53a prose: 'fire detection systems that notify {{ insert: param, pe-13.01_odp.02 }} automatically are employed in the event of a fire.' links: - href: '#pe-13.1_smt' rel: assessment-for links: - href: '#pe-13.1_smt' rel: assessment-for - id: pe-13.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-13(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing fire protection facility housing the information system alarm service-level agreements test records of fire suppression and detection devices/systems fire suppression and detection devices/systems documentation alerts/notifications of fire events system security plan other relevant documents or records' - id: pe-13.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-13(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for fire detection and suppression devices/systems organizational personnel with responsibilities for notifying appropriate personnel, roles, and emergency responders of fires organizational personnel with information security responsibilities' - id: pe-13.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-13(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Mechanisms supporting and/or implementing fire detection devices/systems activation of fire detection devices/systems (simulated) automated notifications' - id: pe-13.2 class: SP800-53-enhancement title: Suppression Systems — Automatic Activation and Notification params: - id: pe-13.02_odp.01 props: - name: alt-identifier value: pe-13.2_prm_1 - name: label value: PE-13(02)_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be notified in the event of a fire is/are defined; - id: pe-13.02_odp.02 props: - name: alt-identifier value: pe-13.2_prm_2 - name: label value: PE-13(02)_ODP[02] class: sp800-53a label: emergency responders guidelines: - prose: emergency responders to be notified in the event of a fire are defined; props: - name: label value: PE-13(02) class: zero-padded - name: label value: PE-13(2) - name: label value: PE-13(02) class: sp800-53a - name: sort-id value: pe-13.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-13' rel: required parts: - id: pe-13.2_smt name: statement parts: - id: pe-13.2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Employ fire suppression systems that activate automatically and notify {{ insert: param, pe-13.02_odp.01 }} and {{ insert: param, pe-13.02_odp.02 }} ; and' - id: pe-13.2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Employ an automatic fire suppression capability when the facility is not staffed on a continuous basis. - id: pe-13.2_gdn name: guidance prose: Organizations can identify specific personnel, roles, and emergency responders if individuals on the notification list need to have appropriate access authorizations and/or clearances (e.g., to enter to facilities where access is restricted due to the impact level or classification of information within the facility). Notification mechanisms may require independent energy sources to ensure that the notification capability is not adversely affected by the fire. - id: pe-13.2_obj name: assessment-objective props: - name: label value: PE-13(02) class: sp800-53a parts: - id: pe-13.2_obj.a name: assessment-objective props: - name: label value: PE-13(02)(a) class: sp800-53a parts: - id: pe-13.2_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-13(02)(a)[01] class: sp800-53a prose: fire suppression systems that activate automatically are employed; links: - href: '#pe-13.2_smt.a' rel: assessment-for - id: pe-13.2_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-13(02)(a)[02] class: sp800-53a prose: 'fire suppression systems that notify {{ insert: param, pe-13.02_odp.01 }} automatically are employed;' links: - href: '#pe-13.2_smt.a' rel: assessment-for - id: pe-13.2_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-13(02)(a)[03] class: sp800-53a prose: 'fire suppression systems that notify {{ insert: param, pe-13.02_odp.02 }} automatically are employed;' links: - href: '#pe-13.2_smt.a' rel: assessment-for links: - href: '#pe-13.2_smt.a' rel: assessment-for - id: pe-13.2_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-13(02)(b) class: sp800-53a prose: an automatic fire suppression capability is employed when the facility is not staffed on a continuous basis. links: - href: '#pe-13.2_smt.b' rel: assessment-for links: - href: '#pe-13.2_smt' rel: assessment-for - id: pe-13.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-13(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing fire protection fire suppression and detection devices/systems documentation facility housing the system alarm service-level agreements test records of fire suppression and detection devices/systems system security plan other relevant documents or records' - id: pe-13.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-13(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for fire detection and suppression devices/systems organizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders organizational personnel with information security responsibilities' - id: pe-13.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-13(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Automated mechanisms supporting and/or implementing fire suppression devices/systems activation of fire suppression devices/systems (simulated) automated notifications' - id: pe-14 class: SP800-53 title: Environmental Controls params: - id: pe-14_odp.01 props: - name: alt-identifier value: pe-14_prm_1 - name: label value: PE-14_ODP[01] class: sp800-53a constraints: - description: consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - id: pe-14_odp.02 props: - name: alt-identifier value: pe-14_prm_2 - name: label value: PE-14_ODP[02] class: sp800-53a label: environmental control guidelines: - prose: environmental control(s) for which to maintain a specified level in the facility where the system resides are defined (if selected); - id: pe-14_odp.03 props: - name: alt-identifier value: pe-14_prm_3 - name: label value: PE-14_ODP[03] class: sp800-53a label: acceptable levels guidelines: - prose: acceptable levels for environmental controls are defined; - id: pe-14_odp.04 props: - name: alt-identifier value: pe-14_prm_4 - name: label value: PE-14_ODP[04] class: sp800-53a label: frequency constraints: - description: continuously guidelines: - prose: frequency at which to monitor environmental control levels is defined; props: - name: label value: PE-14 class: zero-padded - name: label value: PE-14 - name: label value: PE-14 class: sp800-53a - name: sort-id value: pe-14 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#at-3' rel: related - href: '#cp-2' rel: related parts: - id: pe-14_smt name: statement parts: - id: pe-14_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Maintain {{ insert: param, pe-14_odp.01 }} levels within the facility where the system resides at {{ insert: param, pe-14_odp.03 }} ; and' - id: pe-14_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Monitor environmental control levels {{ insert: param, pe-14_odp.04 }}.' - id: pe-14_gdn name: guidance prose: The provision of environmental controls applies primarily to organizational facilities that contain concentrations of system resources (e.g., data centers, mainframe computer rooms, and server rooms). Insufficient environmental controls, especially in very harsh environments, can have a significant adverse impact on the availability of systems and system components that are needed to support organizational mission and business functions. - id: pe-14_fr name: item ns: http://fedramp.gov/ns/oscal title: PE-14 Additional FedRAMP Requirements and Guidance parts: - id: pe-14_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(a) Requirement:' prose: The service provider measures temperature at server inlets and humidity levels by dew point. - id: pe-14_obj name: assessment-objective props: - name: label value: PE-14 class: sp800-53a parts: - id: pe-14_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-14a. class: sp800-53a prose: '{{ insert: param, pe-14_odp.01 }} levels are maintained at {{ insert: param, pe-14_odp.03 }} within the facility where the system resides;' links: - href: '#pe-14_smt.a' rel: assessment-for - id: pe-14_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-14b. class: sp800-53a prose: 'environmental control levels are monitored {{ insert: param, pe-14_odp.04 }}.' links: - href: '#pe-14_smt.b' rel: assessment-for links: - href: '#pe-14_smt' rel: assessment-for - id: pe-14_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-14-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing temperature and humidity control temperature and humidity controls facility housing the system temperature and humidity controls documentation temperature and humidity records system security plan other relevant documents or records' - id: pe-14_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-14-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for system environmental controls organizational personnel with information security responsibilities' - id: pe-14_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-14-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the maintenance and monitoring of temperature and humidity levels controls: - id: pe-14.2 class: SP800-53-enhancement title: Monitoring with Alarms and Notifications params: - id: pe-14.02_odp props: - name: alt-identifier value: pe-14.2_prm_1 - name: label value: PE-14(02)_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be notified by environmental control monitoring when environmental changes are potentially harmful to personnel or equipment is/are defined; props: - name: label value: PE-14(02) class: zero-padded - name: label value: PE-14(2) - name: label value: PE-14(02) class: sp800-53a - name: sort-id value: pe-14.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-14' rel: required parts: - id: pe-14.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Employ environmental control monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment to {{ insert: param, pe-14.02_odp }}.' - id: pe-14.2_gdn name: guidance prose: The alarm or notification may be an audible alarm or a visual message in real time to personnel or roles defined by the organization. Such alarms and notifications can help minimize harm to individuals and damage to organizational assets by facilitating a timely incident response. - id: pe-14.2_obj name: assessment-objective props: - name: label value: PE-14(02) class: sp800-53a parts: - id: pe-14.2_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-14(02)[01] class: sp800-53a prose: environmental control monitoring is employed; links: - href: '#pe-14.2_smt' rel: assessment-for - id: pe-14.2_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-14(02)[02] class: sp800-53a prose: 'the environmental control monitoring capability provides an alarm or notification to {{ insert: param, pe-14.02_odp }} when changes are potentially harmful to personnel or equipment.' links: - href: '#pe-14.2_smt' rel: assessment-for links: - href: '#pe-14.2_smt' rel: assessment-for - id: pe-14.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-14(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing temperature and humidity monitoring facility housing the system logs or records of temperature and humidity monitoring records of changes to temperature and humidity levels that generate alarms or notifications system security plan other relevant documents or records' - id: pe-14.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-14(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for system environmental controls organizational personnel with information security responsibilities' - id: pe-14.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-14(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing temperature and humidity monitoring - id: pe-15 class: SP800-53 title: Water Damage Protection props: - name: label value: PE-15 class: zero-padded - name: label value: PE-15 - name: label value: PE-15 class: sp800-53a - name: sort-id value: pe-15 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#at-3' rel: related - href: '#pe-10' rel: related parts: - id: pe-15_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Protect the system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel. - id: pe-15_gdn name: guidance prose: The provision of water damage protection primarily applies to organizational facilities that contain concentrations of system resources, including 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. - id: pe-15_obj name: assessment-objective props: - name: label value: PE-15 class: sp800-53a parts: - id: pe-15_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-15[01] class: sp800-53a prose: the system is protected from damage resulting from water leakage by providing master shutoff or isolation valves; links: - href: '#pe-15_smt' rel: assessment-for - id: pe-15_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-15[02] class: sp800-53a prose: the master shutoff or isolation valves are accessible; links: - href: '#pe-15_smt' rel: assessment-for - id: pe-15_obj-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-15[03] class: sp800-53a prose: the master shutoff or isolation valves are working properly; links: - href: '#pe-15_smt' rel: assessment-for - id: pe-15_obj-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-15[04] class: sp800-53a prose: the master shutoff or isolation valves are known to key personnel. links: - href: '#pe-15_smt' rel: assessment-for links: - href: '#pe-15_smt' rel: assessment-for - id: pe-15_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-15-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing water damage protection facility housing the system master shutoff valves list of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system master shutoff valve documentation system security plan other relevant documents or records' - id: pe-15_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-15-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for system environmental controls organizational personnel with information security responsibilities' - id: pe-15_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-15-Test class: sp800-53a parts: - name: assessment-objects prose: 'Master water-shutoff valves organizational process for activating master water shutoff' controls: - id: pe-15.1 class: SP800-53-enhancement title: Automation Support params: - id: pe-15.01_odp.01 props: - name: alt-identifier value: pe-15.1_prm_1 - name: label value: PE-15(01)_ODP[01] class: sp800-53a label: personnel or roles constraints: - description: service provider building maintenance/physical security personnel guidelines: - prose: personnel or roles to be alerted when the presence of water is detected near the system is/are defined; - id: pe-15.01_odp.02 props: - name: alt-identifier value: pe-15.1_prm_2 - name: label value: PE-15(01)_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to detect the presence of water near the system are defined; props: - name: label value: PE-15(01) class: zero-padded - name: label value: PE-15(1) - name: label value: PE-15(01) class: sp800-53a - name: sort-id value: pe-15.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-15' rel: required parts: - id: pe-15.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Detect the presence of water near the system and alert {{ insert: param, pe-15.01_odp.01 }} using {{ insert: param, pe-15.01_odp.02 }}.' - id: pe-15.1_gdn name: guidance prose: Automated mechanisms include notification systems, water detection sensors, and alarms. - id: pe-15.1_obj name: assessment-objective props: - name: label value: PE-15(01) class: sp800-53a parts: - id: pe-15.1_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-15(01)[01] class: sp800-53a prose: the presence of water near the system can be detected automatically; links: - href: '#pe-15.1_smt' rel: assessment-for - id: pe-15.1_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-15(01)[02] class: sp800-53a prose: '{{ insert: param, pe-15.01_odp.01 }} is/are alerted using {{ insert: param, pe-15.01_odp.02 }}.' links: - href: '#pe-15.1_smt' rel: assessment-for links: - href: '#pe-15.1_smt' rel: assessment-for - id: pe-15.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-15(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing water damage protection facility housing the system automated mechanisms for water shutoff valves automated mechanisms for detecting the presence of water in the vicinity of the system alerts/notifications of water detection in system facility system security plan other relevant documents or records' - id: pe-15.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-15(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for system environmental controls organizational personnel with information security responsibilities' - id: pe-15.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-15(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms supporting and/or implementing water detection capabilities and alerts for the system - id: pe-16 class: SP800-53 title: Delivery and Removal params: - id: pe-16_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pe-16_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pe-16_odp.02 label: organization-defined types of system components - id: pe-16_odp.01 props: - name: label value: PE-16_ODP[01] class: sp800-53a label: types of system components constraints: - description: all information system components guidelines: - prose: types of system components to be authorized and controlled when entering the facility are defined; - id: pe-16_odp.02 props: - name: label value: PE-16_ODP[02] class: sp800-53a label: types of system components constraints: - description: all information system components guidelines: - prose: types of system components to be authorized and controlled when exiting the facility are defined; props: - name: label value: PE-16 class: zero-padded - name: label value: PE-16 - name: label value: PE-16 class: sp800-53a - name: sort-id value: pe-16 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-3' rel: related - href: '#cm-8' rel: related - href: '#ma-2' rel: related - href: '#ma-3' rel: related - href: '#mp-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pe-20 rel: related - href: '#sr-2' rel: related - href: '#sr-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-4 rel: related - href: '#sr-6' rel: related parts: - id: pe-16_smt name: statement parts: - id: pe-16_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Authorize and control {{ insert: param, pe-16_prm_1 }} entering and exiting the facility; and' - id: pe-16_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Maintain records of the system components. - id: pe-16_gdn name: guidance prose: Enforcing authorizations for entry and exit of system components may require restricting access to delivery areas and isolating the areas from the system and media libraries. - id: pe-16_obj name: assessment-objective props: - name: label value: PE-16 class: sp800-53a parts: - id: pe-16_obj.a name: assessment-objective props: - name: label value: PE-16a. class: sp800-53a parts: - id: pe-16_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-16a.[01] class: sp800-53a prose: '{{ insert: param, pe-16_odp.01 }} are authorized when entering the facility;' links: - href: '#pe-16_smt.a' rel: assessment-for - id: pe-16_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-16a.[02] class: sp800-53a prose: '{{ insert: param, pe-16_odp.01 }} are controlled when entering the facility;' links: - href: '#pe-16_smt.a' rel: assessment-for - id: pe-16_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-16a.[03] class: sp800-53a prose: '{{ insert: param, pe-16_odp.02 }} are authorized when exiting the facility;' links: - href: '#pe-16_smt.a' rel: assessment-for - id: pe-16_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-16a.[04] class: sp800-53a prose: '{{ insert: param, pe-16_odp.02 }} are controlled when exiting the facility;' links: - href: '#pe-16_smt.a' rel: assessment-for links: - href: '#pe-16_smt.a' rel: assessment-for - id: pe-16_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PE-16b. class: sp800-53a prose: records of the system components are maintained. links: - href: '#pe-16_smt.b' rel: assessment-for links: - href: '#pe-16_smt' rel: assessment-for - id: pe-16_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-16-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing the delivery and removal of system components from the facility facility housing the system records of items entering and exiting the facility system security plan other relevant documents or records' - id: pe-16_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-16-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for controlling system components entering and exiting the facility organizational personnel with information security responsibilities' - id: pe-16_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-16-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational process for authorizing, monitoring, and controlling system-related items entering and exiting the facility mechanisms supporting and/or implementing, authorizing, monitoring, and controlling system-related items entering and exiting the facility' - id: pe-17 class: SP800-53 title: Alternate Work Site params: - id: pe-17_odp.01 props: - name: alt-identifier value: pe-17_prm_1 - name: label value: PE-17_ODP[01] class: sp800-53a label: alternate work sites guidelines: - prose: alternate work sites allowed for use by employees are defined; - id: pe-17_odp.02 props: - name: alt-identifier value: pe-17_prm_2 - name: label value: PE-17_ODP[02] class: sp800-53a label: controls guidelines: - prose: controls to be employed at alternate work sites are defined; props: - name: label value: PE-17 class: zero-padded - name: label value: PE-17 - name: label value: PE-17 class: sp800-53a - name: sort-id value: pe-17 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#83b9d63b-66b1-467c-9f3b-3a0b108771e9' rel: reference - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#cp-7' rel: related parts: - id: pe-17_smt name: statement parts: - id: pe-17_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Determine and document the {{ insert: param, pe-17_odp.01 }} allowed for use by employees;' - id: pe-17_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Employ the following controls at alternate work sites: {{ insert: param, pe-17_odp.02 }};' - id: pe-17_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Assess the effectiveness of controls at alternate work sites; and - id: pe-17_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Provide a means for employees to communicate with information security and privacy personnel in case of incidents. - id: pe-17_gdn name: guidance prose: Alternate work sites include government facilities or the private residences of employees. While distinct from alternative processing sites, alternate work sites can provide readily available alternate locations during contingency operations. Organizations can define different sets of controls for specific alternate work sites or types of sites depending on the work-related activities conducted at the sites. Implementing and assessing the effectiveness of organization-defined controls and providing a means to communicate incidents at alternate work sites supports the contingency planning activities of organizations. - id: pe-17_obj name: assessment-objective props: - name: label value: PE-17 class: sp800-53a parts: - id: pe-17_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PE-17a. class: sp800-53a prose: '{{ insert: param, pe-17_odp.01 }} are determined and documented;' links: - href: '#pe-17_smt.a' rel: assessment-for - id: pe-17_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-17b. class: sp800-53a prose: '{{ insert: param, pe-17_odp.02 }} are employed at alternate work sites;' links: - href: '#pe-17_smt.b' rel: assessment-for - id: pe-17_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-17c. class: sp800-53a prose: the effectiveness of controls at alternate work sites is assessed; links: - href: '#pe-17_smt.c' rel: assessment-for - id: pe-17_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PE-17d. class: sp800-53a prose: a means for employees to communicate with information security and privacy personnel in case of incidents is provided. links: - href: '#pe-17_smt.d' rel: assessment-for links: - href: '#pe-17_smt' rel: assessment-for - id: pe-17_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-17-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing alternate work sites for organizational personnel list of security controls required for alternate work sites assessments of security controls at alternate work sites system security plan privacy plan other relevant documents or records' - id: pe-17_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-17-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel approving the use of alternate work sites organizational personnel using alternate work sites organizational personnel assessing controls at alternate work sites organizational personnel with information security and privacy responsibilities' - id: pe-17_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-17-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for security and privacy at alternate work sites mechanisms supporting alternate work sites security and privacy controls employed at alternate work sites means of communication between personnel at alternate work sites and security and privacy personnel' - id: pe-18 class: SP800-53 title: Location of System Components params: - id: pe-18_odp props: - name: alt-identifier value: pe-18_prm_1 - name: label value: PE-18_ODP class: sp800-53a label: physical and environmental hazards constraints: - description: physical and environmental hazards identified during threat assessment guidelines: - prose: physical and environmental hazards that could result in potential damage to system components within the facility are defined; props: - name: label value: PE-18 class: zero-padded - name: label value: PE-18 - name: label value: PE-18 class: sp800-53a - name: sort-id value: pe-18 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: related - href: '#pe-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pe-19 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pe-20 rel: related - href: '#ra-3' rel: related parts: - id: pe-18_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Position system components within the facility to minimize potential damage from {{ insert: param, pe-18_odp }} and to minimize the opportunity for unauthorized access.' - id: pe-18_gdn name: guidance prose: Physical and environmental hazards include floods, fires, tornadoes, earthquakes, hurricanes, terrorism, vandalism, an electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. Organizations consider the location of entry points where unauthorized individuals, while not being granted access, might nonetheless be near systems. Such proximity can increase the risk of unauthorized access to organizational communications using wireless packet sniffers or microphones, or unauthorized disclosure of information. - id: pe-18_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PE-18 class: sp800-53a prose: 'system components are positioned within the facility to minimize potential damage from {{ insert: param, pe-18_odp }} and to minimize the opportunity for unauthorized access.' links: - href: '#pe-18_smt' rel: assessment-for - id: pe-18_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-18-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Physical and environmental protection policy procedures addressing the positioning of system components documentation providing the location and position of system components within the facility locations housing system components within the facility list of physical and environmental hazards with the potential to damage system components within the facility system security plan other relevant documents or records' - id: pe-18_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-18-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibilities for positioning system components organizational personnel with information security responsibilities' - id: pe-18_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-18-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for positioning system components - id: pl class: family title: Planning controls: - id: pl-1 class: SP800-53 title: Policy and Procedures params: - id: pl-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pl-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pl-01_odp.02 label: organization-defined personnel or roles - id: pl-01_odp.01 props: - name: label value: PL-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the planning policy is to be disseminated is/are defined; - id: pl-01_odp.02 props: - name: label value: PL-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the planning procedures are to be disseminated is/are defined; - id: pl-01_odp.03 props: - name: alt-identifier value: pl-1_prm_2 - name: label value: PL-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: pl-01_odp.04 props: - name: alt-identifier value: pl-1_prm_3 - name: label value: PL-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the planning policy and procedures is defined; - id: pl-01_odp.05 props: - name: alt-identifier value: pl-1_prm_4 - name: label value: PL-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency with which the current planning policy is reviewed and updated is defined; - id: pl-01_odp.06 props: - name: alt-identifier value: pl-1_prm_5 - name: label value: PL-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current planning policy to be reviewed and updated are defined; - id: pl-01_odp.07 props: - name: alt-identifier value: pl-1_prm_6 - name: label value: PL-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency with which the current planning procedures are reviewed and updated is defined; - id: pl-01_odp.08 props: - name: alt-identifier value: pl-1_prm_7 - name: label value: PL-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that would require procedures to be reviewed and updated are defined; props: - name: label value: PL-01 class: zero-padded - name: label value: PL-1 - name: label value: PL-01 class: sp800-53a - name: sort-id value: pl-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#30eb758a-2707-4bca-90ad-949a74d4eb16' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ps-8' rel: related - href: '#si-12' rel: related parts: - id: pl-1_smt name: statement parts: - id: pl-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses Planning MUST be associated with PL-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses Planning MUST be associated with PL-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, pl-1_prm_1 }}:' parts: - id: pl-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, pl-01_odp.03 }} planning policy that:' parts: - id: pl-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: pl-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: pl-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the planning policy and the associated planning controls; - id: pl-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, pl-01_odp.04 }} to manage the development, documentation, and dissemination of the planning policy and procedures; and' - id: pl-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current planning:' parts: - id: pl-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, pl-01_odp.05 }} and following {{ insert: param, pl-01_odp.06 }} ; and' - id: pl-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, pl-01_odp.07 }} and following {{ insert: param, pl-01_odp.08 }}.' - id: pl-1_gdn name: guidance prose: Planning policy and procedures for the controls in the PL family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission level or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to planning policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: pl-1_obj name: assessment-objective props: - name: label value: PL-01 class: sp800-53a parts: - id: pl-1_obj.a name: assessment-objective props: - name: label value: PL-01a. class: sp800-53a parts: - id: pl-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-01a.[01] class: sp800-53a prose: a planning policy is developed and documented. links: - href: '#pl-1_smt.a' rel: assessment-for - id: pl-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-01a.[02] class: sp800-53a prose: 'the planning policy is disseminated to {{ insert: param, pl-01_odp.01 }};' links: - href: '#pl-1_smt.a' rel: assessment-for - id: pl-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-01a.[03] class: sp800-53a prose: planning procedures to facilitate the implementation of the planning policy and associated planning controls are developed and documented; links: - href: '#pl-1_smt.a' rel: assessment-for - id: pl-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-01a.[04] class: sp800-53a prose: 'the planning procedures are disseminated to {{ insert: param, pl-01_odp.02 }};' links: - href: '#pl-1_smt.a' rel: assessment-for - id: pl-1_obj.a.1 name: assessment-objective props: - name: label value: PL-01a.01 class: sp800-53a parts: - id: pl-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-01a.01(a) class: sp800-53a parts: - id: pl-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: PL-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, pl-01_odp.03 }} planning policy addresses purpose;' links: - href: '#pl-1_smt.a.1.a' rel: assessment-for - id: pl-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: PL-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, pl-01_odp.03 }} planning policy addresses scope;' links: - href: '#pl-1_smt.a.1.a' rel: assessment-for - id: pl-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: PL-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, pl-01_odp.03 }} planning policy addresses roles;' links: - href: '#pl-1_smt.a.1.a' rel: assessment-for - id: pl-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: PL-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, pl-01_odp.03 }} planning policy addresses responsibilities;' links: - href: '#pl-1_smt.a.1.a' rel: assessment-for - id: pl-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: PL-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, pl-01_odp.03 }} planning policy addresses management commitment;' links: - href: '#pl-1_smt.a.1.a' rel: assessment-for - id: pl-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: PL-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, pl-01_odp.03 }} planning policy addresses coordination among organizational entities;' links: - href: '#pl-1_smt.a.1.a' rel: assessment-for - id: pl-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: PL-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, pl-01_odp.03 }} planning policy addresses compliance;' links: - href: '#pl-1_smt.a.1.a' rel: assessment-for links: - href: '#pl-1_smt.a.1.a' rel: assessment-for - id: pl-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-01a.01(b) class: sp800-53a prose: 'the {{ insert: param, pl-01_odp.03 }} planning policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;' links: - href: '#pl-1_smt.a.1.b' rel: assessment-for links: - href: '#pl-1_smt.a.1' rel: assessment-for links: - href: '#pl-1_smt.a' rel: assessment-for - id: pl-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-01b. class: sp800-53a prose: 'the {{ insert: param, pl-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the planning policy and procedures;' links: - href: '#pl-1_smt.b' rel: assessment-for - id: pl-1_obj.c name: assessment-objective props: - name: label value: PL-01c. class: sp800-53a parts: - id: pl-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-01c.01 class: sp800-53a parts: - id: pl-1_obj.c.1-1 name: assessment-objective props: - name: label value: PL-01c.01[01] class: sp800-53a prose: 'the current planning policy is reviewed and updated {{ insert: param, pl-01_odp.05 }};' links: - href: '#pl-1_smt.c.1' rel: assessment-for - id: pl-1_obj.c.1-2 name: assessment-objective props: - name: label value: PL-01c.01[02] class: sp800-53a prose: 'the current planning policy is reviewed and updated following {{ insert: param, pl-01_odp.06 }};' links: - href: '#pl-1_smt.c.1' rel: assessment-for links: - href: '#pl-1_smt.c.1' rel: assessment-for - id: pl-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-01c.02 class: sp800-53a parts: - id: pl-1_obj.c.2-1 name: assessment-objective props: - name: label value: PL-01c.02[01] class: sp800-53a prose: 'the current planning procedures are reviewed and updated {{ insert: param, pl-01_odp.07 }};' links: - href: '#pl-1_smt.c.2' rel: assessment-for - id: pl-1_obj.c.2-2 name: assessment-objective props: - name: label value: PL-01c.02[02] class: sp800-53a prose: 'the current planning procedures are reviewed and updated following {{ insert: param, pl-01_odp.08 }}.' links: - href: '#pl-1_smt.c.2' rel: assessment-for links: - href: '#pl-1_smt.c.2' rel: assessment-for links: - href: '#pl-1_smt.c' rel: assessment-for links: - href: '#pl-1_smt' rel: assessment-for - id: pl-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PL-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Planning policy and procedures system security plan privacy plan other relevant documents or records' - id: pl-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PL-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with planning responsibilities organizational personnel with information security and privacy responsibilities' - id: pl-2 class: SP800-53 title: System Security and Privacy Plans params: - id: pl-02_odp.01 props: - name: alt-identifier value: pl-2_prm_1 - name: label value: PL-02_ODP[01] class: sp800-53a label: individuals or groups constraints: - description: to include chief privacy and ISSO and/or similar role or designees guidelines: - prose: individuals or groups with whom security and privacy-related activities affecting the system that require planning and coordination is/are assigned; - id: pl-02_odp.02 props: - name: alt-identifier value: pl-2_prm_2 - name: label value: PL-02_ODP[02] class: sp800-53a label: personnel or roles constraints: - description: to include chief privacy and ISSO and/or similar role guidelines: - prose: personnel or roles to receive distributed copies of the system security and privacy plans is/are assigned; - id: pl-02_odp.03 props: - name: alt-identifier value: pl-2_prm_3 - name: label value: PL-02_ODP[03] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: frequency to review system security and privacy plans is defined; props: - name: label value: PL-02 class: zero-padded - name: label value: PL-2 - name: label value: PL-02 class: sp800-53a - name: sort-id value: pl-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#30eb758a-2707-4bca-90ad-949a74d4eb16' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference - href: '#ac-2' rel: related - href: '#ac-6' rel: related - href: '#ac-14' rel: related - href: '#ac-17' rel: related - href: '#ac-20' rel: related - href: '#ca-2' rel: related - href: '#ca-3' rel: related - href: '#ca-7' rel: related - href: '#cm-9' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-13 rel: related - href: '#cp-2' rel: related - href: '#cp-4' rel: related - href: '#ir-4' rel: related - href: '#ir-8' rel: related - href: '#ma-4' rel: related - href: '#ma-5' rel: related - href: '#mp-4' rel: related - href: '#mp-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pl-7 rel: related - href: '#pl-8' rel: related - href: '#pl-10' rel: related - href: '#pl-11' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-1 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-7 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-8 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-10 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-11 rel: related - href: '#ra-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ra-8 rel: related - href: '#ra-9' rel: related - href: '#sa-5' rel: related - href: '#sa-17' rel: related - href: '#sa-22' rel: related - href: '#si-12' rel: related - href: '#sr-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-4 rel: related parts: - id: pl-2_smt name: statement parts: - id: pl-2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Develop security and privacy plans for the system that:' parts: - id: pl-2_smt.a.1 name: item props: - name: label value: '1.' prose: Are consistent with the organization’s enterprise architecture; - id: pl-2_smt.a.2 name: item props: - name: label value: '2.' prose: Explicitly define the constituent system components; - id: pl-2_smt.a.3 name: item props: - name: label value: '3.' prose: Describe the operational context of the system in terms of mission and business processes; - id: pl-2_smt.a.4 name: item props: - name: label value: '4.' prose: Identify the individuals that fulfill system roles and responsibilities; - id: pl-2_smt.a.5 name: item props: - name: label value: '5.' prose: Identify the information types processed, stored, and transmitted by the system; - id: pl-2_smt.a.6 name: item props: - name: label value: '6.' prose: Provide the security categorization of the system, including supporting rationale; - id: pl-2_smt.a.7 name: item props: - name: label value: '7.' prose: Describe any specific threats to the system that are of concern to the organization; - id: pl-2_smt.a.8 name: item props: - name: label value: '8.' prose: Provide the results of a privacy risk assessment for systems processing personally identifiable information; - id: pl-2_smt.a.9 name: item props: - name: label value: '9.' prose: Describe the operational environment for the system and any dependencies on or connections to other systems or system components; - id: pl-2_smt.a.10 name: item props: - name: label value: '10.' prose: Provide an overview of the security and privacy requirements for the system; - id: pl-2_smt.a.11 name: item props: - name: label value: '11.' prose: Identify any relevant control baselines or overlays, if applicable; - id: pl-2_smt.a.12 name: item props: - name: label value: '12.' prose: Describe the controls in place or planned for meeting the security and privacy requirements, including a rationale for any tailoring decisions; - id: pl-2_smt.a.13 name: item props: - name: label value: '13.' prose: Include risk determinations for security and privacy architecture and design decisions; - id: pl-2_smt.a.14 name: item props: - name: label value: '14.' prose: 'Include security- and privacy-related activities affecting the system that require planning and coordination with {{ insert: param, pl-02_odp.01 }} ; and' - id: pl-2_smt.a.15 name: item props: - name: label value: '15.' prose: Are reviewed and approved by the authorizing official or designated representative prior to plan implementation. - id: pl-2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Distribute copies of the plans and communicate subsequent changes to the plans to {{ insert: param, pl-02_odp.02 }};' - id: pl-2_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Review the plans {{ insert: param, pl-02_odp.03 }};' - id: pl-2_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Update the plans to address changes to the system and environment of operation or problems identified during plan implementation or control assessments; and - id: pl-2_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: Protect the plans from unauthorized disclosure and modification. - id: pl-2_gdn name: guidance prose: 'System security and privacy plans are scoped to the system and system components within the defined authorization boundary and contain an overview of the security and privacy requirements for the system and the controls selected to satisfy the requirements. The plans describe the intended application of each selected control in the context of the system with a sufficient level of detail to correctly implement the control and to subsequently assess the effectiveness of the control. The control documentation describes how system-specific and hybrid controls are implemented and the plans and expectations regarding the functionality of the system. System security and privacy plans can also be used in the design and development of systems in support of life cycle-based security and privacy engineering processes. System security and privacy plans are living documents that are updated and adapted throughout the system development life cycle (e.g., during capability determination, analysis of alternatives, requests for proposal, and design reviews). [Section 2.1](#c3397cc9-83c6-4459-adb2-836739dc1b94) describes the different types of requirements that are relevant to organizations during the system development life cycle and the relationship between requirements and controls. Organizations may develop a single, integrated security and privacy plan or maintain separate plans. Security and privacy plans relate security and privacy requirements to a set of controls and control enhancements. The plans describe how the controls and control enhancements meet the security and privacy requirements but do not provide detailed, technical descriptions of the design or implementation of the controls and control enhancements. Security and privacy plans contain sufficient information (including specifications of control parameter values for selection and assignment operations 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. Security and privacy plans need not be single documents. The plans can be a collection of various documents, including documents that already exist. Effective security and privacy plans make extensive use of references to policies, procedures, and additional documents, including design and implementation specifications where more detailed information can be obtained. The use of references helps reduce the documentation associated with security and privacy programs and maintains the security- and privacy-related information in other established management and operational areas, including enterprise architecture, system development life cycle, systems engineering, and acquisition. Security and privacy plans need not contain detailed contingency plan or incident response plan information but can instead provide—explicitly or by reference—sufficient information to define what needs to be accomplished by those plans. Security- and privacy-related activities that may require coordination and planning with other individuals or groups within the organization include assessments, audits, inspections, hardware and software maintenance, acquisition and supply chain risk management, patch management, and contingency plan testing. Planning and coordination include emergency and nonemergency (i.e., planned or non-urgent unplanned) situations. The process defined by organizations to plan and coordinate security- and privacy-related activities can also be included in other documents, as appropriate.' - id: pl-2_obj name: assessment-objective props: - name: label value: PL-02 class: sp800-53a parts: - id: pl-2_obj.a name: assessment-objective props: - name: label value: PL-02a. class: sp800-53a parts: - id: pl-2_obj.a.1 name: assessment-objective props: - name: label value: PL-02a.01 class: sp800-53a parts: - id: pl-2_obj.a.1-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-02a.01[01] class: sp800-53a prose: a security plan for the system is developed that is consistent with the organization’s enterprise architecture; links: - href: '#pl-2_smt.a.1' rel: assessment-for - id: pl-2_obj.a.1-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-02a.01[02] class: sp800-53a prose: a privacy plan for the system is developed that is consistent with the organization’s enterprise architecture; links: - href: '#pl-2_smt.a.1' rel: assessment-for links: - href: '#pl-2_smt.a.1' rel: assessment-for - id: pl-2_obj.a.2 name: assessment-objective props: - name: label value: PL-02a.02 class: sp800-53a parts: - id: pl-2_obj.a.2-1 name: assessment-objective props: - name: label value: PL-02a.02[01] class: sp800-53a prose: a security plan for the system is developed that explicitly defines the constituent system components; links: - href: '#pl-2_smt.a.2' rel: assessment-for - id: pl-2_obj.a.2-2 name: assessment-objective props: - name: label value: PL-02a.02[02] class: sp800-53a prose: a privacy plan for the system is developed that explicitly defines the constituent system components; links: - href: '#pl-2_smt.a.2' rel: assessment-for links: - href: '#pl-2_smt.a.2' rel: assessment-for - id: pl-2_obj.a.3 name: assessment-objective props: - name: label value: PL-02a.03 class: sp800-53a parts: - id: pl-2_obj.a.3-1 name: assessment-objective props: - name: label value: PL-02a.03[01] class: sp800-53a prose: a security plan for the system is developed that describes the operational context of the system in terms of mission and business processes; links: - href: '#pl-2_smt.a.3' rel: assessment-for - id: pl-2_obj.a.3-2 name: assessment-objective props: - name: label value: PL-02a.03[02] class: sp800-53a prose: a privacy plan for the system is developed that describes the operational context of the system in terms of mission and business processes; links: - href: '#pl-2_smt.a.3' rel: assessment-for links: - href: '#pl-2_smt.a.3' rel: assessment-for - id: pl-2_obj.a.4 name: assessment-objective props: - name: label value: PL-02a.04 class: sp800-53a parts: - id: pl-2_obj.a.4-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-02a.04[01] class: sp800-53a prose: a security plan for the system is developed that identifies the individuals that fulfill system roles and responsibilities; links: - href: '#pl-2_smt.a.4' rel: assessment-for - id: pl-2_obj.a.4-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-02a.04[02] class: sp800-53a prose: a privacy plan for the system is developed that identifies the individuals that fulfill system roles and responsibilities; links: - href: '#pl-2_smt.a.4' rel: assessment-for links: - href: '#pl-2_smt.a.4' rel: assessment-for - id: pl-2_obj.a.5 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-02a.05 class: sp800-53a parts: - id: pl-2_obj.a.5-1 name: assessment-objective props: - name: label value: PL-02a.05[01] class: sp800-53a prose: a security plan for the system is developed that identifies the information types processed, stored, and transmitted by the system; links: - href: '#pl-2_smt.a.5' rel: assessment-for - id: pl-2_obj.a.5-2 name: assessment-objective props: - name: label value: PL-02a.05[02] class: sp800-53a prose: a privacy plan for the system is developed that identifies the information types processed, stored, and transmitted by the system; links: - href: '#pl-2_smt.a.5' rel: assessment-for links: - href: '#pl-2_smt.a.5' rel: assessment-for - id: pl-2_obj.a.6 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-02a.06 class: sp800-53a parts: - id: pl-2_obj.a.6-1 name: assessment-objective props: - name: label value: PL-02a.06[01] class: sp800-53a prose: a security plan for the system is developed that provides the security categorization of the system, including supporting rationale; links: - href: '#pl-2_smt.a.6' rel: assessment-for - id: pl-2_obj.a.6-2 name: assessment-objective props: - name: label value: PL-02a.06[02] class: sp800-53a prose: a privacy plan for the system is developed that provides the security categorization of the system, including supporting rationale; links: - href: '#pl-2_smt.a.6' rel: assessment-for links: - href: '#pl-2_smt.a.6' rel: assessment-for - id: pl-2_obj.a.7 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-02a.07 class: sp800-53a parts: - id: pl-2_obj.a.7-1 name: assessment-objective props: - name: label value: PL-02a.07[01] class: sp800-53a prose: a security plan for the system is developed that describes any specific threats to the system that are of concern to the organization; links: - href: '#pl-2_smt.a.7' rel: assessment-for - id: pl-2_obj.a.7-2 name: assessment-objective props: - name: label value: PL-02a.07[02] class: sp800-53a prose: a privacy plan for the system is developed that describes any specific threats to the system that are of concern to the organization; links: - href: '#pl-2_smt.a.7' rel: assessment-for links: - href: '#pl-2_smt.a.7' rel: assessment-for - id: pl-2_obj.a.8 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-02a.08 class: sp800-53a parts: - id: pl-2_obj.a.8-1 name: assessment-objective props: - name: label value: PL-02a.08[01] class: sp800-53a prose: a security plan for the system is developed that provides the results of a privacy risk assessment for systems processing personally identifiable information; links: - href: '#pl-2_smt.a.8' rel: assessment-for - id: pl-2_obj.a.8-2 name: assessment-objective props: - name: label value: PL-02a.08[02] class: sp800-53a prose: a privacy plan for the system is developed that provides the results of a privacy risk assessment for systems processing personally identifiable information; links: - href: '#pl-2_smt.a.8' rel: assessment-for links: - href: '#pl-2_smt.a.8' rel: assessment-for - id: pl-2_obj.a.9 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-02a.09 class: sp800-53a parts: - id: pl-2_obj.a.9-1 name: assessment-objective props: - name: label value: PL-02a.09[01] class: sp800-53a prose: a security plan for the system is developed that describes the operational environment for the system and any dependencies on or connections to other systems or system components; links: - href: '#pl-2_smt.a.9' rel: assessment-for - id: pl-2_obj.a.9-2 name: assessment-objective props: - name: label value: PL-02a.09[02] class: sp800-53a prose: a privacy plan for the system is developed that describes the operational environment for the system and any dependencies on or connections to other systems or system components; links: - href: '#pl-2_smt.a.9' rel: assessment-for links: - href: '#pl-2_smt.a.9' rel: assessment-for - id: pl-2_obj.a.10 name: assessment-objective props: - name: label value: PL-02a.10 class: sp800-53a parts: - id: pl-2_obj.a.10-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-02a.10[01] class: sp800-53a prose: a security plan for the system is developed that provides an overview of the security requirements for the system; links: - href: '#pl-2_smt.a.10' rel: assessment-for - id: pl-2_obj.a.10-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-02a.10[02] class: sp800-53a prose: a privacy plan for the system is developed that provides an overview of the privacy requirements for the system; links: - href: '#pl-2_smt.a.10' rel: assessment-for links: - href: '#pl-2_smt.a.10' rel: assessment-for - id: pl-2_obj.a.11 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-02a.11 class: sp800-53a parts: - id: pl-2_obj.a.11-1 name: assessment-objective props: - name: label value: PL-02a.11[01] class: sp800-53a prose: a security plan for the system is developed that identifies any relevant control baselines or overlays, if applicable; links: - href: '#pl-2_smt.a.11' rel: assessment-for - id: pl-2_obj.a.11-2 name: assessment-objective props: - name: label value: PL-02a.11[02] class: sp800-53a prose: a privacy plan for the system is developed that identifies any relevant control baselines or overlays, if applicable; links: - href: '#pl-2_smt.a.11' rel: assessment-for links: - href: '#pl-2_smt.a.11' rel: assessment-for - id: pl-2_obj.a.12 name: assessment-objective props: - name: label value: PL-02a.12 class: sp800-53a parts: - id: pl-2_obj.a.12-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-02a.12[01] class: sp800-53a prose: a security plan for the system is developed that describes the controls in place or planned for meeting the security requirements, including rationale for any tailoring decisions; links: - href: '#pl-2_smt.a.12' rel: assessment-for - id: pl-2_obj.a.12-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-02a.12[02] class: sp800-53a prose: a privacy plan for the system is developed that describes the controls in place or planned for meeting the privacy requirements, including rationale for any tailoring decisions; links: - href: '#pl-2_smt.a.12' rel: assessment-for links: - href: '#pl-2_smt.a.12' rel: assessment-for - id: pl-2_obj.a.13 name: assessment-objective props: - name: label value: PL-02a.13 class: sp800-53a parts: - id: pl-2_obj.a.13-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-02a.13[01] class: sp800-53a prose: a security plan for the system is developed that includes risk determinations for security architecture and design decisions; links: - href: '#pl-2_smt.a.13' rel: assessment-for - id: pl-2_obj.a.13-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-02a.13[02] class: sp800-53a prose: a privacy plan for the system is developed that includes risk determinations for privacy architecture and design decisions; links: - href: '#pl-2_smt.a.13' rel: assessment-for links: - href: '#pl-2_smt.a.13' rel: assessment-for - id: pl-2_obj.a.14 name: assessment-objective props: - name: label value: PL-02a.14 class: sp800-53a parts: - id: pl-2_obj.a.14-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PL-02a.14[01] class: sp800-53a prose: 'a security plan for the system is developed that includes security-related activities affecting the system that require planning and coordination with {{ insert: param, pl-02_odp.01 }};' links: - href: '#pl-2_smt.a.14' rel: assessment-for - id: pl-2_obj.a.14-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PL-02a.14[02] class: sp800-53a prose: 'a privacy plan for the system is developed that includes privacy-related activities affecting the system that require planning and coordination with {{ insert: param, pl-02_odp.01 }};' links: - href: '#pl-2_smt.a.14' rel: assessment-for links: - href: '#pl-2_smt.a.14' rel: assessment-for - id: pl-2_obj.a.15 name: assessment-objective props: - name: label value: PL-02a.15 class: sp800-53a parts: - id: pl-2_obj.a.15-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-02a.15[01] class: sp800-53a prose: a security plan for the system is developed that is reviewed and approved by the authorizing official or designated representative prior to plan implementation; links: - href: '#pl-2_smt.a.15' rel: assessment-for - id: pl-2_obj.a.15-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-02a.15[02] class: sp800-53a prose: a privacy plan for the system is developed that is reviewed and approved by the authorizing official or designated representative prior to plan implementation. links: - href: '#pl-2_smt.a.15' rel: assessment-for links: - href: '#pl-2_smt.a.15' rel: assessment-for links: - href: '#pl-2_smt.a' rel: assessment-for - id: pl-2_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PL-02b. class: sp800-53a parts: - id: pl-2_obj.b-1 name: assessment-objective props: - name: label value: PL-02b.[01] class: sp800-53a prose: 'copies of the plans are distributed to {{ insert: param, pl-02_odp.02 }};' links: - href: '#pl-2_smt.b' rel: assessment-for - id: pl-2_obj.b-2 name: assessment-objective props: - name: label value: PL-02b.[02] class: sp800-53a prose: 'subsequent changes to the plans are communicated to {{ insert: param, pl-02_odp.02 }};' links: - href: '#pl-2_smt.b' rel: assessment-for links: - href: '#pl-2_smt.b' rel: assessment-for - id: pl-2_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PL-02c. class: sp800-53a prose: 'plans are reviewed {{ insert: param, pl-02_odp.03 }};' links: - href: '#pl-2_smt.c' rel: assessment-for - id: pl-2_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PL-02d. class: sp800-53a parts: - id: pl-2_obj.d-1 name: assessment-objective props: - name: label value: PL-02d.[01] class: sp800-53a prose: plans are updated to address changes to the system and environment of operations; links: - href: '#pl-2_smt.d' rel: assessment-for - id: pl-2_obj.d-2 name: assessment-objective props: - name: label value: PL-02d.[02] class: sp800-53a prose: plans are updated to address problems identified during the plan implementation; links: - href: '#pl-2_smt.d' rel: assessment-for - id: pl-2_obj.d-3 name: assessment-objective props: - name: label value: PL-02d.[03] class: sp800-53a prose: plans are updated to address problems identified during control assessments; links: - href: '#pl-2_smt.d' rel: assessment-for links: - href: '#pl-2_smt.d' rel: assessment-for - id: pl-2_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PL-02e. class: sp800-53a parts: - id: pl-2_obj.e-1 name: assessment-objective props: - name: label value: PL-02e.[01] class: sp800-53a prose: plans are protected from unauthorized disclosure; links: - href: '#pl-2_smt.e' rel: assessment-for - id: pl-2_obj.e-2 name: assessment-objective props: - name: label value: PL-02e.[02] class: sp800-53a prose: plans are protected from unauthorized modification. links: - href: '#pl-2_smt.e' rel: assessment-for links: - href: '#pl-2_smt.e' rel: assessment-for links: - href: '#pl-2_smt' rel: assessment-for - id: pl-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PL-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Security and privacy planning policy procedures addressing system security and privacy plan development and implementation procedures addressing security and privacy plan reviews and updates enterprise architecture documentation system security plan privacy plan records of system security and privacy plan reviews and updates security and privacy architecture and design documentation risk assessments risk assessment results control assessment documentation other relevant documents or records' - id: pl-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PL-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system security and privacy planning and plan implementation responsibilities system developers organizational personnel with information security and privacy responsibilities' - id: pl-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PL-02-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for system security and privacy plan development, review, update, and approval mechanisms supporting the system security and privacy plan' - id: pl-4 class: SP800-53 title: Rules of Behavior params: - id: pl-04_odp.01 props: - name: alt-identifier value: pl-4_prm_1 - name: label value: PL-04_ODP[01] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: frequency for reviewing and updating the rules of behavior is defined; - id: pl-04_odp.02 props: - name: alt-identifier value: pl-4_prm_2 - name: label value: PL-04_ODP[02] class: sp800-53a constraints: - description: at least annually and when the rules are revised or changed - id: pl-04_odp.03 props: - name: alt-identifier value: pl-4_prm_3 - name: label value: PL-04_ODP[03] class: sp800-53a label: frequency guidelines: - prose: frequency for individuals to read and re-acknowledge the rules of behavior is defined (if selected); props: - name: label value: PL-04 class: zero-padded - name: label value: PL-4 - name: label value: PL-04 class: sp800-53a - name: sort-id value: pl-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#30eb758a-2707-4bca-90ad-949a74d4eb16' rel: reference - href: '#ac-2' rel: related - href: '#ac-6' rel: related - href: '#ac-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-9 rel: related - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#ac-20' rel: related - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#cm-11' rel: related - href: '#ia-2' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: '#mp-7' rel: related - href: '#ps-6' rel: related - href: '#ps-8' rel: related - href: '#sa-5' rel: related - href: '#si-12' rel: related parts: - id: pl-4_smt name: statement parts: - id: pl-4_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Establish and provide to individuals requiring access to the system, the rules that describe their responsibilities and expected behavior for information and system usage, security, and privacy; - id: pl-4_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Receive a documented acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the system; - id: pl-4_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Review and update the rules of behavior {{ insert: param, pl-04_odp.01 }} ; and' - id: pl-4_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: 'Require individuals who have acknowledged a previous version of the rules of behavior to read and re-acknowledge {{ insert: param, pl-04_odp.02 }}.' - id: pl-4_gdn name: guidance prose: Rules of behavior represent a type of access agreement for organizational users. Other types of access agreements include nondisclosure agreements, conflict-of-interest agreements, and acceptable use agreements (see [PS-6](#ps-6) ). Organizations consider rules of behavior based on individual user roles and responsibilities and differentiate 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 individuals who receive information from federal systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for organizational and non-organizational users can also be established in [AC-8](#ac-8) . The related controls section provides a list of controls that are relevant to organizational rules of behavior. [PL-4b](#pl-4_smt.b) , the documented acknowledgment portion of the control, may be satisfied by the literacy training and awareness and role-based training programs conducted by organizations if such training includes rules of behavior. Documented acknowledgements for rules of behavior include electronic or physical signatures and electronic agreement check boxes or radio buttons. - id: pl-4_obj name: assessment-objective props: - name: label value: PL-04 class: sp800-53a parts: - id: pl-4_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-04a. class: sp800-53a parts: - id: pl-4_obj.a-1 name: assessment-objective props: - name: label value: PL-04a.[01] class: sp800-53a prose: rules that describe responsibilities and expected behavior for information and system usage, security, and privacy are established for individuals requiring access to the system; links: - href: '#pl-4_smt.a' rel: assessment-for - id: pl-4_obj.a-2 name: assessment-objective props: - name: label value: PL-04a.[02] class: sp800-53a prose: rules that describe responsibilities and expected behavior for information and system usage, security, and privacy are provided to individuals requiring access to the system; links: - href: '#pl-4_smt.a' rel: assessment-for links: - href: '#pl-4_smt.a' rel: assessment-for - id: pl-4_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-04b. class: sp800-53a prose: before authorizing access to information and the system, a documented acknowledgement from such individuals indicating that they have read, understand, and agree to abide by the rules of behavior is received; links: - href: '#pl-4_smt.b' rel: assessment-for - id: pl-4_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PL-04c. class: sp800-53a prose: 'rules of behavior are reviewed and updated {{ insert: param, pl-04_odp.01 }};' links: - href: '#pl-4_smt.c' rel: assessment-for - id: pl-4_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PL-04d. class: sp800-53a prose: 'individuals who have acknowledged a previous version of the rules of behavior are required to read and reacknowledge {{ insert: param, pl-04_odp.02 }}.' links: - href: '#pl-4_smt.d' rel: assessment-for links: - href: '#pl-4_smt' rel: assessment-for - id: pl-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PL-04-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Security and privacy planning policy procedures addressing rules of behavior for system users rules of behavior signed acknowledgements records for rules of behavior reviews and updates other relevant documents or records' - id: pl-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PL-04-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior organizational personnel with responsibility for literacy training and awareness and role-based training organizational personnel who are authorized users of the system and have signed and resigned rules of behavior organizational personnel with information security and privacy responsibilities' - id: pl-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PL-04-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for establishing, reviewing, disseminating, and updating rules of behavior mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior' controls: - id: pl-4.1 class: SP800-53-enhancement title: Social Media and External Site/Application Usage Restrictions props: - name: label value: PL-04(01) class: zero-padded - name: label value: PL-4(1) - name: label value: PL-04(01) class: sp800-53a - name: sort-id value: pl-04.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#pl-4' rel: required - href: '#ac-22' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-13 rel: related parts: - id: pl-4.1_smt name: statement prose: 'Include in the rules of behavior, restrictions on:' parts: - id: pl-4.1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: Use of social media, social networking sites, and external sites/applications; - id: pl-4.1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Posting organizational information on public websites; and - id: pl-4.1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (c) prose: Use of organization-provided identifiers (e.g., email addresses) and authentication secrets (e.g., passwords) for creating accounts on external sites/applications. - id: pl-4.1_gdn name: guidance prose: Social media, social networking, and external site/application usage restrictions address rules of behavior related to the use of social media, social networking, and external sites when organizational personnel are using such sites for official duties or in the conduct of official business, when organizational information is involved in social media and social networking transactions, and when personnel access social media and networking sites from organizational systems. Organizations also address specific rules that prevent unauthorized entities from obtaining non-public organizational information from social media and networking sites either directly or through inference. Non-public information includes personally identifiable information and system account information. - id: pl-4.1_obj name: assessment-objective props: - name: label value: PL-04(01) class: sp800-53a parts: - id: pl-4.1_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-04(01)(a) class: sp800-53a prose: the rules of behavior include restrictions on the use of social media, social networking sites, and external sites/applications; links: - href: '#pl-4.1_smt.a' rel: assessment-for - id: pl-4.1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-04(01)(b) class: sp800-53a prose: the rules of behavior include restrictions on posting organizational information on public websites; links: - href: '#pl-4.1_smt.b' rel: assessment-for - id: pl-4.1_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-04(01)(c) class: sp800-53a prose: the rules of behavior include restrictions on the use of organization-provided identifiers (e.g., email addresses) and authentication secrets (e.g., passwords) for creating accounts on external sites/applications. links: - href: '#pl-4.1_smt.c' rel: assessment-for links: - href: '#pl-4.1_smt' rel: assessment-for - id: pl-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PL-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Security and privacy planning policy procedures addressing rules of behavior for system users rules of behavior training policy other relevant documents or records' - id: pl-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PL-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior organizational personnel with responsibility for literacy training and awareness and role-based training organizational personnel who are authorized users of the system and have signed rules of behavior organizational personnel with information security and privacy responsibilities' - id: pl-4.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PL-04(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for establishing rules of behavior mechanisms supporting and/or implementing the establishment of rules of behavior' - id: pl-8 class: SP800-53 title: Security and Privacy Architectures params: - id: pl-08_odp props: - name: alt-identifier value: pl-8_prm_1 - name: label value: PL-08_ODP class: sp800-53a label: frequency constraints: - description: at least annually and when a significant change occurs guidelines: - prose: frequency for review and update to reflect changes in the enterprise architecture; props: - name: label value: PL-08 class: zero-padded - name: label value: PL-8 - name: label value: PL-08 class: sp800-53a - name: sort-id value: pl-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference - href: '#cm-2' rel: related - href: '#cm-6' rel: related - href: '#pl-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pl-7 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pl-9 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-5 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-7 rel: related - href: '#ra-9' rel: related - href: '#sa-3' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-17' rel: related - href: '#sc-7' rel: related parts: - id: pl-8_smt name: statement parts: - id: pl-8_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Develop security and privacy architectures for the system that:' parts: - id: pl-8_smt.a.1 name: item props: - name: label value: '1.' prose: Describe the requirements and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information; - id: pl-8_smt.a.2 name: item props: - name: label value: '2.' prose: Describe the requirements and approach to be taken for processing personally identifiable information to minimize privacy risk to individuals; - id: pl-8_smt.a.3 name: item props: - name: label value: '3.' prose: Describe how the architectures are integrated into and support the enterprise architecture; and - id: pl-8_smt.a.4 name: item props: - name: label value: '4.' prose: Describe any assumptions about, and dependencies on, external systems and services; - id: pl-8_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Review and update the architectures {{ insert: param, pl-08_odp }} to reflect changes in the enterprise architecture; and' - id: pl-8_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Reflect planned architecture changes in security and privacy plans, Concept of Operations (CONOPS), criticality analysis, organizational procedures, and procurements and acquisitions. - id: pl-8_gdn name: guidance prose: 'The security and privacy architectures at the system level are consistent with the organization-wide security and privacy architectures described in [PM-7](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-7) , which are integral to and developed as part of the enterprise architecture. The architectures include an architectural description, the allocation of security and privacy functionality (including controls), security- and privacy-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. The architectures can also include other information, such as user roles and the access privileges assigned to each role; security and privacy requirements; types of information processed, stored, and transmitted by the system; supply chain risk management requirements; restoration priorities of information and system services; and other protection needs. [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) provides guidance on the use of security architectures as part of the system development life cycle process. [OMB M-19-03](#c5e11048-1d38-4af3-b00b-0d88dc26860c) requires the use of the systems security engineering concepts described in [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) for high value assets. Security and privacy architectures are reviewed and updated throughout the system development life cycle, from analysis of alternatives through review of the proposed architecture in the RFP responses to the design reviews before and during implementation (e.g., during preliminary design reviews and critical design reviews). In today’s modern computing architectures, it is becoming less common for organizations to control all information resources. There may be key dependencies on external information services and service providers. Describing such dependencies in the security and privacy architectures is necessary for developing a comprehensive mission and business protection strategy. Establishing, developing, documenting, and maintaining under configuration control a baseline configuration for organizational systems is critical to implementing and maintaining effective architectures. The development of the architectures is coordinated with the senior agency information security officer and the senior agency official for privacy to ensure that the controls needed to support security and privacy requirements are identified and effectively implemented. In many circumstances, there may be no distinction between the security and privacy architecture for a system. In other circumstances, security objectives may be adequately satisfied, but privacy objectives may only be partially satisfied by the security requirements. In these cases, consideration of the privacy requirements needed to achieve satisfaction will result in a distinct privacy architecture. The documentation, however, may simply reflect the combined architectures. [PL-8](#pl-8) is primarily directed at organizations to ensure that architectures are developed for the system and, moreover, that the architectures are integrated with or tightly coupled to the enterprise architecture. In contrast, [SA-17](#sa-17) is primarily directed at the external information technology product and system developers and integrators. [SA-17](#sa-17) , which is complementary to [PL-8](#pl-8) , is selected when organizations outsource the development of systems or components to external entities and when there is a need to demonstrate consistency with the organization’s enterprise architecture and security and privacy architectures.' - id: pl-8_fr name: item ns: http://fedramp.gov/ns/oscal title: PL-8 Additional FedRAMP Requirements and Guidance parts: - id: pl-8_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: '(b) Guidance:' prose: Significant change is defined in NIST Special Publication 800-37 Revision 2, Appendix F. - id: pl-8_obj name: assessment-objective props: - name: label value: PL-08 class: sp800-53a parts: - id: pl-8_obj.a name: assessment-objective props: - name: label value: PL-08a. class: sp800-53a parts: - id: pl-8_obj.a.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-08a.01 class: sp800-53a prose: a security architecture for the system describes the requirements and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information; links: - href: '#pl-8_smt.a.1' rel: assessment-for - id: pl-8_obj.a.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-08a.02 class: sp800-53a prose: a privacy architecture describes the requirements and approach to be taken for processing personally identifiable information to minimize privacy risk to individuals; links: - href: '#pl-8_smt.a.2' rel: assessment-for - id: pl-8_obj.a.3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-08a.03 class: sp800-53a parts: - id: pl-8_obj.a.3-1 name: assessment-objective props: - name: label value: PL-08a.03[01] class: sp800-53a prose: a security architecture for the system describes how the architecture is integrated into and supports the enterprise architecture; links: - href: '#pl-8_smt.a.3' rel: assessment-for - id: pl-8_obj.a.3-2 name: assessment-objective props: - name: label value: PL-08a.03[02] class: sp800-53a prose: a privacy architecture for the system describes how the architecture is integrated into and supports the enterprise architecture; links: - href: '#pl-8_smt.a.3' rel: assessment-for links: - href: '#pl-8_smt.a.3' rel: assessment-for - id: pl-8_obj.a.4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-08a.04 class: sp800-53a parts: - id: pl-8_obj.a.4-1 name: assessment-objective props: - name: label value: PL-08a.04[01] class: sp800-53a prose: a security architecture for the system describes any assumptions about and dependencies on external systems and services; links: - href: '#pl-8_smt.a.4' rel: assessment-for - id: pl-8_obj.a.4-2 name: assessment-objective props: - name: label value: PL-08a.04[02] class: sp800-53a prose: a privacy architecture for the system describes any assumptions about and dependencies on external systems and services; links: - href: '#pl-8_smt.a.4' rel: assessment-for links: - href: '#pl-8_smt.a.4' rel: assessment-for links: - href: '#pl-8_smt.a' rel: assessment-for - id: pl-8_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PL-08b. class: sp800-53a prose: 'changes in the enterprise architecture are reviewed and updated {{ insert: param, pl-08_odp }} to reflect changes in the enterprise architecture;' links: - href: '#pl-8_smt.b' rel: assessment-for - id: pl-8_obj.c name: assessment-objective props: - name: label value: PL-08c. class: sp800-53a parts: - id: pl-8_obj.c-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-08c.[01] class: sp800-53a prose: planned architecture changes are reflected in the security plan; links: - href: '#pl-8_smt.c' rel: assessment-for - id: pl-8_obj.c-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-08c.[02] class: sp800-53a prose: planned architecture changes are reflected in the privacy plan; links: - href: '#pl-8_smt.c' rel: assessment-for - id: pl-8_obj.c-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-08c.[03] class: sp800-53a prose: planned architecture changes are reflected in the Concept of Operations (CONOPS); links: - href: '#pl-8_smt.c' rel: assessment-for - id: pl-8_obj.c-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-08c.[04] class: sp800-53a prose: planned architecture changes are reflected in criticality analysis; links: - href: '#pl-8_smt.c' rel: assessment-for - id: pl-8_obj.c-5 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-08c.[05] class: sp800-53a prose: planned architecture changes are reflected in organizational procedures; links: - href: '#pl-8_smt.c' rel: assessment-for - id: pl-8_obj.c-6 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-08c.[06] class: sp800-53a prose: planned architecture changes are reflected in procurements and acquisitions. links: - href: '#pl-8_smt.c' rel: assessment-for links: - href: '#pl-8_smt.c' rel: assessment-for links: - href: '#pl-8_smt' rel: assessment-for - id: pl-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PL-08-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Security and privacy planning policy procedures addressing information security and privacy architecture development procedures addressing information security and privacy architecture reviews and updates enterprise architecture documentation information security and privacy architecture documentation system security plan privacy plan security and privacy CONOPS for the system records of information security and privacy architecture reviews and updates other relevant documents or records' - id: pl-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PL-08-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with security and privacy planning and plan implementation responsibilities organizational personnel with information security and privacy architecture development responsibilities organizational personnel with information security and privacy responsibilities' - id: pl-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PL-08-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for developing, reviewing, and updating the information security and privacy architecture mechanisms supporting and/or implementing the development, review, and update of the information security and privacy architecture' - id: pl-10 class: SP800-53 title: Baseline Selection props: - name: label value: PL-10 class: zero-padded - name: label value: PL-10 - name: label value: PL-10 class: sp800-53a - name: sort-id value: pl-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#599fb53d-5041-444e-a7fe-640d6d30ad05' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#46d9e201-840e-440e-987c-2c773333c752' rel: reference - href: '#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a' rel: reference - href: '#9be5d661-421f-41ad-854e-86f98b811891' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#4e4fbc93-333d-45e6-a875-de36b878b6b9' rel: reference - href: '#pl-2' rel: related - href: '#pl-11' rel: related - href: '#ra-2' rel: related - href: '#ra-3' rel: related - href: '#sa-8' rel: related parts: - id: pl-10_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Select a control baseline for the system. - id: pl-10_gdn name: guidance prose: Control baselines are predefined sets of controls specifically assembled to address the protection needs of a group, organization, or community of interest. Controls are chosen for baselines to either satisfy mandates imposed by laws, executive orders, directives, regulations, policies, standards, and guidelines or address threats common to all users of the baseline under the assumptions specific to the baseline. Baselines represent a starting point for the protection of individuals’ privacy, information, and information systems with subsequent tailoring actions to manage risk in accordance with mission, business, or other constraints (see [PL-11](#pl-11) ). Federal control baselines are provided in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) . The selection of a control baseline is determined by the needs of stakeholders. Stakeholder needs consider mission and business requirements as well as mandates imposed by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. For example, the control baselines in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) are based on the requirements from [FISMA](#0c67b2a9-bede-43d2-b86d-5f35b8be36e9) and [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) . The requirements, along with the NIST standards and guidelines implementing the legislation, direct organizations to select one of the control baselines after the reviewing the information types and the information that is processed, stored, and transmitted on the system; analyzing the potential adverse impact of the loss or compromise of the information or system on the organization’s operations and assets, individuals, other organizations, or the Nation; and considering the results from system and organizational risk assessments. [CNSSI 1253](#4e4fbc93-333d-45e6-a875-de36b878b6b9) provides guidance on control baselines for national security systems. - id: pl-10_fr name: item ns: http://fedramp.gov/ns/oscal title: PL-10 Additional FedRAMP Requirements and Guidance parts: - id: pl-10_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Select the appropriate FedRAMP Baseline - id: pl-10_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PL-10 class: sp800-53a prose: a control baseline for the system is selected. links: - href: '#pl-10_smt' rel: assessment-for - id: pl-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PL-10-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Security and privacy planning policy procedures addressing system security and privacy plan development and implementation procedures addressing system security and privacy plan reviews and updates system design documentation system architecture and configuration documentation system categorization decision information types stored, transmitted, and processed by the system system element/component information stakeholder needs analysis list of security and privacy requirements allocated to the system, system elements, and environment of operation list of contractual requirements allocated to external providers of the system or system element business impact analysis or criticality analysis risk assessments risk management strategy organizational security and privacy policy federal or organization-approved or mandated baselines or overlays system security plan privacy plan other relevant documents or records' - id: pl-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PL-10-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with security and privacy planning and plan implementation responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with responsibility for organizational risk management activities' - id: pl-11 class: SP800-53 title: Baseline Tailoring props: - name: label value: PL-11 class: zero-padded - name: label value: PL-11 - name: label value: PL-11 class: sp800-53a - name: sort-id value: pl-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#599fb53d-5041-444e-a7fe-640d6d30ad05' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#46d9e201-840e-440e-987c-2c773333c752' rel: reference - href: '#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a' rel: reference - href: '#9be5d661-421f-41ad-854e-86f98b811891' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#4e4fbc93-333d-45e6-a875-de36b878b6b9' rel: reference - href: '#pl-10' rel: related - href: '#ra-2' rel: related - href: '#ra-3' rel: related - href: '#ra-9' rel: related - href: '#sa-8' rel: related parts: - id: pl-11_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Tailor the selected control baseline by applying specified tailoring actions. - id: pl-11_gdn name: guidance prose: The concept of tailoring allows organizations to specialize or customize a set of baseline controls by applying a defined set of tailoring actions. Tailoring actions facilitate such specialization and customization by allowing organizations to develop security and privacy plans that reflect their specific mission and business functions, the environments where their systems operate, the threats and vulnerabilities that can affect their systems, and any other conditions or situations that can impact their mission or business success. Tailoring guidance is provided in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) . Tailoring a control baseline is accomplished by identifying and designating common controls, applying scoping considerations, selecting compensating controls, assigning values to control parameters, supplementing the control baseline with additional controls as needed, and providing information for control implementation. The general tailoring actions in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) can be supplemented with additional actions based on the needs of organizations. Tailoring actions can be applied to the baselines in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) in accordance with the security and privacy requirements from [FISMA](#0c67b2a9-bede-43d2-b86d-5f35b8be36e9), [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) , and [OMB A-130](#27847491-5ce1-4f6a-a1e4-9e483782f0ef) . Alternatively, other communities of interest adopting different control baselines can apply the tailoring actions in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) to specialize or customize the controls that represent the specific needs and concerns of those entities. - id: pl-11_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PL-11 class: sp800-53a prose: the selected control baseline is tailored by applying specified tailoring actions. links: - href: '#pl-11_smt' rel: assessment-for - id: pl-11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PL-11-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Security and privacy planning policy procedures addressing system security and privacy plan development and implementation system design documentation system categorization decision information types stored, transmitted, and processed by the system system element/component information stakeholder needs analysis list of security and privacy requirements allocated to the system, system elements, and environment of operation list of contractual requirements allocated to external providers of the system or system element business impact analysis or criticality analysis risk assessments risk management strategy organizational security and privacy policy federal or organization-approved or mandated baselines or overlays baseline tailoring rationale system security plan privacy plan records of system security and privacy plan reviews and updates other relevant documents or records' - id: pl-11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PL-11-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with security and privacy planning and plan implementation responsibilities organizational personnel with information security and privacy responsibilities' - id: ps class: family title: Personnel Security controls: - id: ps-1 class: SP800-53 title: Policy and Procedures params: - id: ps-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ps-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ps-01_odp.02 label: organization-defined personnel or roles - id: ps-01_odp.01 props: - name: label value: PS-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the personnel security policy is to be disseminated is/are defined; - id: ps-01_odp.02 props: - name: label value: PS-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the personnel security procedures are to be disseminated is/are defined; - id: ps-01_odp.03 props: - name: alt-identifier value: ps-1_prm_2 - name: label value: PS-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: ps-01_odp.04 props: - name: alt-identifier value: ps-1_prm_3 - name: label value: PS-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the personnel security policy and procedures is defined; - id: ps-01_odp.05 props: - name: alt-identifier value: ps-1_prm_4 - name: label value: PS-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current personnel security policy is reviewed and updated is defined; - id: ps-01_odp.06 props: - name: alt-identifier value: ps-1_prm_5 - name: label value: PS-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current personnel security policy to be reviewed and updated are defined; - id: ps-01_odp.07 props: - name: alt-identifier value: ps-1_prm_6 - name: label value: PS-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current personnel security procedures are reviewed and updated is defined; - id: ps-01_odp.08 props: - name: alt-identifier value: ps-1_prm_7 - name: label value: PS-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that would require the personnel security procedures to be reviewed and updated are defined; props: - name: label value: PS-01 class: zero-padded - name: label value: PS-1 - name: label value: PS-01 class: sp800-53a - name: sort-id value: ps-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ps-8' rel: related - href: '#si-12' rel: related parts: - id: ps-1_smt name: statement parts: - id: ps-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses Personnel Security MUST be associated with PS-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses Personnel Security MUST be associated with PS-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, ps-1_prm_1 }}:' parts: - id: ps-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, ps-01_odp.03 }} personnel security policy that:' parts: - id: ps-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: ps-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: ps-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the personnel security policy and the associated personnel security controls; - id: ps-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, ps-01_odp.04 }} to manage the development, documentation, and dissemination of the personnel security policy and procedures; and' - id: ps-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current personnel security:' parts: - id: ps-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, ps-01_odp.05 }} and following {{ insert: param, ps-01_odp.06 }} ; and' - id: ps-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, ps-01_odp.07 }} and following {{ insert: param, ps-01_odp.08 }}.' - id: ps-1_gdn name: guidance prose: Personnel security policy and procedures for the controls in the PS family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission level or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to personnel security policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: ps-1_obj name: assessment-objective props: - name: label value: PS-01 class: sp800-53a parts: - id: ps-1_obj.a name: assessment-objective props: - name: label value: PS-01a. class: sp800-53a parts: - id: ps-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-01a.[01] class: sp800-53a prose: a personnel security policy is developed and documented; links: - href: '#ps-1_smt.a' rel: assessment-for - id: ps-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-01a.[02] class: sp800-53a prose: 'the personnel security policy is disseminated to {{ insert: param, ps-01_odp.01 }};' links: - href: '#ps-1_smt.a' rel: assessment-for - id: ps-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PS-01a.[03] class: sp800-53a prose: personnel security procedures to facilitate the implementation of the personnel security policy and associated personnel security controls are developed and documented; links: - href: '#ps-1_smt.a' rel: assessment-for - id: ps-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PS-01a.[04] class: sp800-53a prose: 'the personnel security procedures are disseminated to {{ insert: param, ps-01_odp.02 }};' links: - href: '#ps-1_smt.a' rel: assessment-for - id: ps-1_obj.a.1 name: assessment-objective props: - name: label value: PS-01a.01 class: sp800-53a parts: - id: ps-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PS-01a.01(a) class: sp800-53a parts: - id: ps-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: PS-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses purpose;' links: - href: '#ps-1_smt.a.1.a' rel: assessment-for - id: ps-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: PS-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses scope;' links: - href: '#ps-1_smt.a.1.a' rel: assessment-for - id: ps-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: PS-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses roles;' links: - href: '#ps-1_smt.a.1.a' rel: assessment-for - id: ps-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: PS-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses responsibilities;' links: - href: '#ps-1_smt.a.1.a' rel: assessment-for - id: ps-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: PS-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses management commitment;' links: - href: '#ps-1_smt.a.1.a' rel: assessment-for - id: ps-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: PS-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses coordination among organizational entities;' links: - href: '#ps-1_smt.a.1.a' rel: assessment-for - id: ps-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: PS-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses compliance;' links: - href: '#ps-1_smt.a.1.a' rel: assessment-for links: - href: '#ps-1_smt.a.1.a' rel: assessment-for - id: ps-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PS-01a.01(b) class: sp800-53a prose: 'the {{ insert: param, ps-01_odp.03 }} personnel security policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;' links: - href: '#ps-1_smt.a.1.b' rel: assessment-for links: - href: '#ps-1_smt.a.1' rel: assessment-for links: - href: '#ps-1_smt.a' rel: assessment-for - id: ps-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-01b. class: sp800-53a prose: 'the {{ insert: param, ps-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the personnel security policy and procedures;' links: - href: '#ps-1_smt.b' rel: assessment-for - id: ps-1_obj.c name: assessment-objective props: - name: label value: PS-01c. class: sp800-53a parts: - id: ps-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-01c.01 class: sp800-53a parts: - id: ps-1_obj.c.1-1 name: assessment-objective props: - name: label value: PS-01c.01[01] class: sp800-53a prose: 'the current personnel security policy is reviewed and updated {{ insert: param, ps-01_odp.05 }};' links: - href: '#ps-1_smt.c.1' rel: assessment-for - id: ps-1_obj.c.1-2 name: assessment-objective props: - name: label value: PS-01c.01[02] class: sp800-53a prose: 'the current personnel security policy is reviewed and updated following {{ insert: param, ps-01_odp.06 }};' links: - href: '#ps-1_smt.c.1' rel: assessment-for links: - href: '#ps-1_smt.c.1' rel: assessment-for - id: ps-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-01c.02 class: sp800-53a parts: - id: ps-1_obj.c.2-1 name: assessment-objective props: - name: label value: PS-01c.02[01] class: sp800-53a prose: 'the current personnel security procedures are reviewed and updated {{ insert: param, ps-01_odp.07 }};' links: - href: '#ps-1_smt.c.2' rel: assessment-for - id: ps-1_obj.c.2-2 name: assessment-objective props: - name: label value: PS-01c.02[02] class: sp800-53a prose: 'the current personnel security procedures are reviewed and updated following {{ insert: param, ps-01_odp.08 }}.' links: - href: '#ps-1_smt.c.2' rel: assessment-for links: - href: '#ps-1_smt.c.2' rel: assessment-for links: - href: '#ps-1_smt.c' rel: assessment-for links: - href: '#ps-1_smt' rel: assessment-for - id: ps-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Personnel security policy personnel security procedures system security plan privacy plan risk management strategy documentation audit findings other relevant documents or records' - id: ps-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with personnel security responsibilities organizational personnel with information security responsibilities' - id: ps-2 class: SP800-53 title: Position Risk Designation params: - id: ps-02_odp props: - name: alt-identifier value: ps-2_prm_1 - name: label value: PS-02_ODP class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which to review and update position risk designations is defined; props: - name: label value: PS-02 class: zero-padded - name: label value: PS-2 - name: label value: PS-02 class: sp800-53a - name: sort-id value: ps-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#a5ef5e56-5c1a-4911-b419-37dddc1b3581' rel: reference - href: '#276bd50a-7e58-48e5-a405-8c8cb91d7a5f' rel: reference - href: '#ac-5' rel: related - href: '#at-3' rel: related - href: '#pe-2' rel: related - href: '#pe-3' rel: related - href: '#pl-2' rel: related - href: '#ps-3' rel: related - href: '#ps-6' rel: related - href: '#sa-5' rel: related - href: '#sa-21' rel: related - href: '#si-12' rel: related parts: - id: ps-2_smt name: statement parts: - id: ps-2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Assign a risk designation to all organizational positions; - id: ps-2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Establish screening criteria for individuals filling those positions; and - id: ps-2_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Review and update position risk designations {{ insert: param, ps-02_odp }}.' - id: ps-2_gdn name: guidance prose: Position risk designations reflect Office of Personnel Management (OPM) policy and guidance. Proper position designation is the foundation of an effective and consistent suitability and personnel security program. The Position Designation System (PDS) assesses the duties and responsibilities of a position to determine the degree of potential damage to the efficiency or integrity of the service due to misconduct of an incumbent of a position and establishes the risk level of that position. The PDS assessment also determines if the duties and responsibilities of the position present the potential for position incumbents to bring about a material adverse effect on national security and the degree of that potential effect, which establishes the sensitivity level of a position. The results of the assessment determine what level of investigation is conducted for a position. Risk designations can guide and inform the types of authorizations that individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements. Parts 1400 and 731 of Title 5, Code of Federal Regulations, establish the requirements for organizations to evaluate relevant covered positions for a position sensitivity and position risk designation commensurate with the duties and responsibilities of those positions. - id: ps-2_obj name: assessment-objective props: - name: label value: PS-02 class: sp800-53a parts: - id: ps-2_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-02a. class: sp800-53a prose: a risk designation is assigned to all organizational positions; links: - href: '#ps-2_smt.a' rel: assessment-for - id: ps-2_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-02b. class: sp800-53a prose: screening criteria are established for individuals filling organizational positions; links: - href: '#ps-2_smt.b' rel: assessment-for - id: ps-2_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PS-02c. class: sp800-53a prose: 'position risk designations are reviewed and updated {{ insert: param, ps-02_odp }}.' links: - href: '#ps-2_smt.c' rel: assessment-for links: - href: '#ps-2_smt' rel: assessment-for - id: ps-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Personnel security policy procedures addressing position categorization appropriate codes of federal regulations list of risk designations for organizational positions records of position risk designation reviews and updates system security plan other relevant documents or records' - id: ps-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with personnel security responsibilities organizational personnel with information security responsibilities' - id: ps-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-02-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for assigning, reviewing, and updating position risk designations organizational processes for establishing screening criteria' - id: ps-3 class: SP800-53 title: Personnel Screening params: - id: ps-3_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ps-03_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ps-03_odp.02 label: organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of rescreening - id: ps-03_odp.01 props: - name: label value: PS-03_ODP[01] class: sp800-53a label: conditions requiring rescreening constraints: - description: 'for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions' guidelines: - prose: conditions requiring rescreening of individuals are defined; - id: ps-03_odp.02 props: - name: label value: PS-03_ODP[02] class: sp800-53a label: frequency constraints: - description: 'for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions' guidelines: - prose: the frequency of rescreening individuals where it is so indicated is defined; props: - name: label value: PS-03 class: zero-padded - name: label value: PS-3 - name: label value: PS-03 class: sp800-53a - name: sort-id value: ps-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#55b0c93a-5e48-457a-baa6-5ce81c239c49' rel: reference - href: '#0af071a6-cf8e-48ee-8c82-fe91efa20f94' rel: reference - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a' rel: reference - href: '#9be5d661-421f-41ad-854e-86f98b811891' rel: reference - href: '#858705be-3c1f-48aa-a328-0ce398d95ef0' rel: reference - href: '#7af2e6ec-9f7e-4232-ad3f-09888eb0793a' rel: reference - href: '#828856bd-d7c4-427b-8b51-815517ec382d' rel: reference - href: '#ac-2' rel: related - href: '#ia-4' rel: related - href: '#ma-5' rel: related - href: '#pe-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-12 rel: related - href: '#ps-2' rel: related - href: '#ps-6' rel: related - href: '#ps-7' rel: related - href: '#sa-21' rel: related parts: - id: ps-3_smt name: statement parts: - id: ps-3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Screen individuals prior to authorizing access to the system; and - id: ps-3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Rescreen individuals in accordance with {{ insert: param, ps-3_prm_1 }}.' - id: ps-3_gdn name: guidance prose: Personnel screening and rescreening activities reflect applicable laws, executive orders, directives, regulations, policies, standards, guidelines, and specific criteria established for the risk designations of assigned positions. Examples of personnel screening include background investigations and agency checks. Organizations may define different rescreening conditions and frequencies for personnel accessing systems based on types of information processed, stored, or transmitted by the systems. - id: ps-3_obj name: assessment-objective props: - name: label value: PS-03 class: sp800-53a parts: - id: ps-3_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-03a. class: sp800-53a prose: individuals are screened prior to authorizing access to the system; links: - href: '#ps-3_smt.a' rel: assessment-for - id: ps-3_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-03b. class: sp800-53a parts: - id: ps-3_obj.b-1 name: assessment-objective props: - name: label value: PS-03b.[01] class: sp800-53a prose: 'individuals are rescreened in accordance with {{ insert: param, ps-03_odp.01 }};' links: - href: '#ps-3_smt.b' rel: assessment-for - id: ps-3_obj.b-2 name: assessment-objective props: - name: label value: PS-03b.[02] class: sp800-53a prose: 'where rescreening is so indicated, individuals are rescreened {{ insert: param, ps-03_odp.02 }}.' links: - href: '#ps-3_smt.b' rel: assessment-for links: - href: '#ps-3_smt.b' rel: assessment-for links: - href: '#ps-3_smt' rel: assessment-for - id: ps-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-03-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Personnel security policy procedures addressing personnel screening records of screened personnel system security plan other relevant documents or records' - id: ps-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-03-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with personnel security responsibilities organizational personnel with information security responsibilities' - id: ps-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-03-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for personnel screening controls: - id: ps-3.3 class: SP800-53-enhancement title: Information Requiring Special Protective Measures params: - id: ps-03.03_odp props: - name: alt-identifier value: ps-3.3_prm_1 - name: label value: PS-03(03)_ODP class: sp800-53a label: additional personnel screening criteria constraints: - description: personnel screening criteria - as required by specific information guidelines: - prose: additional personnel screening criteria to be satisfied for individuals accessing a system processing, storing, or transmitting information requiring special protection are defined; props: - name: label value: PS-03(03) class: zero-padded - name: label value: PS-3(3) - name: label value: PS-03(03) class: sp800-53a - name: sort-id value: ps-03.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ps-3' rel: required parts: - id: ps-3.3_smt name: statement prose: 'Verify that individuals accessing a system processing, storing, or transmitting information requiring special protection:' parts: - id: ps-3.3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: Have valid access authorizations that are demonstrated by assigned official government duties; and - id: ps-3.3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'Satisfy {{ insert: param, ps-03.03_odp }}.' - id: ps-3.3_gdn name: guidance prose: Organizational information that requires special protection includes controlled unclassified information. Personnel security criteria include position sensitivity background screening requirements. - id: ps-3.3_obj name: assessment-objective props: - name: label value: PS-03(03) class: sp800-53a parts: - id: ps-3.3_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-03(03)(a) class: sp800-53a prose: individuals accessing a system processing, storing, or transmitting information requiring special protection have valid access authorizations that are demonstrated by assigned official government duties; links: - href: '#ps-3.3_smt.a' rel: assessment-for - id: ps-3.3_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-03(03)(b) class: sp800-53a prose: 'individuals accessing a system processing, storing, or transmitting information requiring special protection satisfy {{ insert: param, ps-03.03_odp }}.' links: - href: '#ps-3.3_smt.b' rel: assessment-for links: - href: '#ps-3.3_smt' rel: assessment-for - id: ps-3.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-03(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Personnel security policy access control policy, procedures addressing personnel screening records of screened personnel screening criteria records of access authorizations system security plan other relevant documents or records' - id: ps-3.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-03(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with personnel security responsibilities organizational personnel with information security responsibilities' - id: ps-3.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-03(03)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for ensuring valid access authorizations for information requiring special protection organizational process for additional personnel screening for information requiring special protection' - id: ps-4 class: SP800-53 title: Personnel Termination params: - id: ps-04_odp.01 props: - name: alt-identifier value: ps-4_prm_1 - name: label value: PS-04_ODP[01] class: sp800-53a label: time period constraints: - description: one (1) hour guidelines: - prose: a time period within which to disable system access is defined; - id: ps-04_odp.02 props: - name: alt-identifier value: ps-4_prm_2 - name: label value: PS-04_ODP[02] class: sp800-53a label: information security topics guidelines: - prose: information security topics to be discussed when conducting exit interviews are defined; props: - name: label value: PS-04 class: zero-padded - name: label value: PS-4 - name: label value: PS-04 class: sp800-53a - name: sort-id value: ps-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-2' rel: related - href: '#ia-4' rel: related - href: '#pe-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-12 rel: related - href: '#ps-6' rel: related - href: '#ps-7' rel: related parts: - id: ps-4_smt name: statement prose: 'Upon termination of individual employment:' parts: - id: ps-4_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Disable system access within {{ insert: param, ps-04_odp.01 }};' - id: ps-4_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Terminate or revoke any authenticators and credentials associated with the individual; - id: ps-4_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Conduct exit interviews that include a discussion of {{ insert: param, ps-04_odp.02 }};' - id: ps-4_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Retrieve all security-related organizational system-related property; and - id: ps-4_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: Retain access to organizational information and systems formerly controlled by terminated individual. - id: ps-4_gdn name: guidance prose: System property includes hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for system-related property. Security topics at exit interviews include reminding individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not always be possible for some individuals, including in cases related to the unavailability of supervisors, illnesses, or job abandonment. Exit interviews are important for individuals with security clearances. The timely execution of termination actions is essential for individuals who have been terminated for cause. In certain situations, organizations consider disabling the system accounts of individuals who are being terminated prior to the individuals being notified. - id: ps-4_obj name: assessment-objective props: - name: label value: PS-04 class: sp800-53a parts: - id: ps-4_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PS-04a. class: sp800-53a prose: 'upon termination of individual employment, system access is disabled within {{ insert: param, ps-04_odp.01 }};' links: - href: '#ps-4_smt.a' rel: assessment-for - id: ps-4_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PS-04b. class: sp800-53a prose: upon termination of individual employment, any authenticators and credentials are terminated or revoked; links: - href: '#ps-4_smt.b' rel: assessment-for - id: ps-4_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PS-04c. class: sp800-53a prose: 'upon termination of individual employment, exit interviews that include a discussion of {{ insert: param, ps-04_odp.02 }} are conducted;' links: - href: '#ps-4_smt.c' rel: assessment-for - id: ps-4_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-04d. class: sp800-53a prose: upon termination of individual employment, all security-related organizational system-related property is retrieved; links: - href: '#ps-4_smt.d' rel: assessment-for - id: ps-4_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PS-04e. class: sp800-53a prose: upon termination of individual employment, access to organizational information and systems formerly controlled by the terminated individual are retained. links: - href: '#ps-4_smt.e' rel: assessment-for links: - href: '#ps-4_smt' rel: assessment-for - id: ps-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-04-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Personnel security policy procedures addressing personnel termination records of personnel termination actions list of system accounts records of terminated or revoked authenticators/credentials records of exit interviews system security plan other relevant documents or records' - id: ps-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-04-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with personnel security responsibilities organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities' - id: ps-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-04-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for personnel termination mechanisms supporting and/or implementing personnel termination notifications mechanisms for disabling system access/revoking authenticators' controls: - id: ps-4.2 class: SP800-53-enhancement title: Automated Actions params: - id: ps-04.02_odp.01 props: - name: alt-identifier value: ps-4.2_prm_1 - name: label value: PS-04(02)_ODP[01] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms to notify personnel or roles of individual termination actions and/or to disable access to system resources are defined; - id: ps-04.02_odp.02 props: - name: alt-identifier value: ps-4.2_prm_2 - name: label value: PS-04(02)_ODP[02] class: sp800-53a constraints: - description: access control personnel responsible for disabling access to the system - id: ps-04.02_odp.03 props: - name: alt-identifier value: ps-4.2_prm_3 - name: label value: PS-04(02)_ODP[03] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be notified upon termination of an individual is/are defined (if selected); props: - name: label value: PS-04(02) class: zero-padded - name: label value: PS-4(2) - name: label value: PS-04(02) class: sp800-53a - name: sort-id value: ps-04.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ps-4' rel: required parts: - id: ps-4.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Use {{ insert: param, ps-04.02_odp.01 }} to {{ insert: param, ps-04.02_odp.02 }}.' - id: ps-4.2_gdn name: guidance prose: In organizations with many employees, not all personnel who need to know about termination actions receive the appropriate notifications, or if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to organizational personnel or roles when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including via telephone, electronic mail, text message, or websites. Automated mechanisms can also be employed to quickly and thoroughly disable access to system resources after an employee is terminated. - id: ps-4.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PS-04(02) class: sp800-53a prose: '{{ insert: param, ps-04.02_odp.01 }} are used to {{ insert: param, ps-04.02_odp.02 }}.' links: - href: '#ps-4.2_smt' rel: assessment-for - id: ps-4.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-04(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Personnel security policy procedures addressing personnel termination system design documentation system configuration settings and associated documentation records of personnel termination actions automated notifications of employee terminations system security plan other relevant documents or records' - id: ps-4.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-04(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with personnel security responsibilities organizational personnel with information security responsibilities' - id: ps-4.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-04(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for personnel termination automated mechanisms supporting and/or implementing personnel termination notifications' - id: ps-5 class: SP800-53 title: Personnel Transfer params: - id: ps-05_odp.01 props: - name: alt-identifier value: ps-5_prm_1 - name: label value: PS-05_ODP[01] class: sp800-53a label: transfer or reassignment actions guidelines: - prose: transfer or reassignment actions to be initiated following transfer or reassignment are defined; - id: ps-05_odp.02 props: - name: alt-identifier value: ps-5_prm_2 - name: label value: PS-05_ODP[02] class: sp800-53a label: time period following the formal transfer action constraints: - description: twenty-four (24) hours guidelines: - prose: the time period within which transfer or reassignment actions must occur following transfer or reassignment is defined; - id: ps-05_odp.03 props: - name: alt-identifier value: ps-5_prm_3 - name: label value: PS-05_ODP[03] class: sp800-53a label: personnel or roles constraints: - description: including access control personnel responsible for the system guidelines: - prose: personnel or roles to be notified when individuals are reassigned or transferred to other positions within the organization is/are defined; - id: ps-05_odp.04 props: - name: alt-identifier value: ps-5_prm_4 - name: label value: PS-05_ODP[04] class: sp800-53a label: time period constraints: - description: twenty-four (24) hours guidelines: - prose: time period within which to notify organization-defined personnel or roles when individuals are reassigned or transferred to other positions within the organization is defined; props: - name: label value: PS-05 class: zero-padded - name: label value: PS-5 - name: label value: PS-05 class: sp800-53a - name: sort-id value: ps-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-2' rel: related - href: '#ia-4' rel: related - href: '#pe-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-12 rel: related - href: '#ps-4' rel: related - href: '#ps-7' rel: related parts: - id: ps-5_smt name: statement parts: - id: ps-5_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Review and confirm ongoing operational need for current logical and physical access authorizations to systems and facilities when individuals are reassigned or transferred to other positions within the organization; - id: ps-5_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Initiate {{ insert: param, ps-05_odp.01 }} within {{ insert: param, ps-05_odp.02 }};' - id: ps-5_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Modify access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and - id: ps-5_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: 'Notify {{ insert: param, ps-05_odp.03 }} within {{ insert: param, ps-05_odp.04 }}.' - id: ps-5_gdn name: guidance prose: Personnel transfer applies when reassignments or transfers of individuals are permanent or of such extended duration 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 returning old and issuing new keys, identification cards, and building passes; closing system accounts and establishing new accounts; changing system access authorizations (i.e., privileges); and providing for access to official records to which individuals had access at previous work locations and in previous system accounts. - id: ps-5_obj name: assessment-objective props: - name: label value: PS-05 class: sp800-53a parts: - id: ps-5_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-05a. class: sp800-53a prose: the ongoing operational need for current logical and physical access authorizations to systems and facilities are reviewed and confirmed when individuals are reassigned or transferred to other positions within the organization; links: - href: '#ps-5_smt.a' rel: assessment-for - id: ps-5_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PS-05b. class: sp800-53a prose: '{{ insert: param, ps-05_odp.01 }} are initiated within {{ insert: param, ps-05_odp.02 }};' links: - href: '#ps-5_smt.b' rel: assessment-for - id: ps-5_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PS-05c. class: sp800-53a prose: access authorization is modified as needed to correspond with any changes in operational need due to reassignment or transfer; links: - href: '#ps-5_smt.c' rel: assessment-for - id: ps-5_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PS-05d. class: sp800-53a prose: '{{ insert: param, ps-05_odp.03 }} are notified within {{ insert: param, ps-05_odp.04 }}.' links: - href: '#ps-5_smt.d' rel: assessment-for links: - href: '#ps-5_smt' rel: assessment-for - id: ps-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-05-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Personnel security policy procedures addressing personnel transfer records of personnel transfer actions list of system and facility access authorizations system security plan other relevant documents or records' - id: ps-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-05-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with personnel security responsibilities organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities' - id: ps-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-05-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for personnel transfer mechanisms supporting and/or implementing personnel transfer notifications mechanisms for disabling system access/revoking authenticators' - id: ps-6 class: SP800-53 title: Access Agreements params: - id: ps-06_odp.01 props: - name: alt-identifier value: ps-6_prm_1 - name: label value: PS-06_ODP[01] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which to review and update access agreements is defined; - id: ps-06_odp.02 props: - name: alt-identifier value: ps-6_prm_2 - name: label value: PS-06_ODP[02] class: sp800-53a label: frequency constraints: - description: at least annually and any time there is a change to the user's level of access guidelines: - prose: the frequency at which to re-sign access agreements to maintain access to organizational information is defined; props: - name: label value: PS-06 class: zero-padded - name: label value: PS-6 - name: label value: PS-06 class: sp800-53a - name: sort-id value: ps-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ac-17' rel: related - href: '#pe-2' rel: related - href: '#pl-4' rel: related - href: '#ps-2' rel: related - href: '#ps-3' rel: related - href: '#ps-6' rel: related - href: '#ps-7' rel: related - href: '#ps-8' rel: related - href: '#sa-21' rel: related - href: '#si-12' rel: related parts: - id: ps-6_smt name: statement parts: - id: ps-6_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Develop and document access agreements for organizational systems; - id: ps-6_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Review and update the access agreements {{ insert: param, ps-06_odp.01 }} ; and' - id: ps-6_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Verify that individuals requiring access to organizational information and systems:' parts: - id: ps-6_smt.c.1 name: item props: - name: label value: '1.' prose: Sign appropriate access agreements prior to being granted access; and - id: ps-6_smt.c.2 name: item props: - name: label value: '2.' prose: 'Re-sign access agreements to maintain access to organizational systems when access agreements have been updated or {{ insert: param, ps-06_odp.02 }}.' - id: ps-6_gdn name: guidance prose: Access agreements include nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy. - id: ps-6_obj name: assessment-objective props: - name: label value: PS-06 class: sp800-53a parts: - id: ps-6_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PS-06a. class: sp800-53a prose: access agreements are developed and documented for organizational systems; links: - href: '#ps-6_smt.a' rel: assessment-for - id: ps-6_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-06b. class: sp800-53a prose: 'the access agreements are reviewed and updated {{ insert: param, ps-06_odp.01 }};' links: - href: '#ps-6_smt.b' rel: assessment-for - id: ps-6_obj.c name: assessment-objective props: - name: label value: PS-06c. class: sp800-53a parts: - id: ps-6_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-06c.01 class: sp800-53a prose: individuals requiring access to organizational information and systems sign appropriate access agreements prior to being granted access; links: - href: '#ps-6_smt.c.1' rel: assessment-for - id: ps-6_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-06c.02 class: sp800-53a prose: 'individuals requiring access to organizational information and systems re-sign access agreements to maintain access to organizational systems when access agreements have been updated or {{ insert: param, ps-06_odp.02 }}.' links: - href: '#ps-6_smt.c.2' rel: assessment-for links: - href: '#ps-6_smt.c' rel: assessment-for links: - href: '#ps-6_smt' rel: assessment-for - id: ps-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-06-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Personnel security policy personnel security procedures procedures addressing access agreements for organizational information and systems access control policy access control procedures access agreements (including non-disclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements) documentation of access agreement reviews, updates, and re-signing system security plan privacy plan other relevant documents or records' - id: ps-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-06-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with personnel security responsibilities organizational personnel who have signed/resigned access agreements organizational personnel with information security and privacy responsibilities' - id: ps-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-06-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for reviewing, updating, and re-signing access agreements mechanisms supporting the reviewing, updating, and re-signing of access agreements' - id: ps-7 class: SP800-53 title: External Personnel Security params: - id: ps-07_odp.01 props: - name: alt-identifier value: ps-7_prm_1 - name: label value: PS-07_ODP[01] class: sp800-53a label: personnel or roles constraints: - description: including access control personnel responsible for the system and/or facilities, as appropriate guidelines: - prose: personnel or roles to be notified of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges or who have system privileges is/are defined; - id: ps-07_odp.02 props: - name: alt-identifier value: ps-7_prm_2 - name: label value: PS-07_ODP[02] class: sp800-53a label: time period constraints: - description: 'terminations: immediately; transfers: within twenty-four (24) hours' guidelines: - prose: time period within which third-party providers are required to notify organization-defined personnel or roles of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges or who have system privileges is defined; props: - name: label value: PS-07 class: zero-padded - name: label value: PS-7 - name: label value: PS-07 class: sp800-53a - name: sort-id value: ps-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#77faf0bc-c394-44ad-9154-bbac3b79c8ad' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#ma-5' rel: related - href: '#pe-3' rel: related - href: '#ps-2' rel: related - href: '#ps-3' rel: related - href: '#ps-4' rel: related - href: '#ps-5' rel: related - href: '#ps-6' rel: related - href: '#sa-5' rel: related - href: '#sa-9' rel: related - href: '#sa-21' rel: related parts: - id: ps-7_smt name: statement parts: - id: ps-7_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Establish personnel security requirements, including security roles and responsibilities for external providers; - id: ps-7_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Require external providers to comply with personnel security policies and procedures established by the organization; - id: ps-7_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Document personnel security requirements; - id: ps-7_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: 'Require external providers to notify {{ insert: param, ps-07_odp.01 }} of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges, or who have system privileges within {{ insert: param, ps-07_odp.02 }} ; and' - id: ps-7_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: Monitor provider compliance with personnel security requirements. - id: ps-7_gdn name: guidance prose: External provider refers to organizations other than the organization operating or acquiring the system. External providers include service bureaus, contractors, and other organizations that provide system development, information technology services, testing or assessment services, outsourced applications, and network/security management. Organizations explicitly include personnel security requirements in acquisition-related documents. External providers may have personnel working at organizational facilities with credentials, badges, or system privileges issued by organizations. Notifications of external personnel changes ensure the appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include functions, roles, and the nature of credentials or privileges associated with transferred or terminated individuals. - id: ps-7_obj name: assessment-objective props: - name: label value: PS-07 class: sp800-53a parts: - id: ps-7_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-07a. class: sp800-53a prose: personnel security requirements are established, including security roles and responsibilities for external providers; links: - href: '#ps-7_smt.a' rel: assessment-for - id: ps-7_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-07b. class: sp800-53a prose: external providers are required to comply with personnel security policies and procedures established by the organization; links: - href: '#ps-7_smt.b' rel: assessment-for - id: ps-7_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PS-07c. class: sp800-53a prose: personnel security requirements are documented; links: - href: '#ps-7_smt.c' rel: assessment-for - id: ps-7_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PS-07d. class: sp800-53a prose: 'external providers are required to notify {{ insert: param, ps-07_odp.01 }} of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges or who have system privileges within {{ insert: param, ps-07_odp.02 }};' links: - href: '#ps-7_smt.d' rel: assessment-for - id: ps-7_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PS-07e. class: sp800-53a prose: provider compliance with personnel security requirements is monitored. links: - href: '#ps-7_smt.e' rel: assessment-for links: - href: '#ps-7_smt' rel: assessment-for - id: ps-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-07-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Personnel security policy procedures addressing external personnel security list of personnel security requirements acquisition documents service-level agreements compliance monitoring process system security plan other relevant documents or records' - id: ps-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-07-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with personnel security responsibilities external providers system/network administrators organizational personnel with account management responsibilities organizational personnel with information security responsibilities' - id: ps-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-07-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for managing and monitoring external personnel security mechanisms supporting and/or implementing the monitoring of provider compliance' - id: ps-8 class: SP800-53 title: Personnel Sanctions params: - id: ps-08_odp.01 props: - name: alt-identifier value: ps-8_prm_1 - name: label value: PS-08_ODP[01] class: sp800-53a label: personnel or roles constraints: - description: to include the ISSO and/or similar role within the organization guidelines: - prose: personnel or roles to be notified when a formal employee sanctions process is initiated is/are defined; - id: ps-08_odp.02 props: - name: alt-identifier value: ps-8_prm_2 - name: label value: PS-08_ODP[02] class: sp800-53a label: time period constraints: - description: 24 hours guidelines: - prose: the time period within which organization-defined personnel or roles must be notified when a formal employee sanctions process is initiated is defined; props: - name: label value: PS-08 class: zero-padded - name: label value: PS-8 - name: label value: PS-08 class: sp800-53a - name: sort-id value: ps-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pl-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-12 rel: related - href: '#ps-6' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-1 rel: related parts: - id: ps-8_smt name: statement parts: - id: ps-8_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Employ a formal sanctions process for individuals failing to comply with established information security and privacy policies and procedures; and - id: ps-8_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Notify {{ insert: param, ps-08_odp.01 }} within {{ insert: param, ps-08_odp.02 }} when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.' - id: ps-8_gdn name: guidance prose: Organizational sanctions reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Sanctions processes are described in access agreements and can be included as part of general personnel policies for organizations and/or specified in security and privacy policies. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions. - id: ps-8_obj name: assessment-objective props: - name: label value: PS-08 class: sp800-53a parts: - id: ps-8_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: PS-08a. class: sp800-53a prose: a formal sanctions process is employed for individuals failing to comply with established information security and privacy policies and procedures; links: - href: '#ps-8_smt.a' rel: assessment-for - id: ps-8_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: PS-08b. class: sp800-53a prose: '{{ insert: param, ps-08_odp.01 }} is/are notified within {{ insert: param, ps-08_odp.02 }} when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.' links: - href: '#ps-8_smt.b' rel: assessment-for links: - href: '#ps-8_smt' rel: assessment-for - id: ps-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-08-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Personnel security policy personnel security procedures procedures addressing personnel sanctions access agreements (including non-disclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements) list of personnel or roles to be notified of formal employee sanctions records or notifications of formal employee sanctions system security plan privacy plan personally identifiable information processing policy other relevant documents or records' - id: ps-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-08-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with personnel security responsibilities legal counsel organizational personnel with information security and privacy responsibilities' - id: ps-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-08-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for managing formal employee sanctions mechanisms supporting and/or implementing formal employee sanctions notifications' - id: ps-9 class: SP800-53 title: Position Descriptions props: - name: label value: PS-09 class: zero-padded - name: label value: PS-9 - name: label value: PS-09 class: sp800-53a - name: sort-id value: ps-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#276bd50a-7e58-48e5-a405-8c8cb91d7a5f' rel: reference parts: - id: ps-9_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Incorporate security and privacy roles and responsibilities into organizational position descriptions. - id: ps-9_gdn name: guidance prose: Specification of security and privacy roles in individual organizational position descriptions facilitates clarity in understanding the security or privacy responsibilities associated with the roles and the role-based security and privacy training requirements for the roles. - id: ps-9_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: PS-09 class: sp800-53a parts: - id: ps-9_obj-1 name: assessment-objective props: - name: label value: PS-09[01] class: sp800-53a prose: security roles and responsibilities are incorporated into organizational position descriptions; links: - href: '#ps-9_smt' rel: assessment-for - id: ps-9_obj-2 name: assessment-objective props: - name: label value: PS-09[02] class: sp800-53a prose: privacy roles and responsibilities are incorporated into organizational position descriptions. links: - href: '#ps-9_smt' rel: assessment-for links: - href: '#ps-9_smt' rel: assessment-for - id: ps-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-09-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Personnel security policy personnel security procedures procedures addressing position descriptions security and privacy position descriptions system security plan privacy plan privacy program plan other relevant documents or records' - id: ps-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-09-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with personnel security responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with human capital management responsibilities' - id: ps-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-09-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for managing position descriptions - id: ra class: family title: Risk Assessment controls: - id: ra-1 class: SP800-53 title: Policy and Procedures params: - id: ra-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ra-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ra-01_odp.02 label: organization-defined personnel or roles - id: ra-01_odp.01 props: - name: label value: RA-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the risk assessment policy is to be disseminated is/are defined; - id: ra-01_odp.02 props: - name: label value: RA-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the risk assessment procedures are to be disseminated is/are defined; - id: ra-01_odp.03 props: - name: alt-identifier value: ra-1_prm_2 - name: label value: RA-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: ra-01_odp.04 props: - name: alt-identifier value: ra-1_prm_3 - name: label value: RA-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the risk assessment policy and procedures is defined; - id: ra-01_odp.05 props: - name: alt-identifier value: ra-1_prm_4 - name: label value: RA-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current risk assessment policy is reviewed and updated is defined; - id: ra-01_odp.06 props: - name: alt-identifier value: ra-1_prm_5 - name: label value: RA-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current risk assessment policy to be reviewed and updated are defined; - id: ra-01_odp.07 props: - name: alt-identifier value: ra-1_prm_6 - name: label value: RA-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current risk assessment procedures are reviewed and updated is defined; - id: ra-01_odp.08 props: - name: alt-identifier value: ra-1_prm_7 - name: label value: RA-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that would require risk assessment procedures to be reviewed and updated are defined; props: - name: label value: RA-01 class: zero-padded - name: label value: RA-1 - name: label value: RA-01 class: sp800-53a - name: sort-id value: ra-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ps-8' rel: related - href: '#si-12' rel: related parts: - id: ra-1_smt name: statement parts: - id: ra-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses Risk Assessment MUST be associated with RA-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses Risk Assessment MUST be associated with RA-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, ra-1_prm_1 }}:' parts: - id: ra-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, ra-01_odp.03 }} risk assessment policy that:' parts: - id: ra-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: ra-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: ra-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the risk assessment policy and the associated risk assessment controls; - id: ra-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, ra-01_odp.04 }} to manage the development, documentation, and dissemination of the risk assessment policy and procedures; and' - id: ra-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current risk assessment:' parts: - id: ra-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, ra-01_odp.05 }} and following {{ insert: param, ra-01_odp.06 }} ; and' - id: ra-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, ra-01_odp.07 }} and following {{ insert: param, ra-01_odp.08 }}.' - id: ra-1_gdn name: guidance prose: Risk assessment policy and procedures address the controls in the RA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of risk assessment policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to risk assessment policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: ra-1_obj name: assessment-objective props: - name: label value: RA-01 class: sp800-53a parts: - id: ra-1_obj.a name: assessment-objective props: - name: label value: RA-01a. class: sp800-53a parts: - id: ra-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: RA-01a.[01] class: sp800-53a prose: a risk assessment policy is developed and documented; links: - href: '#ra-1_smt.a' rel: assessment-for - id: ra-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: RA-01a.[02] class: sp800-53a prose: 'the risk assessment policy is disseminated to {{ insert: param, ra-01_odp.01 }};' links: - href: '#ra-1_smt.a' rel: assessment-for - id: ra-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: RA-01a.[03] class: sp800-53a prose: risk assessment procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls are developed and documented; links: - href: '#ra-1_smt.a' rel: assessment-for - id: ra-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: RA-01a.[04] class: sp800-53a prose: 'the risk assessment procedures are disseminated to {{ insert: param, ra-01_odp.02 }};' links: - href: '#ra-1_smt.a' rel: assessment-for - id: ra-1_obj.a.1 name: assessment-objective props: - name: label value: RA-01a.01 class: sp800-53a parts: - id: ra-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: RA-01a.01(a) class: sp800-53a parts: - id: ra-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: RA-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses purpose;' links: - href: '#ra-1_smt.a.1.a' rel: assessment-for - id: ra-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: RA-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses scope;' links: - href: '#ra-1_smt.a.1.a' rel: assessment-for - id: ra-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: RA-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses roles;' links: - href: '#ra-1_smt.a.1.a' rel: assessment-for - id: ra-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: RA-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses responsibilities;' links: - href: '#ra-1_smt.a.1.a' rel: assessment-for - id: ra-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: RA-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses management commitment;' links: - href: '#ra-1_smt.a.1.a' rel: assessment-for - id: ra-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: RA-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses coordination among organizational entities;' links: - href: '#ra-1_smt.a.1.a' rel: assessment-for - id: ra-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: RA-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses compliance;' links: - href: '#ra-1_smt.a.1.a' rel: assessment-for links: - href: '#ra-1_smt.a.1.a' rel: assessment-for - id: ra-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: RA-01a.01(b) class: sp800-53a prose: 'the {{ insert: param, ra-01_odp.03 }} risk assessment policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;' links: - href: '#ra-1_smt.a.1.b' rel: assessment-for links: - href: '#ra-1_smt.a.1' rel: assessment-for links: - href: '#ra-1_smt.a' rel: assessment-for - id: ra-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: RA-01b. class: sp800-53a prose: 'the {{ insert: param, ra-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the risk assessment policy and procedures;' links: - href: '#ra-1_smt.b' rel: assessment-for - id: ra-1_obj.c name: assessment-objective props: - name: label value: RA-01c. class: sp800-53a parts: - id: ra-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: RA-01c.01 class: sp800-53a parts: - id: ra-1_obj.c.1-1 name: assessment-objective props: - name: label value: RA-01c.01[01] class: sp800-53a prose: 'the current risk assessment policy is reviewed and updated {{ insert: param, ra-01_odp.05 }};' links: - href: '#ra-1_smt.c.1' rel: assessment-for - id: ra-1_obj.c.1-2 name: assessment-objective props: - name: label value: RA-01c.01[02] class: sp800-53a prose: 'the current risk assessment policy is reviewed and updated following {{ insert: param, ra-01_odp.06 }};' links: - href: '#ra-1_smt.c.1' rel: assessment-for links: - href: '#ra-1_smt.c.1' rel: assessment-for - id: ra-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: RA-01c.02 class: sp800-53a parts: - id: ra-1_obj.c.2-1 name: assessment-objective props: - name: label value: RA-01c.02[01] class: sp800-53a prose: 'the current risk assessment procedures are reviewed and updated {{ insert: param, ra-01_odp.07 }};' links: - href: '#ra-1_smt.c.2' rel: assessment-for - id: ra-1_obj.c.2-2 name: assessment-objective props: - name: label value: RA-01c.02[02] class: sp800-53a prose: 'the current risk assessment procedures are reviewed and updated following {{ insert: param, ra-01_odp.08 }}.' links: - href: '#ra-1_smt.c.2' rel: assessment-for links: - href: '#ra-1_smt.c.2' rel: assessment-for links: - href: '#ra-1_smt.c' rel: assessment-for links: - href: '#ra-1_smt' rel: assessment-for - id: ra-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Risk assessment policy and procedures system security plan privacy plan other relevant documents or records' - id: ra-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with risk assessment responsibilities organizational personnel with security and privacy responsibilities' - id: ra-2 class: SP800-53 title: Security Categorization props: - name: label value: RA-02 class: zero-padded - name: label value: RA-2 - name: label value: RA-02 class: sp800-53a - name: sort-id value: ra-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#599fb53d-5041-444e-a7fe-640d6d30ad05' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a' rel: reference - href: '#9be5d661-421f-41ad-854e-86f98b811891' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#4e4fbc93-333d-45e6-a875-de36b878b6b9' rel: reference - href: '#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94' rel: reference - href: '#cm-8' rel: related - href: '#mp-4' rel: related - href: '#pl-2' rel: related - href: '#pl-10' rel: related - href: '#pl-11' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-7 rel: related - href: '#ra-3' rel: related - href: '#ra-5' rel: related - href: '#ra-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ra-8 rel: related - href: '#sa-8' rel: related - href: '#sc-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-38 rel: related - href: '#si-12' rel: related parts: - id: ra-2_smt name: statement parts: - id: ra-2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Categorize the system and information it processes, stores, and transmits; - id: ra-2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Document the security categorization results, including supporting rationale, in the security plan for the system; and - id: ra-2_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Verify that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision. - id: ra-2_gdn name: guidance prose: 'Security categories describe the potential adverse impacts or negative consequences to organizational operations, organizational assets, and individuals if organizational information and systems are compromised through a loss of confidentiality, integrity, or availability. Security categorization is also a type of asset loss characterization in systems security engineering processes that is carried out throughout the system development life cycle. Organizations can use privacy risk assessments or privacy impact assessments to better understand the potential adverse effects on individuals. [CNSSI 1253](#4e4fbc93-333d-45e6-a875-de36b878b6b9) provides additional guidance on categorization for national security systems. Organizations conduct the security categorization process as an organization-wide activity with the direct involvement of chief information officers, senior agency information security officers, senior agency officials for privacy, system owners, mission and business owners, and information owners or stewards. Organizations consider the potential adverse impacts to other organizations and, in accordance with [USA PATRIOT](#13f0c39d-eaf7-417a-baef-69a041878bb5) and Homeland Security Presidential Directives, potential national-level adverse impacts. Security categorization processes facilitate the development of inventories of information assets and, along with [CM-8](#cm-8) , mappings to specific system components where information is processed, stored, or transmitted. The security categorization process is revisited throughout the system development life cycle to ensure that the security categories remain accurate and relevant.' - id: ra-2_obj name: assessment-objective props: - name: label value: RA-02 class: sp800-53a parts: - id: ra-2_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: RA-02a. class: sp800-53a prose: the system and the information it processes, stores, and transmits are categorized; links: - href: '#ra-2_smt.a' rel: assessment-for - id: ra-2_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: RA-02b. class: sp800-53a prose: the security categorization results, including supporting rationale, are documented in the security plan for the system; links: - href: '#ra-2_smt.b' rel: assessment-for - id: ra-2_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-02c. class: sp800-53a prose: the authorizing official or authorizing official designated representative reviews and approves the security categorization decision. links: - href: '#ra-2_smt.c' rel: assessment-for links: - href: '#ra-2_smt' rel: assessment-for - id: ra-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Risk assessment policy security planning policy and procedures procedures addressing security categorization of organizational information and systems security categorization documentation system security plan privacy plan other relevant documents or records' - id: ra-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with security categorization and risk assessment responsibilities organizational personnel with security and privacy responsibilities' - id: ra-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-02-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for security categorization - id: ra-3 class: SP800-53 title: Risk Assessment params: - id: ra-03_odp.01 props: - name: alt-identifier value: ra-3_prm_1 - name: label value: RA-03_ODP[01] class: sp800-53a constraints: - description: security assessment report - id: ra-03_odp.02 props: - name: alt-identifier value: ra-3_prm_2 - name: label value: RA-03_ODP[02] class: sp800-53a label: document guidelines: - prose: a document in which risk assessment results are to be documented (if not documented in the security and privacy plans or risk assessment report) is defined (if selected); - id: ra-03_odp.03 props: - name: alt-identifier value: ra-3_prm_3 - name: label value: RA-03_ODP[03] class: sp800-53a label: frequency constraints: - description: at least annually and whenever a significant change occurs guidelines: - prose: the frequency to review risk assessment results is defined; - id: ra-03_odp.04 props: - name: alt-identifier value: ra-3_prm_4 - name: label value: RA-03_ODP[04] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom risk assessment results are to be disseminated is/are defined; - id: ra-03_odp.05 props: - name: alt-identifier value: ra-3_prm_5 - name: label value: RA-03_ODP[05] class: sp800-53a label: frequency constraints: - description: annually guidelines: - prose: the frequency to update the risk assessment is defined; props: - name: label value: RA-03 class: zero-padded - name: label value: RA-3 - name: label value: RA-03 class: sp800-53a - name: sort-id value: ra-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#e8e84963-14fc-4c3a-be05-b412a5d37cd2' rel: reference - href: '#4c501da5-9d79-4cb6-ba80-97260e1ce327' rel: reference - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference - href: '#38ff38f0-1366-4f50-a4c9-26a39aacee16' rel: reference - href: '#ca-3' rel: related - href: '#ca-6' rel: related - href: '#cm-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-13 rel: related - href: '#cp-6' rel: related - href: '#cp-7' rel: related - href: '#ia-8' rel: related - href: '#ma-5' rel: related - href: '#pe-3' rel: related - href: '#pe-8' rel: related - href: '#pe-18' rel: related - href: '#pl-2' rel: related - href: '#pl-10' rel: related - href: '#pl-11' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-8 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-28 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-2 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-7 rel: related - href: '#ra-2' rel: related - href: '#ra-5' rel: related - href: '#ra-7' rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-38 rel: related - href: '#si-12' rel: related parts: - id: ra-3_smt name: statement parts: - id: ra-3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Conduct a risk assessment, including:' parts: - id: ra-3_smt.a.1 name: item props: - name: label value: '1.' prose: Identifying threats to and vulnerabilities in the system; - id: ra-3_smt.a.2 name: item props: - name: label value: '2.' prose: Determining the likelihood and magnitude of harm from unauthorized access, use, disclosure, disruption, modification, or destruction of the system, the information it processes, stores, or transmits, and any related information; and - id: ra-3_smt.a.3 name: item props: - name: label value: '3.' prose: Determining the likelihood and impact of adverse effects on individuals arising from the processing of personally identifiable information; - id: ra-3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Integrate risk assessment results and risk management decisions from the organization and mission or business process perspectives with system-level risk assessments; - id: ra-3_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Document risk assessment results in {{ insert: param, ra-03_odp.01 }};' - id: ra-3_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: 'Review risk assessment results {{ insert: param, ra-03_odp.03 }};' - id: ra-3_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: 'Disseminate risk assessment results to {{ insert: param, ra-03_odp.04 }} ; and' - id: ra-3_smt.f name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: f. prose: 'Update the risk assessment {{ insert: param, ra-03_odp.05 }} or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system.' - id: ra-3_gdn name: guidance prose: 'Risk assessments consider threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation. Risk assessments also consider risk from external parties, including contractors who operate systems on behalf of the organization, individuals who access organizational systems, service providers, and outsourcing entities. Organizations can conduct risk assessments at all three levels in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any stage in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including preparation, categorization, control selection, control implementation, control assessment, authorization, and control monitoring. Risk assessment is an ongoing activity carried out throughout the system development life cycle. Risk assessments can also address information related to the system, including system design, the intended use of the system, testing results, and supply chain-related information or artifacts. Risk assessments can play an important role in control selection processes, particularly during the application of tailoring guidance and in the earliest phases of capability determination.' - id: ra-3_fr name: item ns: http://fedramp.gov/ns/oscal title: RA-3 Additional FedRAMP Requirements and Guidance parts: - id: ra-3_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Significant change is defined in NIST Special Publication 800-37 Revision 2, Appendix F. - id: ra-3_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(e) Requirement:' prose: Include all Authorizing Officials. - id: ra-3_obj name: assessment-objective props: - name: label value: RA-03 class: sp800-53a parts: - id: ra-3_obj.a name: assessment-objective props: - name: label value: RA-03a. class: sp800-53a parts: - id: ra-3_obj.a.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: RA-03a.01 class: sp800-53a prose: a risk assessment is conducted to identify threats to and vulnerabilities in the system; links: - href: '#ra-3_smt.a.1' rel: assessment-for - id: ra-3_obj.a.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: RA-03a.02 class: sp800-53a prose: a risk assessment is conducted to determine the likelihood and magnitude of harm from unauthorized access, use, disclosure, disruption, modification, or destruction of the system; the information it processes, stores, or transmits; and any related information; links: - href: '#ra-3_smt.a.2' rel: assessment-for - id: ra-3_obj.a.3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: RA-03a.03 class: sp800-53a prose: a risk assessment is conducted to determine the likelihood and impact of adverse effects on individuals arising from the processing of personally identifiable information; links: - href: '#ra-3_smt.a.3' rel: assessment-for links: - href: '#ra-3_smt.a' rel: assessment-for - id: ra-3_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: RA-03b. class: sp800-53a prose: risk assessment results and risk management decisions from the organization and mission or business process perspectives are integrated with system-level risk assessments; links: - href: '#ra-3_smt.b' rel: assessment-for - id: ra-3_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: RA-03c. class: sp800-53a prose: 'risk assessment results are documented in {{ insert: param, ra-03_odp.01 }};' links: - href: '#ra-3_smt.c' rel: assessment-for - id: ra-3_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-03d. class: sp800-53a prose: 'risk assessment results are reviewed {{ insert: param, ra-03_odp.03 }};' links: - href: '#ra-3_smt.d' rel: assessment-for - id: ra-3_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-03e. class: sp800-53a prose: 'risk assessment results are disseminated to {{ insert: param, ra-03_odp.04 }};' links: - href: '#ra-3_smt.e' rel: assessment-for - id: ra-3_obj.f name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-03f. class: sp800-53a prose: 'the risk assessment is updated {{ insert: param, ra-03_odp.05 }} or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system.' links: - href: '#ra-3_smt.f' rel: assessment-for links: - href: '#ra-3_smt' rel: assessment-for - id: ra-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-03-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Risk assessment policy risk assessment procedures security and privacy planning policy and procedures procedures addressing organizational assessments of risk risk assessment risk assessment results risk assessment reviews risk assessment updates system security plan privacy plan other relevant documents or records' - id: ra-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-03-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with risk assessment responsibilities organizational personnel with security and privacy responsibilities' - id: ra-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-03-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for risk assessment mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the risk assessment' controls: - id: ra-3.1 class: SP800-53-enhancement title: Supply Chain Risk Assessment params: - id: ra-03.01_odp.01 props: - name: alt-identifier value: ra-3.1_prm_1 - name: label value: RA-03(01)_ODP[01] class: sp800-53a label: systems, system components, and system services guidelines: - prose: systems, system components, and system services to assess supply chain risks are defined; - id: ra-03.01_odp.02 props: - name: alt-identifier value: ra-3.1_prm_2 - name: label value: RA-03(01)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to update the supply chain risk assessment is defined; props: - name: label value: RA-03(01) class: zero-padded - name: label value: RA-3(1) - name: label value: RA-03(01) class: sp800-53a - name: sort-id value: ra-03.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ra-3' rel: required - href: '#ra-2' rel: related - href: '#ra-9' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-17 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-30 rel: related - href: '#sr-2' rel: related parts: - id: ra-3.1_smt name: statement parts: - id: ra-3.1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Assess supply chain risks associated with {{ insert: param, ra-03.01_odp.01 }} ; and' - id: ra-3.1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'Update the supply chain risk assessment {{ insert: param, ra-03.01_odp.02 }} , when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply chain.' - id: ra-3.1_gdn name: guidance prose: Supply chain-related events include disruption, use of defective components, insertion of counterfeits, theft, malicious development practices, improper delivery practices, and insertion of malicious code. These events can have a significant impact on the confidentiality, integrity, or availability of a system and its information and, therefore, can also adversely impact organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation. The supply chain-related events may be unintentional or malicious and can occur at any point during the system life cycle. An analysis of supply chain risk can help an organization identify systems or components for which additional supply chain risk mitigations are required. - id: ra-3.1_obj name: assessment-objective props: - name: label value: RA-03(01) class: sp800-53a parts: - id: ra-3.1_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: RA-03(01)(a) class: sp800-53a prose: 'supply chain risks associated with {{ insert: param, ra-03.01_odp.01 }} are assessed;' links: - href: '#ra-3.1_smt.a' rel: assessment-for - id: ra-3.1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-03(01)(b) class: sp800-53a prose: 'the supply chain risk assessment is updated {{ insert: param, ra-03.01_odp.02 }} , when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply chain.' links: - href: '#ra-3.1_smt.b' rel: assessment-for links: - href: '#ra-3.1_smt' rel: assessment-for - id: ra-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Supply chain risk management policy inventory of critical systems, system components, and system services risk assessment policy security planning policy and procedures procedures addressing organizational assessments of supply chain risk risk assessment risk assessment results risk assessment reviews risk assessment updates acquisition policy system security plan supply chain risk management plan other relevant documents or records' - id: ra-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with risk assessment responsibilities organizational personnel with security responsibilities organizational personnel with supply chain risk management responsibilities' - id: ra-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-03(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for risk assessment mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the supply chain risk assessment' - id: ra-5 class: SP800-53 title: Vulnerability Monitoring and Scanning params: - id: ra-5_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ra-05_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ra-05_odp.02 label: organization-defined frequency and/or randomly in accordance with organization-defined process - id: ra-05_odp.01 props: - name: label value: RA-05_ODP[01] class: sp800-53a label: frequency and/or randomly in accordance with organization-defined process constraints: - description: monthly operating system/infrastructure; monthly web applications (including APIs) and databases guidelines: - prose: frequency for monitoring systems and hosted applications for vulnerabilities is defined; - id: ra-05_odp.02 props: - name: label value: RA-05_ODP[02] class: sp800-53a label: frequency and/or randomly in accordance with organization-defined process constraints: - description: monthly operating system/infrastructure; monthly web applications (including APIs) and databases guidelines: - prose: frequency for scanning systems and hosted applications for vulnerabilities is defined; - id: ra-05_odp.03 props: - name: alt-identifier value: ra-5_prm_2 - name: label value: RA-05_ODP[03] class: sp800-53a label: response times constraints: - description: high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery guidelines: - prose: response times to remediate legitimate vulnerabilities in accordance with an organizational assessment of risk are defined; - id: ra-05_odp.04 props: - name: alt-identifier value: ra-5_prm_3 - name: label value: RA-05_ODP[04] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles with whom information obtained from the vulnerability scanning process and control assessments is to be shared; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: RA-05 class: zero-padded - name: label value: RA-5 - name: label value: RA-05 class: sp800-53a - name: sort-id value: ra-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#8df72805-2e5c-4731-a73e-81db0f0318d0' rel: reference - href: '#155f941a-cba9-4afd-9ca6-5d040d697ba9' rel: reference - href: '#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d' rel: reference - href: '#4895b4cd-34c5-4667-bf8a-27d443c12047' rel: reference - href: '#122177fa-c4ed-485d-8345-3082c0fb9a06' rel: reference - href: '#8016d2ed-d30f-4416-9c45-0f42c7aa3232' rel: reference - href: '#aa5d04e0-6090-4e17-84d4-b9963d55fc2c' rel: reference - href: '#d2ebec9b-f868-4ee1-a2bd-0b2282aed248' rel: reference - href: '#4c501da5-9d79-4cb6-ba80-97260e1ce327' rel: reference - href: '#ca-2' rel: related - href: '#ca-7' rel: related - href: '#ca-8' rel: related - href: '#cm-2' rel: related - href: '#cm-4' rel: related - href: '#cm-6' rel: related - href: '#cm-8' rel: related - href: '#ra-2' rel: related - href: '#ra-3' rel: related - href: '#sa-11' rel: related - href: '#sa-15' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-38 rel: related - href: '#si-2' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related - href: '#sr-11' rel: related parts: - id: ra-5_smt name: statement parts: - id: ra-5_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Monitor and scan for vulnerabilities in the system and hosted applications {{ insert: param, ra-5_prm_1 }} and when new vulnerabilities potentially affecting the system are identified and reported;' - id: ra-5_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Employ vulnerability monitoring tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:' parts: - id: ra-5_smt.b.1 name: item props: - name: label value: '1.' prose: Enumerating platforms, software flaws, and improper configurations; - id: ra-5_smt.b.2 name: item props: - name: label value: '2.' prose: Formatting checklists and test procedures; and - id: ra-5_smt.b.3 name: item props: - name: label value: '3.' prose: Measuring vulnerability impact; - id: ra-5_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Analyze vulnerability scan reports and results from vulnerability monitoring; - id: ra-5_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: 'Remediate legitimate vulnerabilities {{ insert: param, ra-05_odp.03 }} in accordance with an organizational assessment of risk;' - id: ra-5_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: 'Share information obtained from the vulnerability monitoring process and control assessments with {{ insert: param, ra-05_odp.04 }} to help eliminate similar vulnerabilities in other systems; and' - id: ra-5_smt.f name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: f. prose: Employ vulnerability monitoring tools that include the capability to readily update the vulnerabilities to be scanned. - id: ra-5_gdn name: guidance prose: 'Security categorization of information and systems guides the frequency and comprehensiveness of vulnerability monitoring (including scans). Organizations determine the required vulnerability monitoring for system components, ensuring that the potential sources of vulnerabilities—such as infrastructure components (e.g., switches, routers, guards, sensors), networked printers, scanners, and copiers—are not overlooked. The capability to readily update vulnerability monitoring tools as new vulnerabilities are discovered and announced and as new scanning methods are developed helps to ensure that new vulnerabilities are not missed by employed vulnerability monitoring tools. The vulnerability monitoring tool update process helps to ensure that potential vulnerabilities in the system are identified and addressed as quickly as possible. Vulnerability monitoring and analyses for custom software may require additional approaches, such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can use these analysis approaches in source code reviews and in a variety of tools, including web-based application scanners, static analysis tools, and binary analyzers. Vulnerability monitoring includes scanning for patch levels; scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and scanning for flow control mechanisms that are improperly configured or operating incorrectly. Vulnerability monitoring may also include continuous vulnerability monitoring tools that use instrumentation to continuously analyze components. Instrumentation-based tools may improve accuracy and may be run throughout an organization without scanning. Vulnerability monitoring tools that facilitate interoperability include tools that are Security Content Automated Protocol (SCAP)-validated. Thus, organizations consider using scanning tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that employ the Open Vulnerability Assessment Language (OVAL) to determine the presence of vulnerabilities. Sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). Control assessments, such as red team exercises, provide additional sources of potential vulnerabilities for which to scan. Organizations also consider using scanning tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS). Vulnerability monitoring includes a channel and process for receiving reports of security vulnerabilities from the public at-large. Vulnerability disclosure programs can be as simple as publishing a monitored email address or web form that can receive reports, including notification authorizing good-faith research and disclosure of security vulnerabilities. Organizations generally expect that such research is happening with or without their authorization and can use public vulnerability disclosure channels to increase the likelihood that discovered vulnerabilities are reported directly to the organization for remediation. Organizations may also employ the use of financial incentives (also known as "bug bounties" ) to further encourage external security researchers to report discovered vulnerabilities. Bug bounty programs can be tailored to the organization’s needs. Bounties can be operated indefinitely or over a defined period of time and can be offered to the general public or to a curated group. Organizations may run public and private bounties simultaneously and could choose to offer partially credentialed access to certain participants in order to evaluate security vulnerabilities from privileged vantage points.' - id: ra-5_fr name: item ns: http://fedramp.gov/ns/oscal title: RA-5 Additional FedRAMP Requirements and Guidance parts: - id: ra-5_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: See the FedRAMP Documents page\> Vulnerability Scanning Requirements https://www.FedRAMP.gov/documents/ - id: ra-5_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(a) Requirement:' prose: an accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually. - id: ra-5_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(d) Requirement:' prose: If a vulnerability is listed among the CISA Known Exploited Vulnerability (KEV) Catalog (https://www.cisa.gov/known-exploited-vulnerabilities-catalog) the KEV remediation date supersedes the FedRAMP parameter requirement. - id: ra-5_fr_smt.3 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(e) Requirement:' prose: to include all Authorizing Officials. - id: ra-5_fr_gdn.2 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'Informational findings from a scanner are detailed as a returned result that holds no vulnerability risk or severity and for FedRAMP does not require an entry onto the POA\&M or entry onto the RET during any assessment phase. Warning findings, on the other hand, are given a risk rating (low, moderate, high or critical) by the scanning solution and should be treated like any other finding with a risk or severity rating for tracking purposes onto either the POA\&M or RET depending on when the findings originated (during assessments or during monthly continuous monitoring). If a warning is received during scanning, but further validation turns up no actual issue then this item should be categorized as a false positive. If this situation presents itself during an assessment phase (initial assessment, annual assessment or any SCR), follow guidance on how to report false positives in the Security Assessment Report (SAR). If this situation happens during monthly continuous monitoring, a deviation request will need to be submitted per the FedRAMP Vulnerability Deviation Request Form. Warnings are commonly associated with scanning solutions that also perform compliance scans, and if the scanner reports a "warning" as part of the compliance scanning of a CSO, follow guidance surrounding the tracking of compliance findings during either the assessment phases (initial assessment, annual assessment or any SCR) or monthly continuous monitoring as it applies. Guidance on compliance scan findings can be found by searching on "Tracking of Compliance Scans" in FAQs.' - id: ra-5_obj name: assessment-objective props: - name: label value: RA-05 class: sp800-53a parts: - id: ra-5_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-05a. class: sp800-53a parts: - id: ra-5_obj.a-1 name: assessment-objective props: - name: label value: RA-05a.[01] class: sp800-53a prose: 'systems and hosted applications are monitored for vulnerabilities {{ insert: param, ra-05_odp.01 }} and when new vulnerabilities potentially affecting the system are identified and reported;' links: - href: '#ra-5_smt.a' rel: assessment-for - id: ra-5_obj.a-2 name: assessment-objective props: - name: label value: RA-05a.[02] class: sp800-53a prose: 'systems and hosted applications are scanned for vulnerabilities {{ insert: param, ra-05_odp.02 }} and when new vulnerabilities potentially affecting the system are identified and reported;' links: - href: '#ra-5_smt.a' rel: assessment-for links: - href: '#ra-5_smt.a' rel: assessment-for - id: ra-5_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: RA-05b. class: sp800-53a prose: vulnerability monitoring tools and techniques are employed to facilitate interoperability among tools; parts: - id: ra-5_obj.b.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-05b.01 class: sp800-53a prose: vulnerability monitoring tools and techniques are employed to automate parts of the vulnerability management process by using standards for enumerating platforms, software flaws, and improper configurations; links: - href: '#ra-5_smt.b.1' rel: assessment-for - id: ra-5_obj.b.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-05b.02 class: sp800-53a prose: vulnerability monitoring tools and techniques are employed to facilitate interoperability among tools and to automate parts of the vulnerability management process by using standards for formatting checklists and test procedures; links: - href: '#ra-5_smt.b.2' rel: assessment-for - id: ra-5_obj.b.3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-05b.03 class: sp800-53a prose: vulnerability monitoring tools and techniques are employed to facilitate interoperability among tools and to automate parts of the vulnerability management process by using standards for measuring vulnerability impact; links: - href: '#ra-5_smt.b.3' rel: assessment-for links: - href: '#ra-5_smt.b' rel: assessment-for - id: ra-5_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-05c. class: sp800-53a prose: vulnerability scan reports and results from vulnerability monitoring are analyzed; links: - href: '#ra-5_smt.c' rel: assessment-for - id: ra-5_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-05d. class: sp800-53a prose: 'legitimate vulnerabilities are remediated {{ insert: param, ra-05_odp.03 }} in accordance with an organizational assessment of risk;' links: - href: '#ra-5_smt.d' rel: assessment-for - id: ra-5_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-05e. class: sp800-53a prose: 'information obtained from the vulnerability monitoring process and control assessments is shared with {{ insert: param, ra-05_odp.04 }} to help eliminate similar vulnerabilities in other systems;' links: - href: '#ra-5_smt.e' rel: assessment-for - id: ra-5_obj.f name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-05f. class: sp800-53a prose: vulnerability monitoring tools that include the capability to readily update the vulnerabilities to be scanned are employed. links: - href: '#ra-5_smt.f' rel: assessment-for links: - href: '#ra-5_smt' rel: assessment-for - id: ra-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-05-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Risk assessment policy procedures addressing vulnerability scanning risk assessment assessment report vulnerability scanning tools and associated configuration documentation vulnerability scanning results patch and vulnerability management records system security plan other relevant documents or records' - id: ra-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-05-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with risk assessment, control assessment, and vulnerability scanning responsibilities organizational personnel with vulnerability scan analysis responsibilities organizational personnel with vulnerability remediation responsibilities organizational personnel with security responsibilities system/network administrators' - id: ra-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-05-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for vulnerability scanning, analysis, remediation, and information sharing mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing' controls: - id: ra-5.2 class: SP800-53-enhancement title: Update Vulnerabilities to Be Scanned params: - id: ra-05.02_odp.01 props: - name: alt-identifier value: ra-5.2_prm_1 - name: label value: RA-05(02)_ODP[01] class: sp800-53a constraints: - description: within 24 hours prior to running scans - id: ra-05.02_odp.02 props: - name: alt-identifier value: ra-5.2_prm_2 - name: label value: RA-05(02)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: the frequency for updating the system vulnerabilities to be scanned is defined (if selected); props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: RA-05(02) class: zero-padded - name: label value: RA-5(2) - name: label value: RA-05(02) class: sp800-53a - name: sort-id value: ra-05.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ra-5' rel: required - href: '#si-5' rel: related parts: - id: ra-5.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Update the system vulnerabilities to be scanned {{ insert: param, ra-05.02_odp.01 }}.' - id: ra-5.2_gdn name: guidance prose: Due to the complexity of modern software, systems, and other factors, new vulnerabilities are discovered on a regular basis. It is important that newly discovered vulnerabilities are added to the list of vulnerabilities to be scanned to ensure that the organization can take steps to mitigate those vulnerabilities in a timely manner. - id: ra-5.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-05(02) class: sp800-53a prose: 'the system vulnerabilities to be scanned are updated {{ insert: param, ra-05.02_odp.01 }}.' links: - href: '#ra-5.2_smt' rel: assessment-for - id: ra-5.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-05(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Procedures addressing vulnerability scanning assessment report vulnerability scanning tools and associated configuration documentation vulnerability scanning results patch and vulnerability management records system security plan other relevant documents or records' - id: ra-5.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-05(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with vulnerability scanning responsibilities organizational personnel with vulnerability scan analysis responsibilities organizational personnel with security responsibilities system/network administrators' - id: ra-5.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-05(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for vulnerability scanning mechanisms/tools supporting and/or implementing vulnerability scanning' - id: ra-5.3 class: SP800-53-enhancement title: Breadth and Depth of Coverage props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: RA-05(03) class: zero-padded - name: label value: RA-5(3) - name: label value: RA-05(03) class: sp800-53a - name: sort-id value: ra-05.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ra-5' rel: required parts: - id: ra-5.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Define the breadth and depth of vulnerability scanning coverage. - id: ra-5.3_gdn name: guidance prose: The breadth of vulnerability scanning coverage can be expressed as a percentage of components within the system, by the particular types of systems, by the criticality of systems, or by the number of vulnerabilities to be checked. Conversely, the depth of vulnerability scanning coverage can be expressed as the level of the system design that the organization intends to monitor (e.g., component, module, subsystem, element). Organizations can determine the sufficiency of vulnerability scanning coverage with regard to its risk tolerance and other factors. Scanning tools and how the tools are configured may affect the depth and coverage. Multiple scanning tools may be needed to achieve the desired depth and coverage. [SP 800-53A](#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d) provides additional information on the breadth and depth of coverage. - id: ra-5.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-05(03) class: sp800-53a prose: the breadth and depth of vulnerability scanning coverage are defined. links: - href: '#ra-5.3_smt' rel: assessment-for - id: ra-5.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-05(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Procedures addressing vulnerability scanning assessment report vulnerability scanning tools and associated configuration documentation vulnerability scanning results patch and vulnerability management records system security plan other relevant documents or records' - id: ra-5.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-05(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with vulnerability scanning responsibilities organizational personnel with vulnerability scan analysis responsibilities organizational personnel with security responsibilities' - id: ra-5.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-05(03)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for vulnerability scanning mechanisms/tools supporting and/or implementing vulnerability scanning' - id: ra-5.4 class: SP800-53-enhancement title: Discoverable Information params: - id: ra-05.04_odp props: - name: alt-identifier value: ra-5.4_prm_1 - name: label value: RA-05(04)_ODP class: sp800-53a label: corrective actions constraints: - description: notify appropriate service provider personnel and follow procedures for organization and service provider-defined corrective actions guidelines: - prose: corrective actions to be taken if information about the system is discoverable are defined; props: - name: label value: RA-05(04) class: zero-padded - name: label value: RA-5(4) - name: label value: RA-05(04) class: sp800-53a - name: sort-id value: ra-05.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ra-5' rel: required - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-13 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-26 rel: related parts: - id: ra-5.4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Determine information about the system that is discoverable and take {{ insert: param, ra-05.04_odp }}.' - id: ra-5.4_gdn name: guidance prose: Discoverable information includes information that adversaries could obtain without compromising or breaching the system, such as by collecting information that the system is exposing or by conducting extensive web searches. Corrective actions include notifying appropriate organizational personnel, removing designated information, or changing the system to make the designated information less relevant or attractive to adversaries. This enhancement excludes intentionally discoverable information that may be part of a decoy capability (e.g., honeypots, honeynets, or deception nets) deployed by the organization. - id: ra-5.4_obj name: assessment-objective props: - name: label value: RA-05(04) class: sp800-53a parts: - id: ra-5.4_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-05(04)[01] class: sp800-53a prose: information about the system is discoverable; links: - href: '#ra-5.4_smt' rel: assessment-for - id: ra-5.4_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-05(04)[02] class: sp800-53a prose: '{{ insert: param, ra-05.04_odp }} are taken when information about the system is confirmed as discoverable.' links: - href: '#ra-5.4_smt' rel: assessment-for links: - href: '#ra-5.4_smt' rel: assessment-for - id: ra-5.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-05(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Procedures addressing vulnerability scanning assessment report penetration test results vulnerability scanning results risk assessment report records of corrective actions taken incident response records audit records system security plan other relevant documents or records' - id: ra-5.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-05(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with vulnerability scanning and/or penetration testing responsibilities organizational personnel with vulnerability scan analysis responsibilities organizational personnel responsible for risk response organizational personnel responsible for incident management and response organizational personnel with security responsibilities' - id: ra-5.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-05(04)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for vulnerability scanning organizational processes for risk response organizational processes for incident management and response mechanisms/tools supporting and/or implementing vulnerability scanning mechanisms supporting and/or implementing risk response mechanisms supporting and/or implementing incident management and response' - id: ra-5.5 class: SP800-53-enhancement title: Privileged Access params: - id: ra-05.05_odp.01 props: - name: alt-identifier value: ra-5.5_prm_1 - name: label value: RA-05(05)_ODP[01] class: sp800-53a label: system components constraints: - description: all components that support authentication guidelines: - prose: system components to which privileged access is authorized for selected vulnerability scanning activities are defined; - id: ra-05.05_odp.02 props: - name: alt-identifier value: ra-5.5_prm_2 - name: label value: RA-05(05)_ODP[02] class: sp800-53a label: vulnerability scanning activities constraints: - description: all scans guidelines: - prose: vulnerability scanning activities selected for privileged access authorization to system components are defined; props: - name: label value: RA-05(05) class: zero-padded - name: label value: RA-5(5) - name: label value: RA-05(05) class: sp800-53a - name: sort-id value: ra-05.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ra-5' rel: required parts: - id: ra-5.5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Implement privileged access authorization to {{ insert: param, ra-05.05_odp.01 }} for {{ insert: param, ra-05.05_odp.02 }}.' - id: ra-5.5_gdn name: guidance prose: In certain situations, the nature of the vulnerability scanning may be more intrusive, or the system component that is the subject of the scanning may contain classified or controlled unclassified information, such as personally identifiable information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and protects the sensitive nature of such scanning. - id: ra-5.5_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-05(05) class: sp800-53a prose: 'privileged access authorization is implemented to {{ insert: param, ra-05.05_odp.01 }} for {{ insert: param, ra-05.05_odp.02 }}.' links: - href: '#ra-5.5_smt' rel: assessment-for - id: ra-5.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-05(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Risk assessment policy procedures addressing vulnerability scanning system design documentation system configuration settings and associated documentation list of system components for vulnerability scanning personnel access authorization list authorization credentials access authorization records system security plan other relevant documents or records' - id: ra-5.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-05(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with vulnerability scanning responsibilities system/network administrators organizational personnel responsible for access control to the system organizational personnel responsible for configuration management of the system system developers organizational personnel with security responsibilities' - id: ra-5.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-05(05)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for vulnerability scanning organizational processes for access control mechanisms supporting and/or implementing access control mechanisms/tools supporting and/or implementing vulnerability scanning' - id: ra-5.8 class: SP800-53-enhancement title: Review Historic Audit Logs params: - id: ra-05.08_odp.01 props: - name: alt-identifier value: ra-5.8_prm_1 - name: label value: RA-05(08)_ODP[01] class: sp800-53a label: system guidelines: - prose: a system whose historic audit logs are to be reviewed is defined; - id: ra-05.08_odp.02 props: - name: alt-identifier value: ra-5.8_prm_2 - name: label value: RA-05(08)_ODP[02] class: sp800-53a label: time period guidelines: - prose: a time period for a potential previous exploit of a system is defined; props: - name: label value: RA-05(08) class: zero-padded - name: label value: RA-5(8) - name: label value: RA-05(08) class: sp800-53a - name: sort-id value: ra-05.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ra-5' rel: required - href: '#au-6' rel: related - href: '#au-11' rel: related parts: - id: ra-5.8_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Review historic audit logs to determine if a vulnerability identified in a {{ insert: param, ra-05.08_odp.01 }} has been previously exploited within an {{ insert: param, ra-05.08_odp.02 }}.' - id: ra-5.8_gdn name: guidance prose: Reviewing historic audit logs to determine if a recently detected vulnerability in a system has been previously exploited by an adversary can provide important information for forensic analyses. Such analyses can help identify, for example, the extent of a previous intrusion, the trade craft employed during the attack, organizational information exfiltrated or modified, mission or business capabilities affected, and the duration of the attack. - id: ra-5.8_fr name: item ns: http://fedramp.gov/ns/oscal title: RA-5(8) Additional FedRAMP Requirement parts: - id: ra-5.8_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: This enhancement is required for all high (or critical) vulnerability scan findings. - id: ra-5.8_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-05(08) class: sp800-53a prose: 'historic audit logs are reviewed to determine if a vulnerability identified in a {{ insert: param, ra-05.08_odp.01 }} has been previously exploited within {{ insert: param, ra-05.08_odp.02 }}.' links: - href: '#ra-5.8_smt' rel: assessment-for - id: ra-5.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-05(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Risk assessment policy procedures addressing vulnerability scanning audit logs records of audit log reviews vulnerability scanning results patch and vulnerability management records system security plan other relevant documents or records' - id: ra-5.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-05(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with vulnerability scanning responsibilities organizational personnel with vulnerability scan analysis responsibilities organizational personnel with audit record review responsibilities system/network administrators organizational personnel with security responsibilities' - id: ra-5.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-05(08)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for vulnerability scanning organizational process for audit record review and response mechanisms/tools supporting and/or implementing vulnerability scanning mechanisms supporting and/or implementing audit record review' - id: ra-5.11 class: SP800-53-enhancement title: Public Disclosure Program props: - name: label value: RA-05(11) class: zero-padded - name: label value: RA-5(11) - name: label value: RA-05(11) class: sp800-53a - name: sort-id value: ra-05.11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ra-5' rel: required parts: - id: ra-5.11_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Establish a public reporting channel for receiving reports of vulnerabilities in organizational systems and system components. - id: ra-5.11_gdn name: guidance prose: The reporting channel is publicly discoverable and contains clear language authorizing good-faith research and the disclosure of vulnerabilities to the organization. The organization does not condition its authorization on an expectation of indefinite non-disclosure to the public by the reporting entity but may request a specific time period to properly remediate the vulnerability. - id: ra-5.11_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-05(11) class: sp800-53a prose: a public reporting channel is established for receiving reports of vulnerabilities in organizational systems and system components. links: - href: '#ra-5.11_smt' rel: assessment-for - id: ra-5.11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-05(11)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Risk assessment policy procedures addressing vulnerability scanning risk assessment vulnerability scanning tools and techniques documentation vulnerability scanning results vulnerability management records audit records public reporting channel system security plan other relevant documents or records' - id: ra-5.11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-05(11)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with vulnerability scanning responsibilities organizational personnel with vulnerability scan analysis responsibilities organizational personnel with security responsibilities' - id: ra-5.11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-05(11)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for vulnerability scanning mechanisms/tools supporting and/or implementing vulnerability scanning mechanisms implementing the public reporting of vulnerabilities' - id: ra-7 class: SP800-53 title: Risk Response props: - name: label value: RA-07 class: zero-padded - name: label value: RA-7 - name: label value: RA-07 class: sp800-53a - name: sort-id value: ra-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#599fb53d-5041-444e-a7fe-640d6d30ad05' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#ca-5' rel: related - href: '#ir-9' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-4 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-28 rel: related - href: '#ra-2' rel: related - href: '#ra-3' rel: related - href: '#sr-2' rel: related parts: - id: ra-7_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Respond to findings from security and privacy assessments, monitoring, and audits in accordance with organizational risk tolerance. - id: ra-7_gdn name: guidance prose: Organizations have many options for responding to risk including mitigating risk by implementing new controls or strengthening existing controls, accepting risk with appropriate justification or rationale, sharing or transferring risk, or avoiding risk. The risk tolerance of the organization influences risk response decisions and actions. Risk response addresses the need to determine an appropriate response to risk before generating a plan of action and milestones entry. For example, the response may be to accept risk or reject risk, or it may be possible to mitigate the risk immediately so that a plan of action and milestones entry is not needed. However, if the risk response is to mitigate the risk, and the mitigation cannot be completed immediately, a plan of action and milestones entry is generated. - id: ra-7_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: RA-07 class: sp800-53a parts: - id: ra-7_obj-1 name: assessment-objective props: - name: label value: RA-07[01] class: sp800-53a prose: findings from security assessments are responded to in accordance with organizational risk tolerance; links: - href: '#ra-7_smt' rel: assessment-for - id: ra-7_obj-2 name: assessment-objective props: - name: label value: RA-07[02] class: sp800-53a prose: findings from privacy assessments are responded to in accordance with organizational risk tolerance; links: - href: '#ra-7_smt' rel: assessment-for - id: ra-7_obj-3 name: assessment-objective props: - name: label value: RA-07[03] class: sp800-53a prose: findings from monitoring are responded to in accordance with organizational risk tolerance; links: - href: '#ra-7_smt' rel: assessment-for - id: ra-7_obj-4 name: assessment-objective props: - name: label value: RA-07[04] class: sp800-53a prose: findings from audits are responded to in accordance with organizational risk tolerance. links: - href: '#ra-7_smt' rel: assessment-for links: - href: '#ra-7_smt' rel: assessment-for - id: ra-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-07-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Risk assessment policy assessment reports audit records/event logs system security plan privacy plan other relevant documents or records' - id: ra-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-07-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with assessment and auditing responsibilities system/network administrators organizational personnel with security and privacy responsibilities' - id: ra-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-07-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for assessments and audits mechanisms/tools supporting and/or implementing assessments and auditing' - id: ra-9 class: SP800-53 title: Criticality Analysis params: - id: ra-09_odp.01 props: - name: alt-identifier value: ra-9_prm_1 - name: label value: RA-09_ODP[01] class: sp800-53a label: systems, system components, or system services guidelines: - prose: systems, system components, or system services to be analyzed for criticality are defined; - id: ra-09_odp.02 props: - name: alt-identifier value: ra-9_prm_2 - name: label value: RA-09_ODP[02] class: sp800-53a label: decision points in the system development life cycle guidelines: - prose: decision points in the system development life cycle when a criticality analysis is to be performed are defined; props: - name: label value: RA-09 class: zero-padded - name: label value: RA-9 - name: label value: RA-09 class: sp800-53a - name: sort-id value: ra-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#d4296805-2dca-4c63-a95f-eeccaa826aec' rel: reference - href: '#cp-2' rel: related - href: '#pl-2' rel: related - href: '#pl-8' rel: related - href: '#pl-11' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-1 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-11 rel: related - href: '#ra-2' rel: related - href: '#sa-8' rel: related - href: '#sa-15' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-20 rel: related - href: '#sr-5' rel: related parts: - id: ra-9_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Identify critical system components and functions by performing a criticality analysis for {{ insert: param, ra-09_odp.01 }} at {{ insert: param, ra-09_odp.02 }}.' - id: ra-9_gdn name: guidance prose: 'Not all system components, functions, or services necessarily require significant protections. For example, criticality analysis is a key tenet of supply chain risk management and informs the prioritization of protection activities. The identification of critical system components and functions considers applicable laws, executive orders, regulations, directives, policies, standards, system functionality requirements, system and component interfaces, and system and component dependencies. Systems engineers conduct a functional decomposition of a system to identify mission-critical functions and components. The functional decomposition includes the identification of 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 external to the system. The operational environment of a system or a system component may impact the criticality, including the connections to and dependencies on cyber-physical systems, devices, system-of-systems, and outsourced IT services. System components that allow unmediated access to critical system components or functions are considered critical due to the inherent vulnerabilities that such components create. Component and function criticality are assessed in terms of the impact of a component or function failure on the organizational missions that are supported by the system that contains the components and functions. Criticality analysis is performed when an architecture or design is being developed, modified, or upgraded. If such analysis is performed early in the system development life cycle, organizations may be able to modify the system design to reduce the critical nature of these components and functions, such as by adding redundancy or alternate paths into the system design. Criticality analysis can also influence the protection measures required by development contractors. In addition to criticality analysis for systems, system components, and system services, criticality analysis of information is an important consideration. Such analysis is conducted as part of security categorization in [RA-2](#ra-2).' - id: ra-9_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: RA-09 class: sp800-53a prose: 'critical system components and functions are identified by performing a criticality analysis for {{ insert: param, ra-09_odp.01 }} at {{ insert: param, ra-09_odp.02 }}.' links: - href: '#ra-9_smt' rel: assessment-for - id: ra-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-09-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Risk assessment policy assessment reports criticality analysis/finalized criticality for each component/subcomponent audit records/event logs analysis reports system security plan other relevant documents or records' - id: ra-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-09-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with assessment and auditing responsibilities organizational personnel with criticality analysis responsibilities system/network administrators organizational personnel with security responsibilities' - id: ra-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-09-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for assessments and audits mechanisms/tools supporting and/or implementing assessments and auditing' - id: sa class: family title: System and Services Acquisition controls: - id: sa-1 class: SP800-53 title: Policy and Procedures params: - id: sa-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-01_odp.02 label: organization-defined personnel or roles - id: sa-01_odp.01 props: - name: label value: SA-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the system and services acquisition policy is to be disseminated is/are defined; - id: sa-01_odp.02 props: - name: label value: SA-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the system and services acquisition procedures are to be disseminated is/are defined; - id: sa-01_odp.03 props: - name: alt-identifier value: sa-1_prm_2 - name: label value: SA-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: sa-01_odp.04 props: - name: alt-identifier value: sa-1_prm_3 - name: label value: SA-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the system and services acquisition policy and procedures is defined; - id: sa-01_odp.05 props: - name: alt-identifier value: sa-1_prm_4 - name: label value: SA-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current system and services acquisition policy is reviewed and updated is defined; - id: sa-01_odp.06 props: - name: alt-identifier value: sa-1_prm_5 - name: label value: SA-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current system and services acquisition policy to be reviewed and updated are defined; - id: sa-01_odp.07 props: - name: alt-identifier value: sa-1_prm_6 - name: label value: SA-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current system and services acquisition procedures are reviewed and updated is defined; - id: sa-01_odp.08 props: - name: alt-identifier value: sa-1_prm_7 - name: label value: SA-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that would require the system and services acquisition procedures to be reviewed and updated are defined; props: - name: label value: SA-01 class: zero-padded - name: label value: SA-1 - name: label value: SA-01 class: sp800-53a - name: sort-id value: sa-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ps-8' rel: related - href: '#sa-8' rel: related - href: '#si-12' rel: related parts: - id: sa-1_smt name: statement parts: - id: sa-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses System and Services Acquisition MUST be associated with SA-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses System and Services Acquisition MUST be associated with SA-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, sa-1_prm_1 }}:' parts: - id: sa-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, sa-01_odp.03 }} system and services acquisition policy that:' parts: - id: sa-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: sa-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: sa-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the system and services acquisition policy and the associated system and services acquisition controls; - id: sa-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, sa-01_odp.04 }} to manage the development, documentation, and dissemination of the system and services acquisition policy and procedures; and' - id: sa-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current system and services acquisition:' parts: - id: sa-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, sa-01_odp.05 }} and following {{ insert: param, sa-01_odp.06 }} ; and' - id: sa-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, sa-01_odp.07 }} and following {{ insert: param, sa-01_odp.08 }}.' - id: sa-1_gdn name: guidance prose: System and services acquisition policy and procedures address the controls in the SA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and services acquisition policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and services acquisition policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: sa-1_obj name: assessment-objective props: - name: label value: SA-01 class: sp800-53a parts: - id: sa-1_obj.a name: assessment-objective props: - name: label value: SA-01a. class: sp800-53a parts: - id: sa-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-01a.[01] class: sp800-53a prose: a system and services acquisition policy is developed and documented; links: - href: '#sa-1_smt.a' rel: assessment-for - id: sa-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-01a.[02] class: sp800-53a prose: 'the system and services acquisition policy is disseminated to {{ insert: param, sa-01_odp.01 }};' links: - href: '#sa-1_smt.a' rel: assessment-for - id: sa-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SA-01a.[03] class: sp800-53a prose: system and services acquisition procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls are developed and documented; links: - href: '#sa-1_smt.a' rel: assessment-for - id: sa-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SA-01a.[04] class: sp800-53a prose: 'the system and services acquisition procedures are disseminated to {{ insert: param, sa-01_odp.02 }};' links: - href: '#sa-1_smt.a' rel: assessment-for - id: sa-1_obj.a.1 name: assessment-objective props: - name: label value: SA-01a.01 class: sp800-53a parts: - id: sa-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SA-01a.01(a) class: sp800-53a parts: - id: sa-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: SA-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses purpose;' links: - href: '#sa-1_smt.a.1.a' rel: assessment-for - id: sa-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: SA-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses scope;' links: - href: '#sa-1_smt.a.1.a' rel: assessment-for - id: sa-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: SA-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses roles;' links: - href: '#sa-1_smt.a.1.a' rel: assessment-for - id: sa-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: SA-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses responsibilities;' links: - href: '#sa-1_smt.a.1.a' rel: assessment-for - id: sa-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: SA-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses management commitment;' links: - href: '#sa-1_smt.a.1.a' rel: assessment-for - id: sa-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: SA-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses coordination among organizational entities;' links: - href: '#sa-1_smt.a.1.a' rel: assessment-for - id: sa-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: SA-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses compliance;' links: - href: '#sa-1_smt.a.1.a' rel: assessment-for links: - href: '#sa-1_smt.a.1.a' rel: assessment-for - id: sa-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SA-01a.01(b) class: sp800-53a prose: 'the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;' links: - href: '#sa-1_smt.a.1.b' rel: assessment-for links: - href: '#sa-1_smt.a.1' rel: assessment-for links: - href: '#sa-1_smt.a' rel: assessment-for - id: sa-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-01b. class: sp800-53a prose: 'the {{ insert: param, sa-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the system and services acquisition policy and procedures;' links: - href: '#sa-1_smt.b' rel: assessment-for - id: sa-1_obj.c name: assessment-objective props: - name: label value: SA-01c. class: sp800-53a parts: - id: sa-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-01c.01 class: sp800-53a parts: - id: sa-1_obj.c.1-1 name: assessment-objective props: - name: label value: SA-01c.01[01] class: sp800-53a prose: 'the system and services acquisition policy is reviewed and updated {{ insert: param, sa-01_odp.05 }};' links: - href: '#sa-1_smt.c.1' rel: assessment-for - id: sa-1_obj.c.1-2 name: assessment-objective props: - name: label value: SA-01c.01[02] class: sp800-53a prose: 'the current system and services acquisition policy is reviewed and updated following {{ insert: param, sa-01_odp.06 }};' links: - href: '#sa-1_smt.c.1' rel: assessment-for links: - href: '#sa-1_smt.c.1' rel: assessment-for - id: sa-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-01c.02 class: sp800-53a parts: - id: sa-1_obj.c.2-1 name: assessment-objective props: - name: label value: SA-01c.02[01] class: sp800-53a prose: 'the current system and services acquisition procedures are reviewed and updated {{ insert: param, sa-01_odp.07 }};' links: - href: '#sa-1_smt.c.2' rel: assessment-for - id: sa-1_obj.c.2-2 name: assessment-objective props: - name: label value: SA-01c.02[02] class: sp800-53a prose: 'the current system and services acquisition procedures are reviewed and updated following {{ insert: param, sa-01_odp.08 }}.' links: - href: '#sa-1_smt.c.2' rel: assessment-for links: - href: '#sa-1_smt.c.2' rel: assessment-for links: - href: '#sa-1_smt.c' rel: assessment-for links: - href: '#sa-1_smt' rel: assessment-for - id: sa-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy system and services acquisition procedures supply chain risk management policy supply chain risk management procedures supply chain risk management plan system security plan privacy plan other relevant documents or records' - id: sa-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and services acquisition responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with supply chain risk management responsibilities' - id: sa-2 class: SP800-53 title: Allocation of Resources props: - name: label value: SA-02 class: zero-padded - name: label value: SA-2 - name: label value: SA-02 class: sp800-53a - name: sort-id value: sa-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pl-7 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-3 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-11 rel: related - href: '#sa-9' rel: related - href: '#sr-3' rel: related - href: '#sr-5' rel: related parts: - id: sa-2_smt name: statement parts: - id: sa-2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Determine the high-level information security and privacy requirements for the system or system service in mission and business process planning; - id: sa-2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Determine, document, and allocate the resources required to protect the system or system service as part of the organizational capital planning and investment control process; and - id: sa-2_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Establish a discrete line item for information security and privacy in organizational programming and budgeting documentation. - id: sa-2_gdn name: guidance prose: Resource allocation for information security and privacy includes funding for system and services acquisition, sustainment, and supply chain-related risks throughout the system development life cycle. - id: sa-2_obj name: assessment-objective props: - name: label value: SA-02 class: sp800-53a parts: - id: sa-2_obj.a name: assessment-objective props: - name: label value: SA-02a. class: sp800-53a parts: - id: sa-2_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-02a.[01] class: sp800-53a prose: the high-level information security requirements for the system or system service are determined in mission and business process planning; links: - href: '#sa-2_smt.a' rel: assessment-for - id: sa-2_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-02a.[02] class: sp800-53a prose: the high-level privacy requirements for the system or system service are determined in mission and business process planning; links: - href: '#sa-2_smt.a' rel: assessment-for links: - href: '#sa-2_smt.a' rel: assessment-for - id: sa-2_obj.b name: assessment-objective props: - name: label value: SA-02b. class: sp800-53a parts: - id: sa-2_obj.b-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-02b.[01] class: sp800-53a prose: the resources required to protect the system or system service are determined and documented as part of the organizational capital planning and investment control process; links: - href: '#sa-2_smt.b' rel: assessment-for - id: sa-2_obj.b-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-02b.[02] class: sp800-53a prose: the resources required to protect the system or system service are allocated as part of the organizational capital planning and investment control process; links: - href: '#sa-2_smt.b' rel: assessment-for links: - href: '#sa-2_smt.b' rel: assessment-for - id: sa-2_obj.c name: assessment-objective props: - name: label value: SA-02c. class: sp800-53a parts: - id: sa-2_obj.c-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-02c.[01] class: sp800-53a prose: a discrete line item for information security is established in organizational programming and budgeting documentation; links: - href: '#sa-2_smt.c' rel: assessment-for - id: sa-2_obj.c-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-02c.[02] class: sp800-53a prose: a discrete line item for privacy is established in organizational programming and budgeting documentation. links: - href: '#sa-2_smt.c' rel: assessment-for links: - href: '#sa-2_smt.c' rel: assessment-for links: - href: '#sa-2_smt' rel: assessment-for - id: sa-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy system and services acquisition procedures system and services acquisition strategy and plans procedures addressing the allocation of resources to information security and privacy requirements procedures addressing capital planning and investment control organizational programming and budgeting documentation system security plan privacy plan supply chain risk management policy other relevant documents or records' - id: sa-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with capital planning, investment control, organizational programming, and budgeting responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with supply chain risk management responsibilities' - id: sa-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-02-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for determining information security and privacy requirements organizational processes for capital planning, programming, and budgeting mechanisms supporting and/or implementing organizational capital planning, programming, and budgeting' - id: sa-3 class: SP800-53 title: System Development Life Cycle params: - id: sa-03_odp props: - name: alt-identifier value: sa-3_prm_1 - name: alt-label value: system development life cycle class: sp800-53 - name: label value: SA-03_ODP class: sp800-53a label: system-development life cycle guidelines: - prose: system development life cycle is defined; props: - name: label value: SA-03 class: zero-padded - name: label value: SA-3 - name: label value: SA-03 class: sp800-53a - name: sort-id value: sa-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849' rel: reference - href: '#f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e' rel: reference - href: '#at-3' rel: related - href: '#pl-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-7 rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-11' rel: related - href: '#sa-15' rel: related - href: '#sa-17' rel: related - href: '#sa-22' rel: related - href: '#sr-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-4 rel: related - href: '#sr-5' rel: related - href: '#sr-9' rel: related parts: - id: sa-3_smt name: statement parts: - id: sa-3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Acquire, develop, and manage the system using {{ insert: param, sa-03_odp }} that incorporates information security and privacy considerations;' - id: sa-3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Define and document information security and privacy roles and responsibilities throughout the system development life cycle; - id: sa-3_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Identify individuals having information security and privacy roles and responsibilities; and - id: sa-3_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Integrate the organizational information security and privacy risk management process into system development life cycle activities. - id: sa-3_gdn name: guidance prose: 'A system development life cycle process provides the foundation for the successful development, implementation, and operation of organizational systems. The integration of security and privacy considerations early in the system development life cycle is a foundational principle of systems security engineering and privacy engineering. To apply the required controls within the system development life cycle requires a basic understanding of information security and privacy, threats, vulnerabilities, adverse impacts, and risk to critical mission and business functions. The security engineering principles in [SA-8](#sa-8) help individuals properly design, code, and test systems and system components. Organizations include qualified personnel (e.g., senior agency information security officers, senior agency officials for privacy, security and privacy architects, and security and privacy engineers) in system development life cycle processes to ensure that established security and privacy requirements are incorporated into organizational systems. Role-based security and privacy training programs can ensure that individuals with key security and privacy roles and responsibilities have the experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security and privacy requirements into enterprise architecture also helps to ensure that important security and privacy considerations are addressed throughout the system life cycle and that those considerations are directly related to organizational mission and business processes. This process also facilitates the integration of the information security and privacy architectures into the enterprise architecture, consistent with the risk management strategy of the organization. Because the system development life cycle involves multiple organizations, (e.g., external suppliers, developers, integrators, service providers), acquisition and supply chain risk management functions and controls play significant roles in the effective management of the system during the life cycle.' - id: sa-3_obj name: assessment-objective props: - name: label value: SA-03 class: sp800-53a parts: - id: sa-3_obj.a name: assessment-objective props: - name: label value: SA-03a. class: sp800-53a parts: - id: sa-3_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-03a.[01] class: sp800-53a prose: 'the system is acquired, developed, and managed using {{ insert: param, sa-03_odp }} that incorporates information security considerations;' links: - href: '#sa-3_smt.a' rel: assessment-for - id: sa-3_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-03a.[02] class: sp800-53a prose: 'the system is acquired, developed, and managed using {{ insert: param, sa-03_odp }} that incorporates privacy considerations;' links: - href: '#sa-3_smt.a' rel: assessment-for links: - href: '#sa-3_smt.a' rel: assessment-for - id: sa-3_obj.b name: assessment-objective props: - name: label value: SA-03b. class: sp800-53a parts: - id: sa-3_obj.b-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-03b.[01] class: sp800-53a prose: information security roles and responsibilities are defined and documented throughout the system development life cycle; links: - href: '#sa-3_smt.b' rel: assessment-for - id: sa-3_obj.b-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-03b.[02] class: sp800-53a prose: privacy roles and responsibilities are defined and documented throughout the system development life cycle; links: - href: '#sa-3_smt.b' rel: assessment-for links: - href: '#sa-3_smt.b' rel: assessment-for - id: sa-3_obj.c name: assessment-objective props: - name: label value: SA-03c. class: sp800-53a parts: - id: sa-3_obj.c-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-03c.[01] class: sp800-53a prose: individuals with information security roles and responsibilities are identified; links: - href: '#sa-3_smt.c' rel: assessment-for - id: sa-3_obj.c-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-03c.[02] class: sp800-53a prose: individuals with privacy roles and responsibilities are identified; links: - href: '#sa-3_smt.c' rel: assessment-for links: - href: '#sa-3_smt.c' rel: assessment-for - id: sa-3_obj.d name: assessment-objective props: - name: label value: SA-03d. class: sp800-53a parts: - id: sa-3_obj.d-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-03d.[01] class: sp800-53a prose: organizational information security risk management processes are integrated into system development life cycle activities; links: - href: '#sa-3_smt.d' rel: assessment-for - id: sa-3_obj.d-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-03d.[02] class: sp800-53a prose: organizational privacy risk management processes are integrated into system development life cycle activities. links: - href: '#sa-3_smt.d' rel: assessment-for links: - href: '#sa-3_smt.d' rel: assessment-for links: - href: '#sa-3_smt' rel: assessment-for - id: sa-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-03-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy system and services acquisition procedures procedures addressing the integration of information security and privacy and supply chain risk management into the system development life cycle process system development life cycle documentation organizational risk management strategy information security and privacy risk management strategy documentation system security plan privacy plan privacy program plan enterprise architecture documentation role-based security and privacy training program documentation data mapping documentation other relevant documents or records' - id: sa-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-03-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with information security and privacy responsibilities organizational personnel with system life cycle development responsibilities organizational personnel with supply chain risk management responsibilities' - id: sa-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-03-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for defining and documenting the system development life cycle organizational processes for identifying system development life cycle roles and responsibilities organizational processes for integrating information security and privacy and supply chain risk management into the system development life cycle mechanisms supporting and/or implementing the system development life cycle' - id: sa-4 class: SP800-53 title: Acquisition Process params: - id: sa-04_odp.01 props: - name: alt-identifier value: sa-4_prm_1 - name: label value: SA-04_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - standardized contract language - '{{ insert: param, sa-04_odp.02 }}' - id: sa-04_odp.02 props: - name: alt-identifier value: sa-4_prm_2 - name: label value: SA-04_ODP[02] class: sp800-53a label: contract language guidelines: - prose: contract language is defined (if selected); props: - name: label value: SA-04 class: zero-padded - name: label value: SA-4 - name: label value: SA-04 class: sp800-53a - name: sort-id value: sa-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#18e71fec-c6fd-475a-925a-5d8495cf8455' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#6afc1b04-c9d6-4023-adbc-f8fbe33a3c73' rel: reference - href: '#87087451-2af5-43d4-88c1-d66ad850f614' rel: reference - href: '#4452efc0-e79e-47b8-aa30-b54f3ef61c2f' rel: reference - href: '#06ce9216-bd54-4054-a422-94f358b50a5d' rel: reference - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#77faf0bc-c394-44ad-9154-bbac3b79c8ad' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#4895b4cd-34c5-4667-bf8a-27d443c12047' rel: reference - href: '#858705be-3c1f-48aa-a328-0ce398d95ef0' rel: reference - href: '#067223d8-1ec7-45c5-b21b-c848da6de8fb' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#e8e84963-14fc-4c3a-be05-b412a5d37cd2' rel: reference - href: '#15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c' rel: reference - href: '#e24b06cc-9129-4998-a76a-65c3d7a576ba' rel: reference - href: '#4b38e961-1125-4a5b-aa35-1d6c02846dad' rel: reference - href: '#604774da-9e1d-48eb-9c62-4e959dc80737' rel: reference - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference - href: '#795aff72-3e6c-4b6b-a80a-b14d84b7f544' rel: reference - href: '#3d575737-98cb-459d-b41c-d7e82b73ad78' rel: reference - href: '#cm-6' rel: related - href: '#cm-8' rel: related - href: '#ps-7' rel: related - href: '#sa-3' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-11' rel: related - href: '#sa-15' rel: related - href: '#sa-16' rel: related - href: '#sa-17' rel: related - href: '#sa-21' rel: related - href: '#sr-3' rel: related - href: '#sr-5' rel: related parts: - id: sa-4_smt name: statement prose: 'Include the following requirements, descriptions, and criteria, explicitly or by reference, using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service:' parts: - id: sa-4_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Security and privacy functional requirements; - id: sa-4_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Strength of mechanism requirements; - id: sa-4_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Security and privacy assurance requirements; - id: sa-4_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Controls needed to satisfy the security and privacy requirements. - id: sa-4_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: Security and privacy documentation requirements; - id: sa-4_smt.f name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: f. prose: Requirements for protecting security and privacy documentation; - id: sa-4_smt.g name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: g. prose: Description of the system development environment and environment in which the system is intended to operate; - id: sa-4_smt.h name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: h. prose: Allocation of responsibility or identification of parties responsible for information security, privacy, and supply chain risk management; and - id: sa-4_smt.i name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: i. prose: Acceptance criteria. - id: sa-4_gdn name: guidance prose: 'Security and privacy functional requirements are typically derived from the high-level security and privacy requirements described in [SA-2](#sa-2) . The derived requirements include security and privacy capabilities, functions, and mechanisms. Strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to tampering or bypass, and resistance to direct attack. Assurance requirements include development processes, procedures, and methodologies as well as the evidence from development and assessment activities that provide grounds for confidence that the required functionality is implemented and possesses the required strength of mechanism. [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) describes the process of requirements engineering as part of the system development life cycle. Controls can be viewed as descriptions of the safeguards and protection capabilities appropriate for achieving the particular security and privacy objectives of the organization and for reflecting the security and privacy requirements of stakeholders. Controls are selected and implemented in order to satisfy system requirements and include developer and organizational responsibilities. Controls can include technical, administrative, and physical aspects. In some cases, the selection and implementation of a control may necessitate additional specification by the organization in the form of derived requirements or instantiated control parameter values. The derived requirements and control parameter values may be necessary to provide the appropriate level of implementation detail for controls within the system development life cycle. Security and privacy documentation requirements address all stages of the system development life cycle. Documentation provides user and administrator guidance for the implementation and operation of controls. The level of detail required in such documentation is based on the security categorization or classification level of the system and the degree to which organizations depend on the capabilities, functions, or mechanisms to meet risk response expectations. Requirements can include mandated configuration settings that specify allowed functions, ports, protocols, and services. Acceptance criteria for systems, system components, and system services are defined in the same manner as the criteria for any organizational acquisition or procurement.' - id: sa-4_fr name: item ns: http://fedramp.gov/ns/oscal title: SA-4 Additional FedRAMP Requirements and Guidance parts: - id: sa-4_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: The service provider must comply with Federal Acquisition Regulation (FAR) Subpart 7.103, and Section 889 of the John S. McCain National Defense Authorization Act (NDAA) for Fiscal Year 2019 (Pub. L. 115-232), and FAR Subpart 4.21, which implements Section 889 (as well as any added updates related to FISMA to address security concerns in the system acquisitions process). - id: sa-4_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See https://www.niap-ccevs.org/Product/index.cfm or https://www.commoncriteriaportal.org/products/.' - id: sa-4_obj name: assessment-objective props: - name: label value: SA-04 class: sp800-53a parts: - id: sa-4_obj.a name: assessment-objective props: - name: label value: SA-04a. class: sp800-53a parts: - id: sa-4_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-04a.[01] class: sp800-53a prose: 'security functional requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;' links: - href: '#sa-4_smt.a' rel: assessment-for - id: sa-4_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-04a.[02] class: sp800-53a prose: 'privacy functional requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;' links: - href: '#sa-4_smt.a' rel: assessment-for links: - href: '#sa-4_smt.a' rel: assessment-for - id: sa-4_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-04b. class: sp800-53a prose: 'strength of mechanism requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;' links: - href: '#sa-4_smt.b' rel: assessment-for - id: sa-4_obj.c name: assessment-objective props: - name: label value: SA-04c. class: sp800-53a parts: - id: sa-4_obj.c-1 name: assessment-objective props: - name: label value: SA-04c.[01] class: sp800-53a prose: 'security assurance requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;' links: - href: '#sa-4_smt.c' rel: assessment-for - id: sa-4_obj.c-2 name: assessment-objective props: - name: label value: SA-04c.[02] class: sp800-53a prose: 'privacy assurance requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;' links: - href: '#sa-4_smt.c' rel: assessment-for links: - href: '#sa-4_smt.c' rel: assessment-for - id: sa-4_obj.d name: assessment-objective props: - name: label value: SA-04d. class: sp800-53a parts: - id: sa-4_obj.d-1 name: assessment-objective props: - name: label value: SA-04d.[01] class: sp800-53a prose: 'controls needed to satisfy the security requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;' links: - href: '#sa-4_smt.d' rel: assessment-for - id: sa-4_obj.d-2 name: assessment-objective props: - name: label value: SA-04d.[02] class: sp800-53a prose: 'controls needed to satisfy the privacy requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;' links: - href: '#sa-4_smt.d' rel: assessment-for links: - href: '#sa-4_smt.d' rel: assessment-for - id: sa-4_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-04e. class: sp800-53a parts: - id: sa-4_obj.e-1 name: assessment-objective props: - name: label value: SA-04e.[01] class: sp800-53a prose: 'security documentation requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;' links: - href: '#sa-4_smt.e' rel: assessment-for - id: sa-4_obj.e-2 name: assessment-objective props: - name: label value: SA-04e.[02] class: sp800-53a prose: 'privacy documentation requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;' links: - href: '#sa-4_smt.e' rel: assessment-for links: - href: '#sa-4_smt.e' rel: assessment-for - id: sa-4_obj.f name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-04f. class: sp800-53a parts: - id: sa-4_obj.f-1 name: assessment-objective props: - name: label value: SA-04f.[01] class: sp800-53a prose: 'requirements for protecting security documentation, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;' links: - href: '#sa-4_smt.f' rel: assessment-for - id: sa-4_obj.f-2 name: assessment-objective props: - name: label value: SA-04f.[02] class: sp800-53a prose: 'requirements for protecting privacy documentation, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;' links: - href: '#sa-4_smt.f' rel: assessment-for links: - href: '#sa-4_smt.f' rel: assessment-for - id: sa-4_obj.g name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-04g. class: sp800-53a prose: 'the description of the system development environment and environment in which the system is intended to operate, requirements, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;' links: - href: '#sa-4_smt.g' rel: assessment-for - id: sa-4_obj.h name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-04h. class: sp800-53a parts: - id: sa-4_obj.h-1 name: assessment-objective props: - name: label value: SA-04h.[01] class: sp800-53a prose: 'the allocation of responsibility or identification of parties responsible for information security requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;' links: - href: '#sa-4_smt.h' rel: assessment-for - id: sa-4_obj.h-2 name: assessment-objective props: - name: label value: SA-04h.[02] class: sp800-53a prose: 'the allocation of responsibility or identification of parties responsible for privacy requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }};' links: - href: '#sa-4_smt.h' rel: assessment-for - id: sa-4_obj.h-3 name: assessment-objective props: - name: label value: SA-04h.[03] class: sp800-53a prose: 'the allocation of responsibility or identification of parties responsible for supply chain risk management requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }};' links: - href: '#sa-4_smt.h' rel: assessment-for links: - href: '#sa-4_smt.h' rel: assessment-for - id: sa-4_obj.i name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-04i. class: sp800-53a prose: 'acceptance criteria requirements and descriptions are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service.' links: - href: '#sa-4_smt.i' rel: assessment-for links: - href: '#sa-4_smt' rel: assessment-for - id: sa-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-04-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy system and services acquisition procedures procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process configuration management plan acquisition contracts for the system, system component, or system service system design documentation system security plan supply chain risk management plan privacy plan other relevant documents or records' - id: sa-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-04-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with acquisition/contracting responsibilities organizational personnel with information security and privacy responsibilities system/network administrators organizational personnel with supply chain risk management responsibilities' - id: sa-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-04-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for determining system security and privacy functional, strength, and assurance requirements organizational processes for developing acquisition contracts mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts' controls: - id: sa-4.1 class: SP800-53-enhancement title: Functional Properties of Controls props: - name: label value: SA-04(01) class: zero-padded - name: label value: SA-4(1) - name: label value: SA-04(01) class: sp800-53a - name: sort-id value: sa-04.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#sa-4' rel: required parts: - id: sa-4.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Require the developer of the system, system component, or system service to provide a description of the functional properties of the controls to be implemented. - id: sa-4.1_gdn name: guidance prose: Functional properties of security and privacy controls describe the functionality (i.e., security or privacy capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls. - id: sa-4.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-04(01) class: sp800-53a prose: the developer of the system, system component, or system service is required to provide a description of the functional properties of the controls to be implemented. links: - href: '#sa-4.1_smt' rel: assessment-for - id: sa-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy system and services acquisition procedures procedures addressing the integration of security and privacy requirements, descriptions, and criteria into the acquisition process solicitation documents acquisition documentation acquisition contracts for the system, system component, or system services system security plan privacy plan other relevant documents or records' - id: sa-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with acquisition/contracting responsibilities organizational personnel with information security and privacy responsibilities system developers' - id: sa-4.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-04(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for determining system security functional requirements organizational processes for developing acquisition contracts mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts' - id: sa-4.2 class: SP800-53-enhancement title: Design and Implementation Information for Controls params: - id: sa-04.02_odp.01 props: - name: alt-identifier value: sa-4.2_prm_1 - name: label value: SA-04(02)_ODP[01] class: sp800-53a constraints: - description: 'at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram; organization-defined design/implementation information' - id: sa-04.02_odp.02 props: - name: alt-identifier value: sa-4.2_prm_2 - name: label value: SA-04(02)_ODP[02] class: sp800-53a label: design and implementation information guidelines: - prose: design and implementation information is defined (if selected); - id: sa-04.02_odp.03 props: - name: alt-identifier value: sa-4.2_prm_3 - name: label value: SA-04(02)_ODP[03] class: sp800-53a label: level of detail guidelines: - prose: level of detail is defined; props: - name: label value: SA-04(02) class: zero-padded - name: label value: SA-4(2) - name: label value: SA-04(02) class: sp800-53a - name: sort-id value: sa-04.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#sa-4' rel: required parts: - id: sa-4.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Require the developer of the system, system component, or system service to provide design and implementation information for the controls that includes: {{ insert: param, sa-04.02_odp.01 }} at {{ insert: param, sa-04.02_odp.03 }}.' - id: sa-4.2_gdn name: guidance prose: Organizations may require different levels of detail in the documentation for the design and implementation of controls in organizational systems, system components, or system services based on mission and business requirements, requirements for resiliency and trustworthiness, and requirements for analysis and testing. Systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules and the interfaces between modules providing security-relevant functionality. Design and implementation documentation can include manufacturer, version, serial number, verification hash signature, software libraries used, date of purchase or download, and the vendor or download source. Source code and hardware schematics are referred to as the implementation representation of the system. - id: sa-4.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-04(02) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to provide design and implementation information for the controls that includes using {{ insert: param, sa-04.02_odp.01 }} at {{ insert: param, sa-04.02_odp.03 }}.' links: - href: '#sa-4.2_smt' rel: assessment-for - id: sa-4.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-04(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy system and services acquisition procedures procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process solicitation documents acquisition documentation acquisition contracts for the system, system components, or system services design and implementation information for controls employed in the system, system component, or system service system security plan other relevant documents or records' - id: sa-4.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-04(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with acquisition/contracting responsibilities organizational personnel with the responsibility to determine system security requirements system developers or service provider organizational personnel with information security responsibilities' - id: sa-4.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-04(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for determining the level of detail for system design and controls organizational processes for developing acquisition contracts mechanisms supporting and/or implementing the development of system design details' - id: sa-4.5 class: SP800-53-enhancement title: System, Component, and Service Configurations params: - id: sa-04.05_odp props: - name: alt-identifier value: sa-4.5_prm_1 - name: label value: SA-04(05)_ODP class: sp800-53a label: security configurations constraints: - description: The service provider shall use the DoD STIGs to establish configuration settings; Center for Internet Security up to Level 2 (CIS Level 2) guidelines shall be used if STIGs are not available; Custom baselines shall be used if CIS is not available. guidelines: - prose: security configurations for the system, component, or service are defined; props: - name: label value: SA-04(05) class: zero-padded - name: label value: SA-4(5) - name: label value: SA-04(05) class: sp800-53a - name: sort-id value: sa-04.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#sa-4' rel: required parts: - id: sa-4.5_smt name: statement prose: 'Require the developer of the system, system component, or system service to:' parts: - id: sa-4.5_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Deliver the system, component, or service with {{ insert: param, sa-04.05_odp }} implemented; and' - id: sa-4.5_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade. - id: sa-4.5_gdn name: guidance prose: Examples of security configurations include the U.S. Government Configuration Baseline (USGCB), Security Technical Implementation Guides (STIGs), and any limitations on functions, ports, protocols, and services. Security characteristics can include requiring that default passwords have been changed. - id: sa-4.5_obj name: assessment-objective props: - name: label value: SA-04(05) class: sp800-53a parts: - id: sa-4.5_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-04(05)(a) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to deliver the system, component, or service with {{ insert: param, sa-04.05_odp }} implemented;' links: - href: '#sa-4.5_smt.a' rel: assessment-for - id: sa-4.5_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-04(05)(b) class: sp800-53a prose: the configurations are used as the default for any subsequent system, component, or service reinstallation or upgrade. links: - href: '#sa-4.5_smt.b' rel: assessment-for links: - href: '#sa-4.5_smt' rel: assessment-for - id: sa-4.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-04(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process solicitation documents acquisition documentation acquisition contracts for the system, system component, or system service security configurations to be implemented by the developer of the system, system component, or system service service level agreements system security plan other relevant documents or records' - id: sa-4.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-04(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with acquisition/contracting responsibilities organizational personnel with the responsibility to determine system security requirements system developers or service provider organizational personnel with information security responsibilities' - id: sa-4.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-04(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms used to verify that the configuration of the system, component, or service is delivered as specified - id: sa-4.9 class: SP800-53-enhancement title: Functions, Ports, Protocols, and Services in Use props: - name: label value: SA-04(09) class: zero-padded - name: label value: SA-4(9) - name: label value: SA-04(09) class: sp800-53a - name: sort-id value: sa-04.09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#sa-4' rel: required - href: '#cm-7' rel: related - href: '#sa-9' rel: related parts: - id: sa-4.9_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Require the developer of the system, system component, or system service to identify the functions, ports, protocols, and services intended for organizational use. - id: sa-4.9_gdn name: guidance prose: The identification of functions, ports, protocols, and services early in the system development life cycle (e.g., during the initial requirements definition and design stages) allows organizations to influence the design of the system, system component, or system service. This early involvement in the system development life cycle helps organizations avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services or requiring system service providers to do so. Early identification of functions, ports, protocols, and services avoids costly retrofitting of controls after the system, component, or system service has been implemented. [SA-9](#sa-9) describes the requirements for external system services. Organizations identify which functions, ports, protocols, and services are provided from external sources. - id: sa-4.9_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-04(09) class: sp800-53a parts: - id: sa-4.9_obj-1 name: assessment-objective props: - name: label value: SA-04(09)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to identify the functions intended for organizational use; links: - href: '#sa-4.9_smt' rel: assessment-for - id: sa-4.9_obj-2 name: assessment-objective props: - name: label value: SA-04(09)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to identify the ports intended for organizational use; links: - href: '#sa-4.9_smt' rel: assessment-for - id: sa-4.9_obj-3 name: assessment-objective props: - name: label value: SA-04(09)[03] class: sp800-53a prose: the developer of the system, system component, or system service is required to identify the protocols intended for organizational use; links: - href: '#sa-4.9_smt' rel: assessment-for - id: sa-4.9_obj-4 name: assessment-objective props: - name: label value: SA-04(09)[04] class: sp800-53a prose: the developer of the system, system component, or system service is required to identify the services intended for organizational use. links: - href: '#sa-4.9_smt' rel: assessment-for links: - href: '#sa-4.9_smt' rel: assessment-for - id: sa-4.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-04(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process system design documentation system documentation, including functions, ports, protocols, and services intended for organizational use acquisition contracts for systems or services acquisition documentation solicitation documentation service level agreements organizational security requirements, descriptions, and criteria for developers of systems, system components, and system services system security plan other relevant documents or records' - id: sa-4.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-04(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with acquisition/contracting responsibilities organizational personnel with the responsibility for determining system security requirements system/network administrators organizational personnel operating, using, and/or maintaining the system system developers organizational personnel with information security responsibilities' - id: sa-4.10 class: SP800-53-enhancement title: Use of Approved PIV Products props: - name: label value: SA-04(10) class: zero-padded - name: label value: SA-4(10) - name: label value: SA-04(10) class: sp800-53a - name: sort-id value: sa-04.10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#sa-4' rel: required - href: '#ia-2' rel: related - href: '#ia-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related parts: - id: sa-4.10_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Employ only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational systems. - id: sa-4.10_gdn name: guidance prose: Products on the FIPS 201-approved products list meet NIST requirements for Personal Identity Verification (PIV) of Federal Employees and Contractors. PIV cards are used for multi-factor authentication in systems and organizations. - id: sa-4.10_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-04(10) class: sp800-53a prose: only information technology products on the FIPS 201-approved products list for the Personal Identity Verification (PIV) capability implemented within organizational systems are employed. links: - href: '#sa-4.10_smt' rel: assessment-for - id: sa-4.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-04(10)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Supply chain risk management plan system and services acquisition policy procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process solicitation documentation acquisition documentation acquisition contracts for the system, system component, or system service service level agreements FIPS 201 approved products list system security plan other relevant documents or records' - id: sa-4.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-04(10)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with acquisition/contracting responsibilities organizational personnel with the responsibility for determining system security requirements organizational personnel with the responsibility for ensuring that only FIPS 201- approved products are implemented organizational personnel with information security responsibilities' - id: sa-4.10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-04(10)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for selecting and employing FIPS 201-approved products - id: sa-5 class: SP800-53 title: System Documentation params: - id: sa-05_odp.01 props: - name: alt-identifier value: sa-5_prm_1 - name: label value: SA-05_ODP[01] class: sp800-53a label: actions guidelines: - prose: actions to take when system, system component, or system service documentation is either unavailable or nonexistent are defined; - id: sa-05_odp.02 props: - name: alt-identifier value: sa-5_prm_2 - name: label value: SA-05_ODP[02] class: sp800-53a label: personnel or roles constraints: - description: at a minimum, the ISSO (or similar role within the organization) guidelines: - prose: personnel or roles to distribute system documentation to is/are defined; props: - name: label value: SA-05 class: zero-padded - name: label value: SA-5 - name: label value: SA-05 class: sp800-53a - name: sort-id value: sa-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#cm-4' rel: related - href: '#cm-6' rel: related - href: '#cm-7' rel: related - href: '#cm-8' rel: related - href: '#pl-2' rel: related - href: '#pl-4' rel: related - href: '#pl-8' rel: related - href: '#ps-2' rel: related - href: '#sa-3' rel: related - href: '#sa-4' rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: '#sa-10' rel: related - href: '#sa-11' rel: related - href: '#sa-15' rel: related - href: '#sa-16' rel: related - href: '#sa-17' rel: related - href: '#si-12' rel: related - href: '#sr-3' rel: related parts: - id: sa-5_smt name: statement parts: - id: sa-5_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Obtain or develop administrator documentation for the system, system component, or system service that describes:' parts: - id: sa-5_smt.a.1 name: item props: - name: label value: '1.' prose: Secure configuration, installation, and operation of the system, component, or service; - id: sa-5_smt.a.2 name: item props: - name: label value: '2.' prose: Effective use and maintenance of security and privacy functions and mechanisms; and - id: sa-5_smt.a.3 name: item props: - name: label value: '3.' prose: Known vulnerabilities regarding configuration and use of administrative or privileged functions; - id: sa-5_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Obtain or develop user documentation for the system, system component, or system service that describes:' parts: - id: sa-5_smt.b.1 name: item props: - name: label value: '1.' prose: User-accessible security and privacy functions and mechanisms and how to effectively use those functions and mechanisms; - id: sa-5_smt.b.2 name: item props: - name: label value: '2.' prose: Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner and protect individual privacy; and - id: sa-5_smt.b.3 name: item props: - name: label value: '3.' prose: User responsibilities in maintaining the security of the system, component, or service and privacy of individuals; - id: sa-5_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Document attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent and take {{ insert: param, sa-05_odp.01 }} in response; and' - id: sa-5_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: 'Distribute documentation to {{ insert: param, sa-05_odp.02 }}.' - id: sa-5_gdn name: guidance prose: System documentation helps personnel understand the implementation and operation of controls. Organizations consider establishing specific measures to determine the quality and completeness of the content provided. System documentation may be used to support the management of supply chain risk, incident response, and other functions. Personnel or roles that require documentation include system owners, system security officers, and system administrators. Attempts to obtain documentation include contacting manufacturers or suppliers and conducting web-based searches. The inability to obtain documentation may occur due to the age of the system or component or the lack of support from developers and contractors. When documentation cannot be obtained, organizations may need to recreate the documentation if it is essential to the implementation or operation of the controls. The protection provided for the documentation is commensurate with the security category or classification of the system. Documentation that addresses system vulnerabilities may require an increased level of protection. Secure operation of the system includes initially starting the system and resuming secure system operation after a lapse in system operation. - id: sa-5_obj name: assessment-objective props: - name: label value: SA-05 class: sp800-53a parts: - id: sa-5_obj.a name: assessment-objective props: - name: label value: SA-05a. class: sp800-53a parts: - id: sa-5_obj.a.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-05a.01 class: sp800-53a parts: - id: sa-5_obj.a.1-1 name: assessment-objective props: - name: label value: SA-05a.01[01] class: sp800-53a prose: administrator documentation for the system, system component, or system service that describes the secure configuration of the system, component, or service is obtained or developed; links: - href: '#sa-5_smt.a.1' rel: assessment-for - id: sa-5_obj.a.1-2 name: assessment-objective props: - name: label value: SA-05a.01[02] class: sp800-53a prose: administrator documentation for the system, system component, or system service that describes the secure installation of the system, component, or service is obtained or developed; links: - href: '#sa-5_smt.a.1' rel: assessment-for - id: sa-5_obj.a.1-3 name: assessment-objective props: - name: label value: SA-05a.01[03] class: sp800-53a prose: administrator documentation for the system, system component, or system service that describes the secure operation of the system, component, or service is obtained or developed; links: - href: '#sa-5_smt.a.1' rel: assessment-for links: - href: '#sa-5_smt.a.1' rel: assessment-for - id: sa-5_obj.a.2 name: assessment-objective props: - name: label value: SA-05a.02 class: sp800-53a parts: - id: sa-5_obj.a.2-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-05a.02[01] class: sp800-53a prose: administrator documentation for the system, system component, or system service that describes the effective use of security functions and mechanisms is obtained or developed; links: - href: '#sa-5_smt.a.2' rel: assessment-for - id: sa-5_obj.a.2-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-05a.02[02] class: sp800-53a prose: administrator documentation for the system, system component, or system service that describes the effective maintenance of security functions and mechanisms is obtained or developed; links: - href: '#sa-5_smt.a.2' rel: assessment-for - id: sa-5_obj.a.2-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-05a.02[03] class: sp800-53a prose: administrator documentation for the system, system component, or system service that describes the effective use of privacy functions and mechanisms is obtained or developed; links: - href: '#sa-5_smt.a.2' rel: assessment-for - id: sa-5_obj.a.2-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-05a.02[04] class: sp800-53a prose: administrator documentation for the system, system component, or system service that describes the effective maintenance of privacy functions and mechanisms is obtained or developed; links: - href: '#sa-5_smt.a.2' rel: assessment-for links: - href: '#sa-5_smt.a.2' rel: assessment-for - id: sa-5_obj.a.3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-05a.03 class: sp800-53a parts: - id: sa-5_obj.a.3-1 name: assessment-objective props: - name: label value: SA-05a.03[01] class: sp800-53a prose: administrator documentation for the system, system component, or system service that describes known vulnerabilities regarding the configuration of administrative or privileged functions is obtained or developed; links: - href: '#sa-5_smt.a.3' rel: assessment-for - id: sa-5_obj.a.3-2 name: assessment-objective props: - name: label value: SA-05a.03[02] class: sp800-53a prose: administrator documentation for the system, system component, or system service that describes known vulnerabilities regarding the use of administrative or privileged functions is obtained or developed; links: - href: '#sa-5_smt.a.3' rel: assessment-for links: - href: '#sa-5_smt.a.3' rel: assessment-for links: - href: '#sa-5_smt.a' rel: assessment-for - id: sa-5_obj.b name: assessment-objective props: - name: label value: SA-05b. class: sp800-53a parts: - id: sa-5_obj.b.1 name: assessment-objective props: - name: label value: SA-05b.01 class: sp800-53a parts: - id: sa-5_obj.b.1-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-05b.01[01] class: sp800-53a prose: user documentation for the system, system component, or system service that describes user-accessible security functions and mechanisms is obtained or developed; links: - href: '#sa-5_smt.b.1' rel: assessment-for - id: sa-5_obj.b.1-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-05b.01[02] class: sp800-53a prose: user documentation for the system, system component, or system service that describes how to effectively use those (user-accessible security) functions and mechanisms is obtained or developed; links: - href: '#sa-5_smt.b.1' rel: assessment-for - id: sa-5_obj.b.1-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-05b.01[03] class: sp800-53a prose: user documentation for the system, system component, or system service that describes user-accessible privacy functions and mechanisms is obtained or developed; links: - href: '#sa-5_smt.b.1' rel: assessment-for - id: sa-5_obj.b.1-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-05b.01[04] class: sp800-53a prose: user documentation for the system, system component, or system service that describes how to effectively use those (user-accessible privacy) functions and mechanisms is obtained or developed; links: - href: '#sa-5_smt.b.1' rel: assessment-for links: - href: '#sa-5_smt.b.1' rel: assessment-for - id: sa-5_obj.b.2 name: assessment-objective props: - name: label value: SA-05b.02 class: sp800-53a parts: - id: sa-5_obj.b.2-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-05b.02[01] class: sp800-53a prose: user documentation for the system, system component, or system service that describes methods for user interaction, which enable individuals to use the system, component, or service in a more secure manner is obtained or developed; links: - href: '#sa-5_smt.b.2' rel: assessment-for - id: sa-5_obj.b.2-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-05b.02[02] class: sp800-53a prose: user documentation for the system, system component, or system service that describes methods for user interaction, which enable individuals to use the system, component, or service to protect individual privacy is obtained or developed; links: - href: '#sa-5_smt.b.2' rel: assessment-for links: - href: '#sa-5_smt.b.2' rel: assessment-for - id: sa-5_obj.b.3 name: assessment-objective props: - name: label value: SA-05b.03 class: sp800-53a parts: - id: sa-5_obj.b.3-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-05b.03[01] class: sp800-53a prose: user documentation for the system, system component, or system service that describes user responsibilities for maintaining the security of the system, component, or service is obtained or developed; links: - href: '#sa-5_smt.b.3' rel: assessment-for - id: sa-5_obj.b.3-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-05b.03[02] class: sp800-53a prose: user documentation for the system, system component, or system service that describes user responsibilities for maintaining the privacy of individuals is obtained or developed; links: - href: '#sa-5_smt.b.3' rel: assessment-for links: - href: '#sa-5_smt.b.3' rel: assessment-for links: - href: '#sa-5_smt.b' rel: assessment-for - id: sa-5_obj.c name: assessment-objective props: - name: label value: SA-05c. class: sp800-53a parts: - id: sa-5_obj.c-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-05c.[01] class: sp800-53a prose: attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent is documented; links: - href: '#sa-5_smt.c' rel: assessment-for - id: sa-5_obj.c-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-05c.[02] class: sp800-53a prose: 'after attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent, {{ insert: param, sa-05_odp.01 }} are taken in response;' links: - href: '#sa-5_smt.c' rel: assessment-for links: - href: '#sa-5_smt.c' rel: assessment-for - id: sa-5_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-05d. class: sp800-53a prose: 'documentation is distributed to {{ insert: param, sa-05_odp.02 }}.' links: - href: '#sa-5_smt.d' rel: assessment-for links: - href: '#sa-5_smt' rel: assessment-for - id: sa-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-05-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy system and services acquisition procedures procedures addressing system documentation system documentation, including administrator and user guides system design documentation records documenting attempts to obtain unavailable or nonexistent system documentation list of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation risk management strategy documentation system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records' - id: sa-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-05-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with acquisition/contracting responsibilities organizational personnel with information security and privacy responsibilities system administrators organizational personnel responsible for operating, using, and/or maintaining the system system developers' - id: sa-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-05-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for obtaining, protecting, and distributing system administrator and user documentation - id: sa-8 class: SP800-53 title: Security and Privacy Engineering Principles params: - id: sa-8_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-08_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-08_odp.02 label: organization-defined systems security and privacy engineering principles - id: sa-08_odp.01 props: - name: label value: SA-08_ODP[01] class: sp800-53a label: systems security engineering principles guidelines: - prose: systems security engineering principles are defined; - id: sa-08_odp.02 props: - name: label value: SA-08_ODP[02] class: sp800-53a label: privacy engineering principles guidelines: - prose: privacy engineering principles are defined; props: - name: label value: SA-08 class: zero-padded - name: label value: SA-8 - name: label value: SA-08 class: sp800-53a - name: sort-id value: sa-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#18e71fec-c6fd-475a-925a-5d8495cf8455' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#599fb53d-5041-444e-a7fe-640d6d30ad05' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d' rel: reference - href: '#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a' rel: reference - href: '#9be5d661-421f-41ad-854e-86f98b811891' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference - href: '#pl-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-7 rel: related - href: '#ra-2' rel: related - href: '#ra-3' rel: related - href: '#ra-9' rel: related - href: '#sa-3' rel: related - href: '#sa-4' rel: related - href: '#sa-15' rel: related - href: '#sa-17' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-20 rel: related - href: '#sc-2' rel: related - href: '#sc-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-32 rel: related - href: '#sc-39' rel: related - href: '#sr-2' rel: related - href: '#sr-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-4 rel: related - href: '#sr-5' rel: related parts: - id: sa-8_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Apply the following systems security and privacy engineering principles in the specification, design, development, implementation, and modification of the system and system components: {{ insert: param, sa-8_prm_1 }}.' - id: sa-8_gdn name: guidance prose: 'Systems security and privacy engineering principles are closely related to and implemented throughout the system development life cycle (see [SA-3](#sa-3) ). Organizations can apply systems security and privacy engineering principles to new systems under development or to systems undergoing upgrades. For existing systems, organizations apply systems security and privacy engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware components within those systems. The application of systems security and privacy engineering principles helps organizations develop trustworthy, secure, and resilient systems and reduces the susceptibility to disruptions, hazards, threats, and the creation of privacy problems for individuals. Examples of system security engineering principles include: developing layered protections; establishing security and privacy policies, architecture, and controls as the foundation for design and development; incorporating security and privacy requirements into the system development life cycle; delineating physical and logical security boundaries; ensuring that developers are trained on how to build secure software; tailoring controls to meet organizational needs; and performing threat modeling to identify use cases, threat agents, attack vectors and patterns, design patterns, and compensating controls needed to mitigate risk. Organizations that apply systems security and privacy engineering concepts and principles can facilitate the development of trustworthy, secure systems, system components, and system services; reduce risk to acceptable levels; and make informed risk management decisions. System security engineering principles can also be used to protect against certain supply chain risks, including incorporating tamper-resistant hardware into a design.' - id: sa-8_obj name: assessment-objective props: - name: label value: SA-08 class: sp800-53a parts: - id: sa-8_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-08[01] class: sp800-53a prose: '{{ insert: param, sa-08_odp.01 }} are applied in the specification of the system and system components;' links: - href: '#sa-8_smt' rel: assessment-for - id: sa-8_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-08[02] class: sp800-53a prose: '{{ insert: param, sa-08_odp.01 }} are applied in the design of the system and system components;' links: - href: '#sa-8_smt' rel: assessment-for - id: sa-8_obj-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-08[03] class: sp800-53a prose: '{{ insert: param, sa-08_odp.01 }} are applied in the development of the system and system components;' links: - href: '#sa-8_smt' rel: assessment-for - id: sa-8_obj-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-08[04] class: sp800-53a prose: '{{ insert: param, sa-08_odp.01 }} are applied in the implementation of the system and system components;' links: - href: '#sa-8_smt' rel: assessment-for - id: sa-8_obj-5 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-08[05] class: sp800-53a prose: '{{ insert: param, sa-08_odp.01 }} are applied in the modification of the system and system components;' links: - href: '#sa-8_smt' rel: assessment-for - id: sa-8_obj-6 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-08[06] class: sp800-53a prose: '{{ insert: param, sa-08_odp.02 }} are applied in the specification of the system and system components;' links: - href: '#sa-8_smt' rel: assessment-for - id: sa-8_obj-7 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-08[07] class: sp800-53a prose: '{{ insert: param, sa-08_odp.02 }} are applied in the design of the system and system components;' links: - href: '#sa-8_smt' rel: assessment-for - id: sa-8_obj-8 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-08[08] class: sp800-53a prose: '{{ insert: param, sa-08_odp.02 }} are applied in the development of the system and system components;' links: - href: '#sa-8_smt' rel: assessment-for - id: sa-8_obj-9 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-08[09] class: sp800-53a prose: '{{ insert: param, sa-08_odp.02 }} are applied in the implementation of the system and system components;' links: - href: '#sa-8_smt' rel: assessment-for - id: sa-8_obj-10 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-08[10] class: sp800-53a prose: '{{ insert: param, sa-08_odp.02 }} are applied in the modification of the system and system components.' links: - href: '#sa-8_smt' rel: assessment-for links: - href: '#sa-8_smt' rel: assessment-for - id: sa-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy system and services acquisition procedures assessment and authorization procedures procedures addressing security and privacy engineering principles used in the specification, design, development, implementation, and modification of the system system design documentation security and privacy requirements and specifications for the system system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records' - id: sa-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with acquisition/contracting responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers' - id: sa-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for applying security and privacy engineering principles in system specification, design, development, implementation, and modification mechanisms supporting the application of security and privacy engineering principles in system specification, design, development, implementation, and modification' - id: sa-9 class: SP800-53 title: External System Services params: - id: sa-09_odp.01 props: - name: alt-identifier value: sa-9_prm_1 - name: label value: SA-09_ODP[01] class: sp800-53a label: controls constraints: - description: Appropriate FedRAMP Security Controls Baseline (s) if Federal information is processed or stored within the external system guidelines: - prose: controls to be employed by external system service providers are defined; - id: sa-09_odp.02 props: - name: alt-identifier value: sa-9_prm_2 - name: label value: SA-09_ODP[02] class: sp800-53a label: processes, methods, and techniques constraints: - description: Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored guidelines: - prose: processes, methods, and techniques employed to monitor control compliance by external service providers are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SA-09 class: zero-padded - name: label value: SA-9 - name: label value: SA-09 class: sp800-53a - name: sort-id value: sa-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#77faf0bc-c394-44ad-9154-bbac3b79c8ad' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#e8e84963-14fc-4c3a-be05-b412a5d37cd2' rel: reference - href: '#7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849' rel: reference - href: '#ac-20' rel: related - href: '#ca-3' rel: related - href: '#cp-2' rel: related - href: '#ir-4' rel: related - href: '#ir-7' rel: related - href: '#pl-10' rel: related - href: '#pl-11' rel: related - href: '#ps-7' rel: related - href: '#sa-2' rel: related - href: '#sa-4' rel: related - href: '#sr-3' rel: related - href: '#sr-5' rel: related parts: - id: sa-9_smt name: statement parts: - id: sa-9_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Require that providers of external system services comply with organizational security and privacy requirements and employ the following controls: {{ insert: param, sa-09_odp.01 }};' - id: sa-9_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Define and document organizational oversight and user roles and responsibilities with regard to external system services; and - id: sa-9_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Employ the following processes, methods, and techniques to monitor control compliance by external service providers on an ongoing basis: {{ insert: param, sa-09_odp.02 }}.' - id: sa-9_gdn name: guidance prose: External system services are provided by an external provider, and the organization has no direct control over the implementation of the required controls or the assessment of control effectiveness. Organizations establish relationships with external service providers in a variety of ways, including through business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, joint ventures, and supply chain exchanges. The responsibility for managing risks from the use of external system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a certain level of confidence that each provider in the consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust vary based on relationships between organizations and the external providers. Organizations document the basis for the trust relationships so that the relationships can be monitored. External system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define the expectations of performance for implemented controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance. - id: sa-9_obj name: assessment-objective props: - name: label value: SA-09 class: sp800-53a parts: - id: sa-9_obj.a name: assessment-objective props: - name: label value: SA-09a. class: sp800-53a parts: - id: sa-9_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-09a.[01] class: sp800-53a prose: providers of external system services comply with organizational security requirements; links: - href: '#sa-9_smt.a' rel: assessment-for - id: sa-9_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-09a.[02] class: sp800-53a prose: providers of external system services comply with organizational privacy requirements; links: - href: '#sa-9_smt.a' rel: assessment-for - id: sa-9_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SA-09a.[03] class: sp800-53a prose: 'providers of external system services employ {{ insert: param, sa-09_odp.01 }};' links: - href: '#sa-9_smt.a' rel: assessment-for links: - href: '#sa-9_smt.a' rel: assessment-for - id: sa-9_obj.b name: assessment-objective props: - name: label value: SA-09b. class: sp800-53a parts: - id: sa-9_obj.b-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SA-09b.[01] class: sp800-53a prose: organizational oversight with regard to external system services are defined and documented; links: - href: '#sa-9_smt.b' rel: assessment-for - id: sa-9_obj.b-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SA-09b.[02] class: sp800-53a prose: user roles and responsibilities with regard to external system services are defined and documented; links: - href: '#sa-9_smt.b' rel: assessment-for links: - href: '#sa-9_smt.b' rel: assessment-for - id: sa-9_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-09c. class: sp800-53a prose: '{{ insert: param, sa-09_odp.02 }} are employed to monitor control compliance by external service providers on an ongoing basis.' links: - href: '#sa-9_smt.c' rel: assessment-for links: - href: '#sa-9_smt' rel: assessment-for - id: sa-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-09-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy system and services acquisition procedures procedures addressing methods and techniques for monitoring control compliance by external service providers of system services acquisition documentation contracts service level agreements interagency agreements licensing agreements list of organizational security and privacy requirements for external provider services control assessment results or reports from external providers of system services system security plan privacy plan supply chain risk management plan other relevant documents or records' - id: sa-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-09-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with acquisition responsibilities external providers of system services organizational personnel with information security and privacy responsibilities organizational personnel with supply chain risk management responsibilities' - id: sa-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-09-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for monitoring security and privacy control compliance by external service providers on an ongoing basis mechanisms for monitoring security and privacy control compliance by external service providers on an ongoing basis' controls: - id: sa-9.1 class: SP800-53-enhancement title: Risk Assessments and Organizational Approvals params: - id: sa-09.01_odp props: - name: alt-identifier value: sa-9.1_prm_1 - name: label value: SA-09(01)_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles that approve the acquisition or outsourcing of dedicated information security services is/are defined; props: - name: label value: SA-09(01) class: zero-padded - name: label value: SA-9(1) - name: label value: SA-09(01) class: sp800-53a - name: sort-id value: sa-09.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#sa-9' rel: required - href: '#ca-6' rel: related - href: '#ra-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ra-8 rel: related parts: - id: sa-9.1_smt name: statement parts: - id: sa-9.1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: Conduct an organizational assessment of risk prior to the acquisition or outsourcing of information security services; and - id: sa-9.1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'Verify that the acquisition or outsourcing of dedicated information security services is approved by {{ insert: param, sa-09.01_odp }}.' - id: sa-9.1_gdn name: guidance prose: Information security services include the operation of security devices, such as firewalls or key management services as well as incident monitoring, analysis, and response. Risks assessed can include system, mission or business, security, privacy, or supply chain risks. - id: sa-9.1_obj name: assessment-objective props: - name: label value: SA-09(01) class: sp800-53a parts: - id: sa-9.1_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-09(01)(a) class: sp800-53a prose: an organizational assessment of risk is conducted prior to the acquisition or outsourcing of information security services; links: - href: '#sa-9.1_smt.a' rel: assessment-for - id: sa-9.1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-09(01)(b) class: sp800-53a prose: '{{ insert: param, sa-09.01_odp }} approve the acquisition or outsourcing of dedicated information security services.' links: - href: '#sa-9.1_smt.b' rel: assessment-for links: - href: '#sa-9.1_smt' rel: assessment-for - id: sa-9.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-09(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy supply chain risk management policy and procedures procedures addressing external system services acquisition documentation acquisition contracts for the system, system component, or system service risk assessment reports approval records for the acquisition or outsourcing of dedicated security services system security plan supply chain risk management plan other relevant documents or records' - id: sa-9.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-09(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and service acquisition responsibilities organizational personnel with system security responsibilities external providers of system services organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities' - id: sa-9.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-09(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for conducting a risk assessment prior to acquiring or outsourcing dedicated security services organizational processes for approving the outsourcing of dedicated security services mechanisms supporting and/or implementing risk assessment mechanisms supporting and/or implementing approval processes' - id: sa-9.2 class: SP800-53-enhancement title: Identification of Functions, Ports, Protocols, and Services params: - id: sa-09.02_odp props: - name: alt-identifier value: sa-9.2_prm_1 - name: label value: SA-09(02)_ODP class: sp800-53a label: external system services constraints: - description: all external systems where Federal information is processed or stored guidelines: - prose: external system services that require the identification of functions, ports, protocols, and other services are defined; props: - name: label value: SA-09(02) class: zero-padded - name: label value: SA-9(2) - name: label value: SA-09(02) class: sp800-53a - name: sort-id value: sa-09.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#sa-9' rel: required - href: '#cm-6' rel: related - href: '#cm-7' rel: related parts: - id: sa-9.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Require providers of the following external system services to identify the functions, ports, protocols, and other services required for the use of such services: {{ insert: param, sa-09.02_odp }}.' - id: sa-9.2_gdn name: guidance prose: Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be useful when the need arises to understand the trade-offs involved in restricting certain functions and services or blocking certain ports and protocols. - id: sa-9.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-09(02) class: sp800-53a prose: 'providers of {{ insert: param, sa-09.02_odp }} are required to identify the functions, ports, protocols, and other services required for the use of such services.' links: - href: '#sa-9.2_smt' rel: assessment-for - id: sa-9.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-09(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy supply chain risk management policy and procedures procedures addressing external system services acquisition contracts for the system, system component, or system service acquisition documentation solicitation documentation service level agreements organizational security requirements and security specifications for external service providers list of required functions, ports, protocols, and other services system security plan other relevant documents or records' - id: sa-9.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-09(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities system/network administrators external providers of system services' - id: sa-9.5 class: SP800-53-enhancement title: Processing, Storage, and Service Location params: - id: sa-09.05_odp.01 props: - name: alt-identifier value: sa-9.5_prm_1 - name: label value: SA-09(05)_ODP[01] class: sp800-53a constraints: - description: information processing, information or data, AND system services - id: sa-09.05_odp.02 props: - name: alt-identifier value: sa-9.5_prm_2 - name: label value: SA-09(05)_ODP[02] class: sp800-53a label: locations constraints: - description: U.S./U.S. Territories or geographic locations where there is U.S. jurisdiction guidelines: - prose: 'locations where {{ insert: param, sa-09.05_odp.01 }} is/are to be restricted are defined;' - id: sa-09.05_odp.03 props: - name: alt-identifier value: sa-9.5_prm_3 - name: alt-label value: requirements or conditions class: sp800-53 - name: label value: SA-09(05)_ODP[03] class: sp800-53a label: requirements constraints: - description: all High impact data, systems, or services guidelines: - prose: 'requirements or conditions for restricting the location of {{ insert: param, sa-09.05_odp.01 }} are defined;' props: - name: label value: SA-09(05) class: zero-padded - name: label value: SA-9(5) - name: label value: SA-09(05) class: sp800-53a - name: sort-id value: sa-09.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#sa-9' rel: required - href: '#sa-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-4 rel: related parts: - id: sa-9.5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Restrict the location of {{ insert: param, sa-09.05_odp.01 }} to {{ insert: param, sa-09.05_odp.02 }} based on {{ insert: param, sa-09.05_odp.03 }}.' - id: sa-9.5_gdn name: guidance prose: The location of information processing, information and data storage, or system services can have a direct impact on the ability of organizations to successfully execute their mission and business functions. The impact occurs when external providers control the location of processing, storage, or services. The criteria that external providers use for the selection of processing, storage, or service locations may be different from the criteria that organizations use. For example, organizations may desire that data or information storage locations be restricted to certain locations to help facilitate incident response activities in case of information security incidents or breaches. Incident response activities, including forensic analyses and after-the-fact investigations, may be adversely affected by the governing laws, policies, or protocols in the locations where processing and storage occur and/or the locations from which system services emanate. - id: sa-9.5_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-09(05) class: sp800-53a prose: 'based on {{ insert: param, sa-09.05_odp.03 }}, {{ insert: param, sa-09.05_odp.01 }} is/are restricted to {{ insert: param, sa-09.05_odp.02 }}.' links: - href: '#sa-9.5_smt' rel: assessment-for - id: sa-9.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-09(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy procedures addressing external system services acquisition contracts for the system, system component, or system service solicitation documentation acquisition documentation service level agreements restricted locations for information processing information/data and/or system services information processing, information/data, and/or system services to be maintained in restricted locations organizational security requirements or conditions for external providers system security plan supply chain risk management plan other relevant documents or records' - id: sa-9.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-09(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities external providers of system services organizational personnel with supply chain risk management responsibilities' - id: sa-9.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-09(05)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for defining the requirements to restrict locations of information processing, information/data, or information services organizational processes for ensuring the location is restricted in accordance with requirements or conditions' - id: sa-10 class: SP800-53 title: Developer Configuration Management params: - id: sa-10_odp.01 props: - name: alt-identifier value: sa-10_prm_1 - name: label value: SA-10_ODP[01] class: sp800-53a constraints: - description: development, implementation, AND operation - id: sa-10_odp.02 props: - name: alt-identifier value: sa-10_prm_2 - name: alt-label value: configuration items under configuration management class: sp800-53 - name: label value: SA-10_ODP[02] class: sp800-53a label: configuration items guidelines: - prose: configuration items under configuration management are defined; - id: sa-10_odp.03 props: - name: alt-identifier value: sa-10_prm_3 - name: label value: SA-10_ODP[03] class: sp800-53a label: personnel guidelines: - prose: personnel to whom security flaws and flaw resolutions within the system, component, or service are reported is/are defined; props: - name: label value: SA-10 class: zero-padded - name: label value: SA-10 - name: label value: SA-10 class: sp800-53a - name: sort-id value: sa-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#eea3c092-42ed-4382-a6f4-1adadef01b9d' rel: reference - href: '#a295ca19-8c75-4b4c-8800-98024732e181' rel: reference - href: '#20db4e66-e257-450c-b2e4-2bb9a62a2c88' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#cm-2' rel: related - href: '#cm-3' rel: related - href: '#cm-4' rel: related - href: '#cm-7' rel: related - href: '#cm-9' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-15' rel: related - href: '#si-2' rel: related - href: '#sr-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-4 rel: related - href: '#sr-5' rel: related - href: '#sr-6' rel: related parts: - id: sa-10_smt name: statement prose: 'Require the developer of the system, system component, or system service to:' parts: - id: sa-10_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Perform configuration management during system, component, or service {{ insert: param, sa-10_odp.01 }};' - id: sa-10_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Document, manage, and control the integrity of changes to {{ insert: param, sa-10_odp.02 }};' - id: sa-10_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Implement only organization-approved changes to the system, component, or service; - id: sa-10_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Document approved changes to the system, component, or service and the potential security and privacy impacts of such changes; and - id: sa-10_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: 'Track security flaws and flaw resolution within the system, component, or service and report findings to {{ insert: param, sa-10_odp.03 }}.' - id: sa-10_gdn name: guidance prose: 'Organizations consider the quality and completeness of configuration management activities conducted by developers as direct evidence of applying effective security controls. Controls include protecting the master copies of material used to generate security-relevant portions of the system hardware, software, and firmware from unauthorized modification or destruction. Maintaining the integrity of changes to the system, system component, or system service requires strict configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. The configuration items that are placed under configuration management include the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the current running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and source code with previous versions; and test fixtures and documentation. Depending on the mission and business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance stage of the system development life cycle.' - id: sa-10_fr name: item ns: http://fedramp.gov/ns/oscal title: SA-10 Additional FedRAMP Requirements and Guidance parts: - id: sa-10_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: '(e) Requirement:' prose: track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP. - id: sa-10_obj name: assessment-objective props: - name: label value: SA-10 class: sp800-53a parts: - id: sa-10_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-10a. class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform configuration management during system, component, or service {{ insert: param, sa-10_odp.01 }};' links: - href: '#sa-10_smt.a' rel: assessment-for - id: sa-10_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-10b. class: sp800-53a parts: - id: sa-10_obj.b-1 name: assessment-objective props: - name: label value: SA-10b.[01] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to document the integrity of changes to {{ insert: param, sa-10_odp.02 }};' links: - href: '#sa-10_smt.b' rel: assessment-for - id: sa-10_obj.b-2 name: assessment-objective props: - name: label value: SA-10b.[02] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to manage the integrity of changes to {{ insert: param, sa-10_odp.02 }};' links: - href: '#sa-10_smt.b' rel: assessment-for - id: sa-10_obj.b-3 name: assessment-objective props: - name: label value: SA-10b.[03] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to control the integrity of changes to {{ insert: param, sa-10_odp.02 }};' links: - href: '#sa-10_smt.b' rel: assessment-for links: - href: '#sa-10_smt.b' rel: assessment-for - id: sa-10_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-10c. class: sp800-53a prose: the developer of the system, system component, or system service is required to implement only organization-approved changes to the system, component, or service; links: - href: '#sa-10_smt.c' rel: assessment-for - id: sa-10_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-10d. class: sp800-53a parts: - id: sa-10_obj.d-1 name: assessment-objective props: - name: label value: SA-10d.[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to document approved changes to the system, component, or service; links: - href: '#sa-10_smt.d' rel: assessment-for - id: sa-10_obj.d-2 name: assessment-objective props: - name: label value: SA-10d.[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to document the potential security impacts of approved changes; links: - href: '#sa-10_smt.d' rel: assessment-for - id: sa-10_obj.d-3 name: assessment-objective props: - name: label value: SA-10d.[03] class: sp800-53a prose: the developer of the system, system component, or system service is required to document the potential privacy impacts of approved changes; links: - href: '#sa-10_smt.d' rel: assessment-for links: - href: '#sa-10_smt.d' rel: assessment-for - id: sa-10_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-10e. class: sp800-53a parts: - id: sa-10_obj.e-1 name: assessment-objective props: - name: label value: SA-10e.[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to track security flaws within the system, component, or service; links: - href: '#sa-10_smt.e' rel: assessment-for - id: sa-10_obj.e-2 name: assessment-objective props: - name: label value: SA-10e.[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to track security flaw resolutions within the system, component, or service; links: - href: '#sa-10_smt.e' rel: assessment-for - id: sa-10_obj.e-3 name: assessment-objective props: - name: label value: SA-10e.[03] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to report findings to {{ insert: param, sa-10_odp.03 }}.' links: - href: '#sa-10_smt.e' rel: assessment-for links: - href: '#sa-10_smt.e' rel: assessment-for links: - href: '#sa-10_smt' rel: assessment-for - id: sa-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-10-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy procedures addressing system developer configuration management solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer configuration management plan security flaw and flaw resolution tracking records system change authorization records change control records configuration management records system security plan other relevant documents or records' - id: sa-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-10-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with configuration management responsibilities system developers' - id: sa-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-10-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for monitoring developer configuration management mechanisms supporting and/or implementing the monitoring of developer configuration management' - id: sa-11 class: SP800-53 title: Developer Testing and Evaluation params: - id: sa-11_odp.01 props: - name: alt-identifier value: sa-11_prm_1 - name: label value: SA-11_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - unit - integration - system - regression - id: sa-11_odp.02 props: - name: alt-identifier value: sa-11_prm_2 - name: alt-label value: frequency class: sp800-53 - name: label value: SA-11_ODP[02] class: sp800-53a label: frequency to conduct guidelines: - prose: 'frequency at which to conduct {{ insert: param, sa-11_odp.01 }} testing/evaluation is defined;' - id: sa-11_odp.03 props: - name: alt-identifier value: sa-11_prm_3 - name: label value: SA-11_ODP[03] class: sp800-53a label: depth and coverage guidelines: - prose: 'depth and coverage of {{ insert: param, sa-11_odp.01 }} testing/evaluation is defined;' props: - name: label value: SA-11 class: zero-padded - name: label value: SA-11 - name: label value: SA-11 class: sp800-53a - name: sort-id value: sa-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#4452efc0-e79e-47b8-aa30-b54f3ef61c2f' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d' rel: reference - href: '#708b94e1-3d5e-4b22-ab43-1c69f3a97e37' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#ca-2' rel: related - href: '#ca-7' rel: related - href: '#cm-4' rel: related - href: '#sa-3' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-15' rel: related - href: '#sa-17' rel: related - href: '#si-2' rel: related - href: '#sr-5' rel: related - href: '#sr-6' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-7 rel: related parts: - id: sa-11_smt name: statement prose: 'Require the developer of the system, system component, or system service, at all post-design stages of the system development life cycle, to:' parts: - id: sa-11_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Develop and implement a plan for ongoing security and privacy control assessments; - id: sa-11_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Perform {{ insert: param, sa-11_odp.01 }} testing/evaluation {{ insert: param, sa-11_odp.02 }} at {{ insert: param, sa-11_odp.03 }};' - id: sa-11_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Produce evidence of the execution of the assessment plan and the results of the testing and evaluation; - id: sa-11_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Implement a verifiable flaw remediation process; and - id: sa-11_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: Correct flaws identified during testing and evaluation. - id: sa-11_gdn name: guidance prose: 'Developmental testing and evaluation confirms that the required controls are implemented correctly, operating as intended, enforcing the desired security and privacy policies, and meeting established security and privacy requirements. Security properties of systems and the privacy of individuals may be affected by the interconnection of system components or changes to those components. The interconnections or changes—including upgrading or replacing applications, operating systems, and firmware—may adversely affect previously implemented controls. Ongoing assessment during development allows for additional types of testing and evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as manual code review, security architecture review, and penetration testing, as well as and static analysis, dynamic analysis, binary analysis, or a hybrid of the three analysis approaches. Developers can use the analysis approaches, along with security instrumentation and fuzzing, in a variety of tools and in source code reviews. The security and privacy assessment plans include 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; the frequency of the ongoing testing and evaluation; and the types of artifacts produced during those processes. The depth of testing and evaluation refers to the rigor and level of detail associated with the assessment process. The coverage of testing and evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security and privacy assessment plans, flaw remediation processes, and the evidence that the plans and processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the system. Contracts may specify protection requirements for documentation.' - id: sa-11_obj name: assessment-objective props: - name: label value: SA-11 class: sp800-53a parts: - id: sa-11_obj.a name: assessment-objective props: - name: label value: SA-11a. class: sp800-53a parts: - id: sa-11_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11a.[01] class: sp800-53a prose: the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to develop a plan for ongoing security assessments; links: - href: '#sa-11_smt.a' rel: assessment-for - id: sa-11_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11a.[02] class: sp800-53a prose: the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a plan for ongoing security assessments; links: - href: '#sa-11_smt.a' rel: assessment-for - id: sa-11_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11a.[03] class: sp800-53a prose: the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to develop a plan for privacy assessments; links: - href: '#sa-11_smt.a' rel: assessment-for - id: sa-11_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11a.[04] class: sp800-53a prose: the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a plan for ongoing privacy assessments; links: - href: '#sa-11_smt.a' rel: assessment-for links: - href: '#sa-11_smt.a' rel: assessment-for - id: sa-11_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11b. class: sp800-53a prose: 'the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to perform {{ insert: param, sa-11_odp.01 }} testing/evaluation {{ insert: param, sa-11_odp.02 }} at {{ insert: param, sa-11_odp.03 }};' links: - href: '#sa-11_smt.b' rel: assessment-for - id: sa-11_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-11c. class: sp800-53a parts: - id: sa-11_obj.c-1 name: assessment-objective props: - name: label value: SA-11c.[01] class: sp800-53a prose: the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to produce evidence of the execution of the assessment plan; links: - href: '#sa-11_smt.c' rel: assessment-for - id: sa-11_obj.c-2 name: assessment-objective props: - name: label value: SA-11c.[02] class: sp800-53a prose: the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to produce the results of the testing and evaluation; links: - href: '#sa-11_smt.c' rel: assessment-for links: - href: '#sa-11_smt.c' rel: assessment-for - id: sa-11_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11d. class: sp800-53a prose: the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a verifiable flaw remediation process; links: - href: '#sa-11_smt.d' rel: assessment-for - id: sa-11_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11e. class: sp800-53a prose: the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to correct flaws identified during testing and evaluation. links: - href: '#sa-11_smt.e' rel: assessment-for links: - href: '#sa-11_smt' rel: assessment-for - id: sa-11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-11-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy system and services acquisition procedures procedures addressing system developer security and privacy testing procedures addressing flaw remediation solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service security and privacy architecture system design documentation system developer security and privacy assessment plans results of developer security and privacy assessments for the system, system component, or system service security and privacy flaw and remediation tracking records system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records' - id: sa-11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-11-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and service acquisition responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with developer security and privacy testing responsibilities system developers' - id: sa-11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-11-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for monitoring developer security testing and evaluation mechanisms supporting and/or implementing the monitoring of developer security and privacy testing and evaluation' controls: - id: sa-11.1 class: SP800-53-enhancement title: Static Code Analysis props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SA-11(01) class: zero-padded - name: label value: SA-11(1) - name: label value: SA-11(01) class: sp800-53a - name: sort-id value: sa-11.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#sa-11' rel: required parts: - id: sa-11.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Require the developer of the system, system component, or system service to employ static code analysis tools to identify common flaws and document the results of the analysis. - id: sa-11.1_gdn name: guidance prose: Static code analysis provides a technology and methodology for security reviews and includes checking for weaknesses in the code as well as for the incorporation of libraries or other included code with known vulnerabilities or that are out-of-date and not supported. Static code analysis can be used to identify vulnerabilities and enforce secure coding practices. It is most effective when used early in the development process, when each code change can automatically be scanned for potential weaknesses. Static code analysis can provide clear remediation guidance and identify defects for developers to fix. Evidence of the correct implementation of static analysis can include aggregate defect density for critical defect types, evidence that defects were inspected by developers or security professionals, and evidence that defects were remediated. A high density of ignored findings, commonly referred to as false positives, indicates a potential problem with the analysis process or the analysis tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources. - id: sa-11.1_fr name: item ns: http://fedramp.gov/ns/oscal title: SA-11(1) Additional FedRAMP Requirements parts: - id: sa-11.1_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: 'The service provider must document its methodology for reviewing newly developed code for the Service in its Continuous Monitoring Plan. If Static code analysis cannot be performed (for example, when the source code is not available), then dynamic code analysis must be performed (see SA-11 (8))' - id: sa-11.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11(01) class: sp800-53a parts: - id: sa-11.1_obj-1 name: assessment-objective props: - name: label value: SA-11(01)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to employ static code analysis tools to identify common flaws; links: - href: '#sa-11.1_smt' rel: assessment-for - id: sa-11.1_obj-2 name: assessment-objective props: - name: label value: SA-11(01)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to employ static code analysis tools to document the results of the analysis. links: - href: '#sa-11.1_smt' rel: assessment-for links: - href: '#sa-11.1_smt' rel: assessment-for - id: sa-11.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-11(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy system and services acquisition procedures procedures addressing system developer security testing procedures addressing flaw remediation solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service security and privacy architecture system design documentation system developer security and privacy assessment plans results of system developer security and privacy assessments security flaw and remediation tracking records system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records' - id: sa-11.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-11(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with developer security and privacy testing responsibilities organizational personnel with configuration management responsibilities system developers' - id: sa-11.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-11(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for monitoring developer security testing and evaluation mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation static code analysis tools' - id: sa-11.2 class: SP800-53-enhancement title: Threat Modeling and Vulnerability Analyses params: - id: sa-11.2_prm_3 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-11.02_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-11.02_odp.04 label: organization-defined breadth and depth of modeling and analyses - id: sa-11.2_prm_4 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-11.02_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-11.02_odp.06 label: organization-defined acceptance criteria - id: sa-11.02_odp.01 props: - name: alt-identifier value: sa-11.2_prm_1 - name: alt-label value: information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels class: sp800-53 - name: label value: SA-11(02)_ODP[01] class: sp800-53a label: information guidelines: - prose: information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels to be used as contextual information for threat modeling and vulnerability analyses is defined; - id: sa-11.02_odp.02 props: - name: alt-identifier value: sa-11.2_prm_2 - name: label value: SA-11(02)_ODP[02] class: sp800-53a label: tools and methods guidelines: - prose: the tools and methods to be employed for threat modeling and vulnerability analyses are defined; - id: sa-11.02_odp.03 props: - name: label value: SA-11(02)_ODP[03] class: sp800-53a label: breadth and depth guidelines: - prose: the breadth and depth of threat modeling to be conducted is defined; - id: sa-11.02_odp.04 props: - name: label value: SA-11(02)_ODP[04] class: sp800-53a label: breadth and depth guidelines: - prose: the breadth and depth of vulnerability analyses to be conducted is defined; - id: sa-11.02_odp.05 props: - name: label value: SA-11(02)_ODP[05] class: sp800-53a label: acceptance criteria guidelines: - prose: acceptance criteria to be met by produced evidence for threat modeling are defined; - id: sa-11.02_odp.06 props: - name: label value: SA-11(02)_ODP[06] class: sp800-53a label: acceptance criteria guidelines: - prose: acceptance criteria to be met by produced evidence for vulnerability analyses are defined; props: - name: label value: SA-11(02) class: zero-padded - name: label value: SA-11(2) - name: label value: SA-11(02) class: sp800-53a - name: sort-id value: sa-11.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#sa-11' rel: required - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-15 rel: related - href: '#ra-3' rel: related - href: '#ra-5' rel: related parts: - id: sa-11.2_smt name: statement prose: 'Require the developer of the system, system component, or system service to perform threat modeling and vulnerability analyses during development and the subsequent testing and evaluation of the system, component, or service that:' parts: - id: sa-11.2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Uses the following contextual information: {{ insert: param, sa-11.02_odp.01 }};' - id: sa-11.2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'Employs the following tools and methods: {{ insert: param, sa-11.02_odp.02 }};' - id: sa-11.2_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (c) prose: 'Conducts the modeling and analyses at the following level of rigor: {{ insert: param, sa-11.2_prm_3 }} ; and' - id: sa-11.2_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (d) prose: 'Produces evidence that meets the following acceptance criteria: {{ insert: param, sa-11.2_prm_4 }}.' - id: sa-11.2_gdn name: guidance prose: Systems, system components, and system services may deviate significantly from the functional and design specifications created during the requirements and design stages of the system development life cycle. Therefore, updates to threat modeling and vulnerability analyses of those systems, system components, and system services during development and prior to delivery are critical to the effective operation of those systems, components, and services. Threat modeling and vulnerability analyses at this stage of the system development life cycle ensure that design and implementation changes have been accounted for and that vulnerabilities created because of those changes have been reviewed and mitigated. - id: sa-11.2_obj name: assessment-objective props: - name: label value: SA-11(02) class: sp800-53a parts: - id: sa-11.2_obj.a name: assessment-objective props: - name: label value: SA-11(02)(a) class: sp800-53a parts: - id: sa-11.2_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11(02)(a)[01] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};' links: - href: '#sa-11.2_smt.a' rel: assessment-for - id: sa-11.2_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11(02)(a)[02] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};' links: - href: '#sa-11.2_smt.a' rel: assessment-for - id: sa-11.2_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11(02)(a)[03] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};' links: - href: '#sa-11.2_smt.a' rel: assessment-for - id: sa-11.2_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11(02)(a)[04] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};' links: - href: '#sa-11.2_smt.a' rel: assessment-for links: - href: '#sa-11.2_smt.a' rel: assessment-for - id: sa-11.2_obj.b name: assessment-objective props: - name: label value: SA-11(02)(b) class: sp800-53a parts: - id: sa-11.2_obj.b-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11(02)(b)[01] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};' links: - href: '#sa-11.2_smt.b' rel: assessment-for - id: sa-11.2_obj.b-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11(02)(b)[02] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};' links: - href: '#sa-11.2_smt.b' rel: assessment-for - id: sa-11.2_obj.b-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11(02)(b)[03] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};' links: - href: '#sa-11.2_smt.b' rel: assessment-for - id: sa-11.2_obj.b-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11(02)(b)[04] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};' links: - href: '#sa-11.2_smt.b' rel: assessment-for links: - href: '#sa-11.2_smt.b' rel: assessment-for - id: sa-11.2_obj.c name: assessment-objective props: - name: label value: SA-11(02)(c) class: sp800-53a parts: - id: sa-11.2_obj.c-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11(02)(c)[01] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform threat modeling at {{ insert: param, sa-11.02_odp.03 }} during development of the system, component, or service;' links: - href: '#sa-11.2_smt.c' rel: assessment-for - id: sa-11.2_obj.c-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-11(02)(c)[02] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that conducts modeling and analyses at {{ insert: param, sa-11.02_odp.04 }};' links: - href: '#sa-11.2_smt.c' rel: assessment-for links: - href: '#sa-11.2_smt.c' rel: assessment-for - id: sa-11.2_obj.d name: assessment-objective props: - name: label value: SA-11(02)(d) class: sp800-53a parts: - id: sa-11.2_obj.d-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-11(02)(d)[01] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.05 }};' links: - href: '#sa-11.2_smt.d' rel: assessment-for - id: sa-11.2_obj.d-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-11(02)(d)[02] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.05 }};' links: - href: '#sa-11.2_smt.d' rel: assessment-for - id: sa-11.2_obj.d-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-11(02)(d)[03] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.06 }};' links: - href: '#sa-11.2_smt.d' rel: assessment-for - id: sa-11.2_obj.d-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-11(02)(d)[04] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.06 }}.' links: - href: '#sa-11.2_smt.d' rel: assessment-for links: - href: '#sa-11.2_smt.d' rel: assessment-for links: - href: '#sa-11.2_smt' rel: assessment-for - id: sa-11.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-11(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy procedures addressing system developer security testing solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer security test plans records of developer security testing results for the system, system component, or system service vulnerability scanning results system risk assessment reports threat and vulnerability analysis reports system security plan supply chain risk management plan other relevant documents or records' - id: sa-11.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-11(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with developer security testing responsibilities system developers organizational personnel with supply chain risk management responsibilities' - id: sa-11.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-11(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for monitoring developer security testing and evaluation mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation' - id: sa-15 class: SP800-53 title: Development Process, Standards, and Tools params: - id: sa-15_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-15_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-15_odp.03 label: organization-defined security and privacy requirements - id: sa-15_odp.01 props: - name: alt-identifier value: sa-15_prm_1 - name: label value: SA-15_ODP[01] class: sp800-53a label: frequency constraints: - description: frequency as before first use and annually thereafter guidelines: - prose: frequency at which to review the development process, standards, tools, tool options, and tool configurations is defined; - id: sa-15_odp.02 props: - name: label value: SA-15_ODP[02] class: sp800-53a label: security requirements constraints: - description: FedRAMP Security Authorization requirements guidelines: - prose: security requirements to be satisfied by the process, standards, tools, tool options, and tool configurations are defined; - id: sa-15_odp.03 props: - name: label value: SA-15_ODP[03] class: sp800-53a label: privacy requirements guidelines: - prose: privacy requirements to be satisfied by the process, standards, tools, tool options, and tool configurations are defined; props: - name: label value: SA-15 class: zero-padded - name: label value: SA-15 - name: label value: SA-15 class: sp800-53a - name: sort-id value: sa-15 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#d4296805-2dca-4c63-a95f-eeccaa826aec' rel: reference - href: '#ma-6' rel: related - href: '#sa-3' rel: related - href: '#sa-4' rel: related - href: '#sa-8' rel: related - href: '#sa-10' rel: related - href: '#sa-11' rel: related - href: '#sr-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-4 rel: related - href: '#sr-5' rel: related - href: '#sr-6' rel: related - href: '#sr-9' rel: related parts: - id: sa-15_smt name: statement parts: - id: sa-15_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Require the developer of the system, system component, or system service to follow a documented development process that:' parts: - id: sa-15_smt.a.1 name: item props: - name: label value: '1.' prose: Explicitly addresses security and privacy requirements; - id: sa-15_smt.a.2 name: item props: - name: label value: '2.' prose: Identifies the standards and tools used in the development process; - id: sa-15_smt.a.3 name: item props: - name: label value: '3.' prose: Documents the specific tool options and tool configurations used in the development process; and - id: sa-15_smt.a.4 name: item props: - name: label value: '4.' prose: Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and - id: sa-15_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Review the development process, standards, tools, tool options, and tool configurations {{ insert: param, sa-15_odp.01 }} to determine if the process, standards, tools, tool options and tool configurations selected and employed can satisfy the following security and privacy requirements: {{ insert: param, sa-15_prm_2 }}.' - id: sa-15_gdn name: guidance prose: Development tools include programming languages and computer-aided design systems. Reviews of development processes include the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes facilitates effective supply chain risk assessment and mitigation. Such integrity requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. - id: sa-15_obj name: assessment-objective props: - name: label value: SA-15 class: sp800-53a parts: - id: sa-15_obj.a name: assessment-objective props: - name: label value: SA-15a. class: sp800-53a parts: - id: sa-15_obj.a.1 name: assessment-objective props: - name: label value: SA-15a.01 class: sp800-53a parts: - id: sa-15_obj.a.1-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-15a.01[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to follow a documented development process that explicitly addresses security requirements; links: - href: '#sa-15_smt.a.1' rel: assessment-for - id: sa-15_obj.a.1-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-15a.01[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to follow a documented development process that explicitly addresses privacy requirements; links: - href: '#sa-15_smt.a.1' rel: assessment-for links: - href: '#sa-15_smt.a.1' rel: assessment-for - id: sa-15_obj.a.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-15a.02 class: sp800-53a parts: - id: sa-15_obj.a.2-1 name: assessment-objective props: - name: label value: SA-15a.02[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to follow a documented development process that identifies the standards used in the development process; links: - href: '#sa-15_smt.a.2' rel: assessment-for - id: sa-15_obj.a.2-2 name: assessment-objective props: - name: label value: SA-15a.02[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to follow a documented development process that identifies the tools used in the development process; links: - href: '#sa-15_smt.a.2' rel: assessment-for links: - href: '#sa-15_smt.a.2' rel: assessment-for - id: sa-15_obj.a.3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-15a.03 class: sp800-53a parts: - id: sa-15_obj.a.3-1 name: assessment-objective props: - name: label value: SA-15a.03[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to follow a documented development process that documents the specific tool used in the development process; links: - href: '#sa-15_smt.a.3' rel: assessment-for - id: sa-15_obj.a.3-2 name: assessment-objective props: - name: label value: SA-15a.03[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to follow a documented development process that documents the specific tool configurations used in the development process; links: - href: '#sa-15_smt.a.3' rel: assessment-for links: - href: '#sa-15_smt.a.3' rel: assessment-for - id: sa-15_obj.a.4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-15a.04 class: sp800-53a prose: the developer of the system, system component, or system service is required to follow a documented development process that documents, manages, and ensures the integrity of changes to the process and/or tools used in development; links: - href: '#sa-15_smt.a.4' rel: assessment-for links: - href: '#sa-15_smt.a' rel: assessment-for - id: sa-15_obj.b name: assessment-objective props: - name: label value: SA-15b. class: sp800-53a parts: - id: sa-15_obj.b-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-15b.[01] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to follow a documented development process in which the development process, standards, tools, tool options, and tool configurations are reviewed {{ insert: param, sa-15_odp.01 }} to determine that the process, standards, tools, tool options, and tool configurations selected and employed satisfy {{ insert: param, sa-15_odp.02 }};' links: - href: '#sa-15_smt.b' rel: assessment-for - id: sa-15_obj.b-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-15b.[02] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to follow a documented development process in which the development process, standards, tools, tool options, and tool configurations are reviewed {{ insert: param, sa-15_odp.01 }} to determine that the process, standards, tools, tool options, and tool configurations selected and employed satisfy {{ insert: param, sa-15_odp.03 }}.' links: - href: '#sa-15_smt.b' rel: assessment-for links: - href: '#sa-15_smt.b' rel: assessment-for links: - href: '#sa-15_smt' rel: assessment-for - id: sa-15_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-15-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy system and services acquisition procedures procedures addressing development process, standards, and tools procedures addressing the integration of security and privacy requirements during the development process solicitation documentation acquisition documentation critical component inventory documentation service level agreements acquisition contracts for the system, system component, or system service system developer documentation listing tool options/configuration guides configuration management policy configuration management records documentation of development process reviews using maturity models change control records configuration control records documented reviews of the development process, standards, tools, and tool options/configurations system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records' - id: sa-15_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-15-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and service acquisition responsibilities organizational personnel with information security and privacy responsibilities system developer' controls: - id: sa-15.3 class: SP800-53-enhancement title: Criticality Analysis params: - id: sa-15.3_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-15.03_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-15.03_odp.03 label: organization-defined breadth and depth of criticality analysis - id: sa-15.03_odp.01 props: - name: alt-identifier value: sa-15.3_prm_1 - name: alt-label value: decision points in the system development life cycle class: sp800-53 - name: label value: SA-15(03)_ODP[01] class: sp800-53a label: decision points guidelines: - prose: decision points in the system development life cycle are defined; - id: sa-15.03_odp.02 props: - name: label value: SA-15(03)_ODP[02] class: sp800-53a label: breadth guidelines: - prose: the breadth of criticality analysis is defined; - id: sa-15.03_odp.03 props: - name: label value: SA-15(03)_ODP[03] class: sp800-53a label: depth guidelines: - prose: the depth of criticality analysis is defined; props: - name: label value: SA-15(03) class: zero-padded - name: label value: SA-15(3) - name: label value: SA-15(03) class: sp800-53a - name: sort-id value: sa-15.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#sa-15' rel: required - href: '#ra-9' rel: related parts: - id: sa-15.3_smt name: statement prose: 'Require the developer of the system, system component, or system service to perform a criticality analysis:' parts: - id: sa-15.3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'At the following decision points in the system development life cycle: {{ insert: param, sa-15.03_odp.01 }} ; and' - id: sa-15.3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'At the following level of rigor: {{ insert: param, sa-15.3_prm_2 }}.' - id: sa-15.3_gdn name: guidance prose: Criticality analysis performed by the developer provides input to the criticality analysis performed by organizations. Developer input is essential to organizational criticality analysis because organizations may not have access to detailed design documentation for system components that are developed as commercial off-the-shelf products. Such design documentation includes functional specifications, high-level designs, low-level designs, source code, and hardware schematics. Criticality analysis is important for organizational systems that are designated as high value assets. High value assets can be moderate- or high-impact systems due to heightened adversarial interest or potential adverse effects on the federal enterprise. Developer input is especially important when organizations conduct supply chain criticality analyses. - id: sa-15.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-15(03) class: sp800-53a parts: - id: sa-15.3_obj.a name: assessment-objective props: - name: label value: SA-15(03)(a) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform a criticality analysis at {{ insert: param, sa-15.03_odp.01 }} in the system development life cycle;' links: - href: '#sa-15.3_smt.a' rel: assessment-for - id: sa-15.3_obj.b name: assessment-objective props: - name: label value: SA-15(03)(b) class: sp800-53a parts: - id: sa-15.3_obj.b-1 name: assessment-objective props: - name: label value: SA-15(03)(b)[01] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform a criticality analysis at the following rigor level: {{ insert: param, sa-15.03_odp.02 }};' links: - href: '#sa-15.3_smt.b' rel: assessment-for - id: sa-15.3_obj.b-2 name: assessment-objective props: - name: label value: SA-15(03)(b)[02] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform a criticality analysis at the following rigor level: {{ insert: param, sa-15.03_odp.03 }} .' links: - href: '#sa-15.3_smt.b' rel: assessment-for links: - href: '#sa-15.3_smt.b' rel: assessment-for links: - href: '#sa-15.3_smt' rel: assessment-for - id: sa-15.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-15(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Supply chain risk management plan system and services acquisition policy procedures addressing development process, standards, and tools procedures addressing criticality analysis requirements for the system, system component, or system service solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service criticality analysis documentation business impact analysis documentation software development life cycle documentation system security plan other relevant documents or records' - id: sa-15.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-15(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel responsible for performing criticality analysis system developer organizational personnel with supply chain risk management responsibilities' - id: sa-15.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-15(03)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for performing criticality analysis mechanisms supporting and/or implementing criticality analysis' - id: sa-16 class: SP800-53 title: Developer-provided Training params: - id: sa-16_odp props: - name: alt-identifier value: sa-16_prm_1 - name: label value: SA-16_ODP class: sp800-53a label: training guidelines: - prose: training on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms provided by the developer of the system, system component, or system service is defined; props: - name: label value: SA-16 class: zero-padded - name: label value: SA-16 - name: label value: SA-16 class: sp800-53a - name: sort-id value: sa-16 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#pe-3' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related parts: - id: sa-16_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Require the developer of the system, system component, or system service to provide the following training on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms: {{ insert: param, sa-16_odp }}.' - id: sa-16_gdn name: guidance prose: Developer-provided training applies to external and internal (in-house) developers. Training personnel is essential to ensuring the effectiveness of the controls implemented within organizational systems. Types of training include web-based and computer-based training, classroom-style training, and hands-on training (including micro-training). Organizations can also request training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security and privacy functions, controls, and mechanisms. - id: sa-16_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-16 class: sp800-53a prose: 'the developer of the system, system component, or system service is required to provide {{ insert: param, sa-16_odp }} on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms.' links: - href: '#sa-16_smt' rel: assessment-for - id: sa-16_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-16-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy system and services acquisition procedures procedures addressing developer-provided training solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service organizational security and privacy training policy developer-provided training materials training records system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records' - id: sa-16_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-16-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and service acquisition responsibilities organizational personnel with information security and privacy responsibilities system developer external or internal (in-house) developers with training responsibilities for the system, system component, or information system service' - id: sa-17 class: SP800-53 title: Developer Security and Privacy Architecture and Design props: - name: label value: SA-17 class: zero-padded - name: label value: SA-17 - name: label value: SA-17 class: sp800-53a - name: sort-id value: sa-17 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#87087451-2af5-43d4-88c1-d66ad850f614' rel: reference - href: '#4452efc0-e79e-47b8-aa30-b54f3ef61c2f' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#pl-2' rel: related - href: '#pl-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-7 rel: related - href: '#sa-3' rel: related - href: '#sa-4' rel: related - href: '#sa-8' rel: related - href: '#sc-7' rel: related parts: - id: sa-17_smt name: statement prose: 'Require the developer of the system, system component, or system service to produce a design specification and security and privacy architecture that:' parts: - id: sa-17_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Is consistent with the organization’s security and privacy architecture that is an integral part the organization’s enterprise architecture; - id: sa-17_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Accurately and completely describes the required security and privacy functionality, and the allocation of controls among physical and logical components; and - id: sa-17_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Expresses how individual security and privacy functions, mechanisms, and services work together to provide required security and privacy capabilities and a unified approach to protection. - id: sa-17_gdn name: guidance prose: Developer security and privacy architecture and design are directed at external developers, although they could also be applied to internal (in-house) development. In contrast, [PL-8](#pl-8) is directed at internal developers to ensure that organizations develop a security and privacy architecture that is integrated with the enterprise architecture. The distinction between SA-17 and [PL-8](#pl-8) is especially important when organizations outsource the development of systems, system components, or system services and when there is a requirement to demonstrate consistency with the enterprise architecture and security and privacy architecture of the organization. [ISO 15408-2](#87087451-2af5-43d4-88c1-d66ad850f614), [ISO 15408-3](#4452efc0-e79e-47b8-aa30-b54f3ef61c2f) , and [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) provide information on security architecture and design, including formal policy models, security-relevant components, formal and informal correspondence, conceptually simple design, and structuring for least privilege and testing. - id: sa-17_obj name: assessment-objective props: - name: label value: SA-17 class: sp800-53a parts: - id: sa-17_obj.a name: assessment-objective props: - name: label value: SA-17(a) class: sp800-53a parts: - id: sa-17_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-17(a)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to produce a design specification and security architecture that are consistent with the organization’s security architecture, which is an integral part the organization’s enterprise architecture; links: - href: '#sa-17_smt.a' rel: assessment-for - id: sa-17_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-17(a)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that are consistent with the organization’s privacy architecture, which is an integral part the organization’s enterprise architecture; links: - href: '#sa-17_smt.a' rel: assessment-for links: - href: '#sa-17_smt.a' rel: assessment-for - id: sa-17_obj.b name: assessment-objective props: - name: label value: SA-17(b) class: sp800-53a parts: - id: sa-17_obj.b-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-17(b)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to produce a design specification and security architecture that accurately and completely describe the required security functionality and the allocation of controls among physical and logical components; links: - href: '#sa-17_smt.b' rel: assessment-for - id: sa-17_obj.b-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-17(b)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that accurately and completely describe the required privacy functionality and the allocation of controls among physical and logical components; links: - href: '#sa-17_smt.b' rel: assessment-for links: - href: '#sa-17_smt.b' rel: assessment-for - id: sa-17_obj.c name: assessment-objective props: - name: label value: SA-17(c) class: sp800-53a parts: - id: sa-17_obj.c-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-17(c)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to produce a design specification and security architecture that express how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection; links: - href: '#sa-17_smt.c' rel: assessment-for - id: sa-17_obj.c-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-17(c)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that express how individual privacy functions, mechanisms, and services work together to provide required privacy capabilities and a unified approach to protection. links: - href: '#sa-17_smt.c' rel: assessment-for links: - href: '#sa-17_smt.c' rel: assessment-for links: - href: '#sa-17_smt' rel: assessment-for - id: sa-17_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-17-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy system and services acquisition procedures enterprise architecture policy enterprise architecture documentation procedures addressing developer security and privacy architecture and design specifications for the system solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system design documentation information system configuration settings and associated documentation system security plan privacy plan other relevant documents or records' - id: sa-17_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-17-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with acquisition responsibilities organizational personnel with information security and privacy responsibilities system developer' - id: sa-21 class: SP800-53 title: Developer Screening params: - id: sa-21_odp.01 props: - name: alt-identifier value: sa-21_prm_1 - name: alt-label value: system, system component, or system service class: sp800-53 - name: label value: SA-21_ODP[01] class: sp800-53a label: system, systems component, or system service guidelines: - prose: the system, systems component, or system service that the developer has access to is/are defined; - id: sa-21_odp.02 props: - name: alt-identifier value: sa-21_prm_2 - name: label value: SA-21_ODP[02] class: sp800-53a label: official government duties guidelines: - prose: official government duties assigned to the developer are defined; - id: sa-21_odp.03 props: - name: alt-identifier value: sa-21_prm_3 - name: label value: SA-21_ODP[03] class: sp800-53a label: additional personnel screening criteria guidelines: - prose: additional personnel screening criteria for the developer are defined; props: - name: label value: SA-21 class: zero-padded - name: label value: SA-21 - name: label value: SA-21 class: sp800-53a - name: sort-id value: sa-21 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ps-2' rel: related - href: '#ps-3' rel: related - href: '#ps-6' rel: related - href: '#ps-7' rel: related - href: '#sa-4' rel: related - href: '#sr-6' rel: related parts: - id: sa-21_smt name: statement prose: 'Require that the developer of {{ insert: param, sa-21_odp.01 }}:' parts: - id: sa-21_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Has appropriate access authorizations as determined by assigned {{ insert: param, sa-21_odp.02 }} ; and' - id: sa-21_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Satisfies the following additional personnel screening criteria: {{ insert: param, sa-21_odp.03 }}.' - id: sa-21_gdn name: guidance prose: Developer screening is directed at external developers. Internal developer screening is addressed by [PS-3](#ps-3) . Because the system, system component, or system service may be used in critical activities essential to the national or economic security interests of the United States, organizations have a strong interest in ensuring that developers are trustworthy. The degree of trust required of developers may need to be consistent with that of the individuals who access the systems, system components, or system services once deployed. Authorization and personnel screening criteria include clearances, background checks, citizenship, and nationality. Developer trustworthiness may also include a review and analysis of company ownership and relationships that the company has with entities that may potentially affect the quality and reliability of the systems, components, or services being developed. Satisfying the required access authorizations and personnel screening criteria includes providing a list of all individuals who are authorized to perform development activities on the selected system, system component, or system service so that organizations can validate that the developer has satisfied the authorization and screening requirements. - id: sa-21_obj name: assessment-objective props: - name: label value: SA-21 class: sp800-53a parts: - id: sa-21_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-21a. class: sp800-53a prose: 'the developer of {{ insert: param, sa-21_odp.01 }} is required to have appropriate access authorizations as determined by assigned {{ insert: param, sa-21_odp.02 }};' links: - href: '#sa-21_smt.a' rel: assessment-for - id: sa-21_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-21b. class: sp800-53a prose: 'the developer of {{ insert: param, sa-21_odp.01 }} is required to satisfy {{ insert: param, sa-21_odp.03 }}.' links: - href: '#sa-21_smt.b' rel: assessment-for links: - href: '#sa-21_smt' rel: assessment-for - id: sa-21_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-21-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy personnel security policy and procedures procedures addressing personnel screening system design documentation acquisition documentation service level agreements acquisition contracts for developer services system configuration settings and associated documentation list of appropriate access authorizations required by the developers of the system personnel screening criteria and associated documentation system security plan supply chain risk management plan other relevant documents or records' - id: sa-21_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-21-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel responsible for developer screening' - id: sa-21_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-21-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for developer screening mechanisms supporting developer screening' - id: sa-22 class: SP800-53 title: Unsupported System Components params: - id: sa-22_odp.01 props: - name: alt-identifier value: sa-22_prm_1 - name: label value: SA-22_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - in-house support - '{{ insert: param, sa-22_odp.02 }}' - id: sa-22_odp.02 props: - name: alt-identifier value: sa-22_prm_2 - name: label value: SA-22_ODP[02] class: sp800-53a label: support from external providers guidelines: - prose: support from external providers is defined (if selected); props: - name: label value: SA-22 class: zero-padded - name: label value: SA-22 - name: label value: SA-22 class: sp800-53a - name: sort-id value: sa-22 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#pl-2' rel: related - href: '#sa-3' rel: related parts: - id: sa-22_smt name: statement parts: - id: sa-22_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Replace system components when support for the components is no longer available from the developer, vendor, or manufacturer; or - id: sa-22_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Provide the following options for alternative sources for continued support for unsupported components {{ insert: param, sa-22_odp.01 }}.' - id: sa-22_gdn name: guidance prose: 'Support for system components includes software patches, firmware updates, replacement parts, and maintenance contracts. An example of unsupported components includes when vendors no longer provide critical software patches or product updates, which can result in an opportunity for adversaries to exploit weaknesses in the installed components. Exceptions to replacing unsupported system components include systems that provide critical mission or business capabilities where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option. Alternative sources for support address the need to provide continued support for system components that are no longer supported by the original manufacturers, developers, or vendors when such components remain essential to organizational mission and business functions. If necessary, organizations can establish in-house support by developing customized patches for critical software components or, alternatively, obtain the services of external providers who provide ongoing support for the designated unsupported components through contractual relationships. Such contractual relationships can include open-source software value-added vendors. The increased risk of using unsupported system components can be mitigated, for example, by prohibiting the connection of such components to public or uncontrolled networks, or implementing other forms of isolation.' - id: sa-22_obj name: assessment-objective props: - name: label value: SA-22 class: sp800-53a parts: - id: sa-22_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SA-22a. class: sp800-53a prose: system components are replaced when support for the components is no longer available from the developer, vendor, or manufacturer; links: - href: '#sa-22_smt.a' rel: assessment-for - id: sa-22_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SA-22b. class: sp800-53a prose: '{{ insert: param, sa-22_odp.01 }} provide options for alternative sources for continued support for unsupported components.' links: - href: '#sa-22_smt.b' rel: assessment-for links: - href: '#sa-22_smt' rel: assessment-for - id: sa-22_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-22-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and services acquisition policy procedures addressing the replacement or continued use of unsupported system components documented evidence of replacing unsupported system components documented approvals (including justification) for the continued use of unsupported system components system security plan supply chain risk management plan other relevant documents or records' - id: sa-22_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-22-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with the responsibility for the system development life cycle organizational personnel responsible for component replacement' - id: sa-22_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-22-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for replacing unsupported system components mechanisms supporting and/or implementing the replacement of unsupported system components' - id: sc class: family title: System and Communications Protection controls: - id: sc-1 class: SP800-53 title: Policy and Procedures params: - id: sc-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sc-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sc-01_odp.02 label: organization-defined personnel or roles - id: sc-01_odp.01 props: - name: label value: SC-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the system and communications protection policy is to be disseminated is/are defined; - id: sc-01_odp.02 props: - name: label value: SC-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the system and communications protection procedures are to be disseminated is/are defined; - id: sc-01_odp.03 props: - name: alt-identifier value: sc-1_prm_2 - name: label value: SC-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business-process-level - system-level - id: sc-01_odp.04 props: - name: alt-identifier value: sc-1_prm_3 - name: label value: SC-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the system and communications protection policy and procedures is defined; - id: sc-01_odp.05 props: - name: alt-identifier value: sc-1_prm_4 - name: label value: SC-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current system and communications protection policy is reviewed and updated is defined; - id: sc-01_odp.06 props: - name: alt-identifier value: sc-1_prm_5 - name: label value: SC-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current system and communications protection policy to be reviewed and updated are defined; - id: sc-01_odp.07 props: - name: alt-identifier value: sc-1_prm_6 - name: label value: SC-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current system and communications protection procedures are reviewed and updated is defined; - id: sc-01_odp.08 props: - name: alt-identifier value: sc-1_prm_7 - name: label value: SC-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that would require the system and communications protection procedures to be reviewed and updated are defined; props: - name: label value: SC-01 class: zero-padded - name: label value: SC-1 - name: label value: SC-01 class: sp800-53a - name: sort-id value: sc-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ps-8' rel: related - href: '#sa-8' rel: related - href: '#si-12' rel: related parts: - id: sc-1_smt name: statement parts: - id: sc-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses System and Communications Protection MUST be associated with SC-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses System and Communications Protection MUST be associated with SC-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, sc-1_prm_1 }}:' parts: - id: sc-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, sc-01_odp.03 }} system and communications protection policy that:' parts: - id: sc-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: sc-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: sc-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the system and communications protection policy and the associated system and communications protection controls; - id: sc-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, sc-01_odp.04 }} to manage the development, documentation, and dissemination of the system and communications protection policy and procedures; and' - id: sc-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current system and communications protection:' parts: - id: sc-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, sc-01_odp.05 }} and following {{ insert: param, sc-01_odp.06 }} ; and' - id: sc-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, sc-01_odp.07 }} and following {{ insert: param, sc-01_odp.08 }}.' - id: sc-1_gdn name: guidance prose: System and communications protection policy and procedures address the controls in the SC family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and communications protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and communications protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: sc-1_obj name: assessment-objective props: - name: label value: SC-01 class: sp800-53a parts: - id: sc-1_obj.a name: assessment-objective props: - name: label value: SC-01a. class: sp800-53a parts: - id: sc-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-01a.[01] class: sp800-53a prose: a system and communications protection policy is developed and documented; links: - href: '#sc-1_smt.a' rel: assessment-for - id: sc-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-01a.[02] class: sp800-53a prose: 'the system and communications protection policy is disseminated to {{ insert: param, sc-01_odp.01 }};' links: - href: '#sc-1_smt.a' rel: assessment-for - id: sc-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SC-01a.[03] class: sp800-53a prose: system and communications protection procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls are developed and documented; links: - href: '#sc-1_smt.a' rel: assessment-for - id: sc-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SC-01a.[04] class: sp800-53a prose: 'the system and communications protection procedures are disseminated to {{ insert: param, sc-01_odp.02 }};' links: - href: '#sc-1_smt.a' rel: assessment-for - id: sc-1_obj.a.1 name: assessment-objective props: - name: label value: SC-01a.01 class: sp800-53a parts: - id: sc-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SC-01a.01(a) class: sp800-53a parts: - id: sc-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: SC-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses purpose;' links: - href: '#sc-1_smt.a.1.a' rel: assessment-for - id: sc-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: SC-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses scope;' links: - href: '#sc-1_smt.a.1.a' rel: assessment-for - id: sc-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: SC-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses roles;' links: - href: '#sc-1_smt.a.1.a' rel: assessment-for - id: sc-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: SC-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses responsibilities;' links: - href: '#sc-1_smt.a.1.a' rel: assessment-for - id: sc-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: SC-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses management commitment;' links: - href: '#sc-1_smt.a.1.a' rel: assessment-for - id: sc-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: SC-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses coordination among organizational entities;' links: - href: '#sc-1_smt.a.1.a' rel: assessment-for - id: sc-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: SC-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses compliance;' links: - href: '#sc-1_smt.a.1.a' rel: assessment-for links: - href: '#sc-1_smt.a.1.a' rel: assessment-for - id: sc-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SC-01a.01(b) class: sp800-53a prose: 'the {{ insert: param, sc-01_odp.03 }} system and communications protection policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;' links: - href: '#sc-1_smt.a.1.b' rel: assessment-for links: - href: '#sc-1_smt.a.1' rel: assessment-for links: - href: '#sc-1_smt.a' rel: assessment-for - id: sc-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-01b. class: sp800-53a prose: 'the {{ insert: param, sc-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the system and communications protection policy and procedures;' links: - href: '#sc-1_smt.b' rel: assessment-for - id: sc-1_obj.c name: assessment-objective props: - name: label value: SC-01c. class: sp800-53a parts: - id: sc-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-01c.01 class: sp800-53a parts: - id: sc-1_obj.c.1-1 name: assessment-objective props: - name: label value: SC-01c.01[01] class: sp800-53a prose: 'the current system and communications protection policy is reviewed and updated {{ insert: param, sc-01_odp.05 }};' links: - href: '#sc-1_smt.c.1' rel: assessment-for - id: sc-1_obj.c.1-2 name: assessment-objective props: - name: label value: SC-01c.01[02] class: sp800-53a prose: 'the current system and communications protection policy is reviewed and updated following {{ insert: param, sc-01_odp.06 }};' links: - href: '#sc-1_smt.c.1' rel: assessment-for links: - href: '#sc-1_smt.c.1' rel: assessment-for - id: sc-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-01c.02 class: sp800-53a parts: - id: sc-1_obj.c.2-1 name: assessment-objective props: - name: label value: SC-01c.02[01] class: sp800-53a prose: 'the current system and communications protection procedures are reviewed and updated {{ insert: param, sc-01_odp.07 }};' links: - href: '#sc-1_smt.c.2' rel: assessment-for - id: sc-1_obj.c.2-2 name: assessment-objective props: - name: label value: SC-01c.02[02] class: sp800-53a prose: 'the current system and communications protection procedures are reviewed and updated following {{ insert: param, sc-01_odp.08 }}.' links: - href: '#sc-1_smt.c.2' rel: assessment-for links: - href: '#sc-1_smt.c.2' rel: assessment-for links: - href: '#sc-1_smt.c' rel: assessment-for links: - href: '#sc-1_smt' rel: assessment-for - id: sc-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy system and communications protection procedures system security plan privacy plan risk management strategy documentation audit findings other relevant documents or records' - id: sc-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and communications protection responsibilities organizational personnel with information security and privacy responsibilities' - id: sc-2 class: SP800-53 title: Separation of System and User Functionality props: - name: label value: SC-02 class: zero-padded - name: label value: SC-2 - name: label value: SC-02 class: sp800-53a - name: sort-id value: sc-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ac-6' rel: related - href: '#sa-4' rel: related - href: '#sa-8' rel: related - href: '#sc-3' rel: related - href: '#sc-7' rel: related - href: '#sc-22' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-32 rel: related - href: '#sc-39' rel: related parts: - id: sc-2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Separate user functionality, including user interface services, from system management functionality. - id: sc-2_gdn name: guidance prose: System management functionality includes functions that are necessary to administer databases, network components, workstations, or servers. These functions typically require privileged user access. The separation of user functions from system management functions is physical or logical. Organizations may separate system management functions from user functions by using different computers, instances of operating systems, central processing units, or network addresses; by employing virtualization techniques; or some combination of these or other methods. Separation of system management functions from user functions includes web administrative interfaces that employ separate authentication methods for users of any other system resources. Separation of system and user functions may include isolating administrative interfaces on different domains and with additional access controls. The separation of system and user functionality can be achieved by applying the systems security engineering design principles in [SA-8](#sa-8) , including [SA-8(1)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-8.1), [SA-8(3)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-8.3), [SA-8(4)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-8.4), [SA-8(10)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-8.10), [SA-8(12)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-8.12), [SA-8(13)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-8.13), [SA-8(14)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-8.14) , and [SA-8(18)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-8.18). - id: sc-2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-02 class: sp800-53a prose: user functionality, including user interface services, is separated from system management functionality. links: - href: '#sc-2_smt' rel: assessment-for - id: sc-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing application partitioning system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer' - id: sc-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-02-Test class: sp800-53a parts: - name: assessment-objects prose: Separation of user functionality from system management functionality - id: sc-3 class: SP800-53 title: Security Function Isolation props: - name: label value: SC-03 class: zero-padded - name: label value: SC-3 - name: label value: SC-03 class: sp800-53a - name: sort-id value: sc-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#ac-3' rel: related - href: '#ac-6' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-25 rel: related - href: '#cm-2' rel: related - href: '#cm-4' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-15' rel: related - href: '#sa-17' rel: related - href: '#sc-2' rel: related - href: '#sc-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-32 rel: related - href: '#sc-39' rel: related - href: '#si-16' rel: related parts: - id: sc-3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Isolate security functions from nonsecurity functions. - id: sc-3_gdn name: guidance prose: Security functions are isolated from nonsecurity functions by means of an isolation boundary implemented within a system via partitions and domains. The isolation boundary controls access to and protects the integrity of the hardware, software, and firmware that perform system security functions. Systems implement code separation in many ways, such as 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 protect the code on disk and address space protections that protect executing code. Systems can restrict access to security functions using access control mechanisms and by implementing least privilege capabilities. While the ideal is for all code within the defined security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions as an exception. The isolation of security functions from nonsecurity functions can be achieved by applying the systems security engineering design principles in [SA-8](#sa-8) , including [SA-8(1)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-8.1), [SA-8(3)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-8.3), [SA-8(4)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-8.4), [SA-8(10)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-8.10), [SA-8(12)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-8.12), [SA-8(13)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-8.13), [SA-8(14)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-8.14) , and [SA-8(18)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-8.18). - id: sc-3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-03 class: sp800-53a prose: security functions are isolated from non-security functions. links: - href: '#sc-3_smt' rel: assessment-for - id: sc-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-03-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing security function isolation list of security functions to be isolated from non-security functions system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-03-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer' - id: sc-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-03-Test class: sp800-53a parts: - name: assessment-objects prose: Separation of security functions from non-security functions within the system - id: sc-4 class: SP800-53 title: Information in Shared System Resources props: - name: label value: SC-04 class: zero-padded - name: label value: SC-4 - name: label value: SC-04 class: sp800-53a - name: sort-id value: sc-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#sa-8' rel: related parts: - id: sc-4_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Prevent unauthorized and unintended information transfer via shared system resources. - id: sc-4_gdn name: guidance prose: Preventing unauthorized and unintended information transfer via shared system resources stops information produced by the actions of prior users or roles (or the actions of processes acting on behalf of prior users or roles) from being available to current users or roles (or current processes acting on behalf of current users or roles) that obtain access to shared system resources after those resources have been released back to the system. Information in shared system resources also applies to encrypted representations of information. In other contexts, control of information in shared system resources is referred to as object reuse and residual information protection. Information in shared system resources does not address information remanence, which refers to the residual representation of data that has been nominally deleted; covert channels (including storage and timing channels), where shared system resources are manipulated to violate information flow restrictions; or components within systems for which there are only single users or roles. - id: sc-4_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-04 class: sp800-53a parts: - id: sc-4_obj-1 name: assessment-objective props: - name: label value: SC-04[01] class: sp800-53a prose: unauthorized information transfer via shared system resources is prevented; links: - href: '#sc-4_smt' rel: assessment-for - id: sc-4_obj-2 name: assessment-objective props: - name: label value: SC-04[02] class: sp800-53a prose: unintended information transfer via shared system resources is prevented. links: - href: '#sc-4_smt' rel: assessment-for links: - href: '#sc-4_smt' rel: assessment-for - id: sc-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-04-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing information protection in shared system resources system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-04-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer' - id: sc-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-04-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms preventing the unauthorized and unintended transfer of information via shared system resources - id: sc-5 class: SP800-53 title: Denial-of-service Protection params: - id: sc-05_odp.01 props: - name: alt-identifier value: sc-5_prm_2 - name: label value: SC-05_ODP[01] class: sp800-53a label: types of denial-of-service events constraints: - description: 'at a minimum: ICMP (ping) flood, SYN flood, slowloris, buffer overflow attack, and volume attack' guidelines: - prose: types of denial-of-service events to be protected against or limited are defined; - id: sc-05_odp.02 props: - name: alt-identifier value: sc-5_prm_1 - name: label value: SC-05_ODP[02] class: sp800-53a constraints: - description: Protect against - id: sc-05_odp.03 props: - name: alt-identifier value: sc-5_prm_3 - name: label value: SC-05_ODP[03] class: sp800-53a label: controls by type of denial-of-service event guidelines: - prose: controls to achieve the denial-of-service objective by type of denial-of-service event are defined; props: - name: label value: SC-05 class: zero-padded - name: label value: SC-5 - name: label value: SC-05 class: sp800-53a - name: sort-id value: sc-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#f5edfe51-d1f2-422e-9b27-5d0e90b49c72' rel: reference - href: '#cp-2' rel: related - href: '#ir-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-6 rel: related - href: '#sc-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-40 rel: related parts: - id: sc-5_smt name: statement parts: - id: sc-5_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: '{{ insert: param, sc-05_odp.02 }} the effects of the following types of denial-of-service events: {{ insert: param, sc-05_odp.01 }} ; and' - id: sc-5_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Employ the following controls to achieve the denial-of-service objective: {{ insert: param, sc-05_odp.03 }}.' - id: sc-5_gdn name: guidance prose: Denial-of-service events may occur due to a variety of internal and external causes, such as an attack by an adversary or a lack of planning to support organizational needs with respect to capacity and bandwidth. Such attacks can occur across a wide range of network protocols (e.g., IPv4, IPv6). A variety of technologies are available to limit or eliminate the origination and effects of denial-of-service events. For example, boundary protection devices can filter certain types of packets to protect system components on internal networks from being directly affected by or the source of denial-of-service attacks. Employing increased network capacity and bandwidth combined with service redundancy also reduces the susceptibility to denial-of-service events. - id: sc-5_obj name: assessment-objective props: - name: label value: SC-05 class: sp800-53a parts: - id: sc-5_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-05a. class: sp800-53a prose: 'the effects of {{ insert: param, sc-05_odp.01 }} are {{ insert: param, sc-05_odp.02 }};' links: - href: '#sc-5_smt.a' rel: assessment-for - id: sc-5_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-05b. class: sp800-53a prose: '{{ insert: param, sc-05_odp.03 }} are employed to achieve the denial-of-service protection objective.' links: - href: '#sc-5_smt.b' rel: assessment-for links: - href: '#sc-5_smt' rel: assessment-for - id: sc-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-05-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing denial-of-service protection system design documentation list of denial-of-service attacks requiring employment of security safeguards to protect against or limit effects of such attacks list of security safeguards protecting against or limiting the effects of denial-of-service attacks system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-05-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel with incident response responsibilities system developer' - id: sc-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-05-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms protecting against or limiting the effects of denial-of-service attacks - id: sc-7 class: SP800-53 title: Boundary Protection params: - id: sc-07_odp props: - name: alt-identifier value: sc-7_prm_1 - name: label value: SC-07_ODP class: sp800-53a select: choice: - physically - logically props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SC-07 class: zero-padded - name: label value: SC-7 - name: label value: SC-07 class: sp800-53a - name: sort-id value: sc-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#a7f0e897-29a3-45c4-bd88-40dfef0e034a' rel: reference - href: '#d4d7c760-2907-403b-8b2a-767ca5370ecd' rel: reference - href: '#f5edfe51-d1f2-422e-9b27-5d0e90b49c72' rel: reference - href: '#ac-4' rel: related - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#ac-20' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-13 rel: related - href: '#ca-3' rel: related - href: '#cm-2' rel: related - href: '#cm-4' rel: related - href: '#cm-7' rel: related - href: '#cm-10' rel: related - href: '#cp-8' rel: related - href: '#cp-10' rel: related - href: '#ir-4' rel: related - href: '#ma-4' rel: related - href: '#pe-3' rel: related - href: '#pl-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-12 rel: related - href: '#sa-8' rel: related - href: '#sa-17' rel: related - href: '#sc-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-26 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-32 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-35 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-43 rel: related parts: - id: sc-7_smt name: statement parts: - id: sc-7_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Monitor and control communications at the external managed interfaces to the system and at key internal managed interfaces within the system; - id: sc-7_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Implement subnetworks for publicly accessible system components that are {{ insert: param, sc-07_odp }} separated from internal organizational networks; and' - id: sc-7_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Connect to external networks or systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture. - id: sc-7_gdn name: guidance prose: Managed interfaces include gateways, routers, firewalls, guards, network-based malicious code analysis, virtualization systems, or encrypted tunnels implemented within a security architecture. Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational systems includes restricting external web traffic to designated web servers within managed interfaces, prohibiting external traffic that appears to be spoofing internal addresses, and prohibiting internal traffic that appears to be spoofing external addresses. [SP 800-189](#f5edfe51-d1f2-422e-9b27-5d0e90b49c72) provides additional information on source address validation techniques to prevent ingress and egress of traffic with spoofed addresses. Commercial telecommunications services are provided by network components and consolidated management systems shared by customers. These services may also include third party-provided access lines and other service elements. Such services may represent sources of increased risk despite contract security provisions. Boundary protection may be implemented as a common control for all or part of an organizational network such that the boundary to be protected is greater than a system-specific boundary (i.e., an authorization boundary). - id: sc-7_fr name: item ns: http://fedramp.gov/ns/oscal title: SC-7 Additional FedRAMP Requirements and Guidance parts: - id: sc-7_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: '(b) Guidance:' prose: SC-7 (b) should be met by subnet isolation. A subnetwork (subnet) is a physically or logically segmented section of a larger network defined at TCP/IP Layer 3, to both minimize traffic and, important for a FedRAMP Authorization, add a crucial layer of network isolation. Subnets are distinct from VLANs (Layer 2), security groups, and VPCs and are specifically required to satisfy SC-7 part b and other controls. See the FedRAMP Subnets White Paper (https://www.fedramp.gov/assets/resources/documents/FedRAMP_subnets_white_paper.pdf) for additional information. - id: sc-7_obj name: assessment-objective props: - name: label value: SC-07 class: sp800-53a parts: - id: sc-7_obj.a name: assessment-objective props: - name: label value: SC-07a. class: sp800-53a parts: - id: sc-7_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-07a.[01] class: sp800-53a prose: communications at external managed interfaces to the system are monitored; links: - href: '#sc-7_smt.a' rel: assessment-for - id: sc-7_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-07a.[02] class: sp800-53a prose: communications at external managed interfaces to the system are controlled; links: - href: '#sc-7_smt.a' rel: assessment-for - id: sc-7_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-07a.[03] class: sp800-53a prose: communications at key internal managed interfaces within the system are monitored; links: - href: '#sc-7_smt.a' rel: assessment-for - id: sc-7_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-07a.[04] class: sp800-53a prose: communications at key internal managed interfaces within the system are controlled; links: - href: '#sc-7_smt.a' rel: assessment-for links: - href: '#sc-7_smt.a' rel: assessment-for - id: sc-7_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-07b. class: sp800-53a prose: 'subnetworks for publicly accessible system components are {{ insert: param, sc-07_odp }} separated from internal organizational networks;' links: - href: '#sc-7_smt.b' rel: assessment-for - id: sc-7_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-07c. class: sp800-53a prose: external networks or systems are only connected to through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture. links: - href: '#sc-7_smt.c' rel: assessment-for links: - href: '#sc-7_smt' rel: assessment-for - id: sc-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing boundary protection list of key internal boundaries of the system system design documentation boundary protection hardware and software system configuration settings and associated documentation enterprise security architecture documentation system audit records system security plan other relevant documents or records' - id: sc-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer organizational personnel with boundary protection responsibilities' - id: sc-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing boundary protection capabilities controls: - id: sc-7.3 class: SP800-53-enhancement title: Access Points props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SC-07(03) class: zero-padded - name: label value: SC-7(3) - name: label value: SC-07(03) class: sp800-53a - name: sort-id value: sc-07.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required parts: - id: sc-7.3_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Limit the number of external network connections to the system. - id: sc-7.3_gdn name: guidance prose: Limiting the number of external network connections facilitates monitoring of inbound and outbound communications traffic. The Trusted Internet Connection [DHS TIC](#4f42ee6e-86cc-403b-a51f-76c2b4f81b54) initiative is an example of a federal guideline that requires limits on the number of external network connections. Limiting the number of external network connections to the system is important during transition periods from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). Such transitions may require implementing the older and newer technologies simultaneously during the transition period and thus increase the number of access points to the system. - id: sc-7.3_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-07(03) class: sp800-53a prose: the number of external network connections to the system is limited. links: - href: '#sc-7.3_smt' rel: assessment-for - id: sc-7.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing boundary protection system design documentation boundary protection hardware and software system architecture and configuration documentation system configuration settings and associated documentation communications and network traffic monitoring logs system audit records system security plan other relevant documents or records' - id: sc-7.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel with boundary protection responsibilities' - id: sc-7.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(03)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Mechanisms implementing boundary protection capabilities mechanisms limiting the number of external network connections to the system' - id: sc-7.4 class: SP800-53-enhancement title: External Telecommunications Services params: - id: sc-07.04_odp props: - name: alt-identifier value: sc-7.4_prm_1 - name: label value: SC-07(04)_ODP class: sp800-53a label: frequency constraints: - description: at least every ninety (90) days or whenever there is a change in the threat environment that warrants a review of the exceptions guidelines: - prose: the frequency at which to review exceptions to traffic flow policy is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SC-07(04) class: zero-padded - name: label value: SC-7(4) - name: label value: SC-07(04) class: sp800-53a - name: sort-id value: sc-07.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#sc-7' rel: required - href: '#ac-3' rel: related - href: '#sc-8' rel: related - href: '#sc-20' rel: related - href: '#sc-21' rel: related - href: '#sc-22' rel: related parts: - id: sc-7.4_smt name: statement parts: - id: sc-7.4_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: Implement a managed interface for each external telecommunication service; - id: sc-7.4_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: Establish a traffic flow policy for each managed interface; - id: sc-7.4_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (c) prose: Protect the confidentiality and integrity of the information being transmitted across each interface; - id: sc-7.4_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (d) prose: Document each exception to the traffic flow policy with a supporting mission or business need and duration of that need; - id: sc-7.4_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (e) prose: 'Review exceptions to the traffic flow policy {{ insert: param, sc-07.04_odp }} and remove exceptions that are no longer supported by an explicit mission or business need;' - id: sc-7.4_smt.f name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (f) prose: Prevent unauthorized exchange of control plane traffic with external networks; - id: sc-7.4_smt.g name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (g) prose: Publish information to enable remote networks to detect unauthorized control plane traffic from internal networks; and - id: sc-7.4_smt.h name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (h) prose: Filter unauthorized control plane traffic from external networks. - id: sc-7.4_gdn name: guidance prose: External telecommunications services can provide data and/or voice communications services. Examples of control plane traffic include Border Gateway Protocol (BGP) routing, Domain Name System (DNS), and management protocols. See [SP 800-189](#f5edfe51-d1f2-422e-9b27-5d0e90b49c72) for additional information on the use of the resource public key infrastructure (RPKI) to protect BGP routes and detect unauthorized BGP announcements. - id: sc-7.4_obj name: assessment-objective props: - name: label value: SC-07(04) class: sp800-53a parts: - id: sc-7.4_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-07(04)(a) class: sp800-53a prose: a managed interface is implemented for each external telecommunication service; links: - href: '#sc-7.4_smt.a' rel: assessment-for - id: sc-7.4_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-07(04)(b) class: sp800-53a prose: a traffic flow policy is established for each managed interface; links: - href: '#sc-7.4_smt.b' rel: assessment-for - id: sc-7.4_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-07(04)(c) class: sp800-53a parts: - id: sc-7.4_obj.c-1 name: assessment-objective props: - name: label value: SC-07(04)(c)[01] class: sp800-53a prose: the confidentiality of the information being transmitted across each interface is protected; links: - href: '#sc-7.4_smt.c' rel: assessment-for - id: sc-7.4_obj.c-2 name: assessment-objective props: - name: label value: SC-07(04)(c)[02] class: sp800-53a prose: the integrity of the information being transmitted across each interface is protected; links: - href: '#sc-7.4_smt.c' rel: assessment-for links: - href: '#sc-7.4_smt.c' rel: assessment-for - id: sc-7.4_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-07(04)(d) class: sp800-53a prose: each exception to the traffic flow policy is documented with a supporting mission or business need and duration of that need; links: - href: '#sc-7.4_smt.d' rel: assessment-for - id: sc-7.4_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-07(04)(e) class: sp800-53a parts: - id: sc-7.4_obj.e-1 name: assessment-objective props: - name: label value: SC-07(04)(e)[01] class: sp800-53a prose: 'exceptions to the traffic flow policy are reviewed {{ insert: param, sc-07.04_odp }};' links: - href: '#sc-7.4_smt.e' rel: assessment-for - id: sc-7.4_obj.e-2 name: assessment-objective props: - name: label value: SC-07(04)(e)[02] class: sp800-53a prose: exceptions to the traffic flow policy that are no longer supported by an explicit mission or business need are removed; links: - href: '#sc-7.4_smt.e' rel: assessment-for links: - href: '#sc-7.4_smt.e' rel: assessment-for - id: sc-7.4_obj.f name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-07(04)(f) class: sp800-53a prose: unauthorized exchanges of control plan traffic with external networks are prevented; links: - href: '#sc-7.4_smt.f' rel: assessment-for - id: sc-7.4_obj.g name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-07(04)(g) class: sp800-53a prose: information is published to enable remote networks to detect unauthorized control plane traffic from internal networks; links: - href: '#sc-7.4_smt.g' rel: assessment-for - id: sc-7.4_obj.h name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-07(04)(h) class: sp800-53a prose: unauthorized control plane traffic is filtered from external networks. links: - href: '#sc-7.4_smt.h' rel: assessment-for links: - href: '#sc-7.4_smt' rel: assessment-for - id: sc-7.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy traffic flow policy information flow control policy procedures addressing boundary protection system security architecture system design documentation boundary protection hardware and software system architecture and configuration documentation system configuration settings and associated documentation records of traffic flow policy exceptions system audit records system security plan other relevant documents or records' - id: sc-7.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel with boundary protection responsibilities' - id: sc-7.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(04)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for documenting and reviewing exceptions to the traffic flow policy organizational processes for removing exceptions to the traffic flow policy mechanisms implementing boundary protection capabilities managed interfaces implementing traffic flow policy' - id: sc-7.5 class: SP800-53-enhancement title: Deny by Default — Allow by Exception params: - id: sc-07.05_odp.01 props: - name: alt-identifier value: sc-7.5_prm_1 - name: label value: SC-07(05)_ODP[01] class: sp800-53a constraints: - description: any systems - id: sc-07.05_odp.02 props: - name: alt-identifier value: sc-7.5_prm_2 - name: label value: SC-07(05)_ODP[02] class: sp800-53a label: systems guidelines: - prose: systems for which network communications traffic is denied by default and network communications traffic is allowed by exception are defined (if selected). props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SC-07(05) class: zero-padded - name: label value: SC-7(5) - name: label value: SC-07(05) class: sp800-53a - name: sort-id value: sc-07.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required parts: - id: sc-7.5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Deny network communications traffic by default and allow network communications traffic by exception {{ insert: param, sc-07.05_odp.01 }}.' - id: sc-7.5_gdn name: guidance prose: Denying by default and allowing by exception applies to inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those system connections that are essential and approved are allowed. Deny by default, allow by exception also applies to a system that is connected to an external system. - id: sc-7.5_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-07(05) class: sp800-53a parts: - id: sc-7.5_obj-1 name: assessment-objective props: - name: label value: SC-07(05)[01] class: sp800-53a prose: 'network communications traffic is denied by default {{ insert: param, sc-07.05_odp.01 }};' links: - href: '#sc-7.5_smt' rel: assessment-for - id: sc-7.5_obj-2 name: assessment-objective props: - name: label value: SC-07(05)[02] class: sp800-53a prose: 'network communications traffic is allowed by exception {{ insert: param, sc-07.05_odp.01 }}.' links: - href: '#sc-7.5_smt' rel: assessment-for links: - href: '#sc-7.5_smt' rel: assessment-for - id: sc-7.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing boundary protection system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-7.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer organizational personnel with boundary protection responsibilities' - id: sc-7.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing traffic management at managed interfaces - id: sc-7.7 class: SP800-53-enhancement title: Split Tunneling for Remote Devices params: - id: sc-07.07_odp props: - name: alt-identifier value: sc-7.7_prm_1 - name: label value: SC-07(07)_ODP class: sp800-53a label: safeguards guidelines: - prose: safeguards to securely provision split tunneling are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SC-07(07) class: zero-padded - name: label value: SC-7(7) - name: label value: SC-07(07) class: sp800-53a - name: sort-id value: sc-07.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required parts: - id: sc-7.7_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Prevent split tunneling for remote devices connecting to organizational systems unless the split tunnel is securely provisioned using {{ insert: param, sc-07.07_odp }}.' - id: sc-7.7_gdn name: guidance prose: Split tunneling is the process of allowing a remote user or device to establish a non-remote connection with a system and simultaneously communicate via some other connection to a resource in an external network. This method of network access enables a user to access remote devices and simultaneously, access uncontrolled networks. Split tunneling might be desirable by remote users to communicate with local system resources, such as printers or file servers. However, split tunneling can facilitate unauthorized external connections, making the system vulnerable to attack and to exfiltration of organizational information. Split tunneling can be prevented by disabling configuration settings that allow such capability in remote devices and by preventing those configuration settings from being configurable by users. Prevention can also be achieved by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. A virtual private network (VPN) can be used to securely provision a split tunnel. A securely provisioned VPN includes locking connectivity to exclusive, managed, and named environments, or to a specific set of pre-approved addresses, without user control. - id: sc-7.7_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-07(07) class: sp800-53a prose: 'split tunneling is prevented for remote devices connecting to organizational systems unless the split tunnel is securely provisioned using {{ insert: param, sc-07.07_odp }}.' links: - href: '#sc-7.7_smt' rel: assessment-for - id: sc-7.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-7.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer organizational personnel with boundary protection responsibilities' - id: sc-7.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(07)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Mechanisms implementing boundary protection capabilities mechanisms supporting/restricting non-remote connections' - id: sc-7.8 class: SP800-53-enhancement title: Route Traffic to Authenticated Proxy Servers params: - id: sc-07.08_odp.01 props: - name: alt-identifier value: sc-7.8_prm_1 - name: label value: SC-07(08)_ODP[01] class: sp800-53a label: internal communications traffic guidelines: - prose: internal communications traffic to be routed to external networks is defined; - id: sc-07.08_odp.02 props: - name: alt-identifier value: sc-7.8_prm_2 - name: label value: SC-07(08)_ODP[02] class: sp800-53a label: external networks constraints: - description: any network outside of organizational control and any network outside the authorization boundary guidelines: - prose: external networks to which internal communications traffic is to be routed are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SC-07(08) class: zero-padded - name: label value: SC-7(8) - name: label value: SC-07(08) class: sp800-53a - name: sort-id value: sc-07.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required - href: '#ac-3' rel: related parts: - id: sc-7.8_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Route {{ insert: param, sc-07.08_odp.01 }} to {{ insert: param, sc-07.08_odp.02 }} through authenticated proxy servers at managed interfaces.' - id: sc-7.8_gdn name: guidance prose: External networks are networks outside of organizational control. A proxy server is a server (i.e., system or application) that acts as an intermediary for clients requesting system resources from non-organizational or other organizational servers. System resources that may be requested include files, connections, web pages, or services. Client requests established through a connection to a proxy server are assessed to manage complexity and provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers that provide access to the Internet. Proxy servers can support the logging of Transmission Control Protocol sessions and the blocking of specific Uniform Resource Locators, Internet Protocol addresses, and domain names. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites. Note that proxy servers may inhibit the use of virtual private networks (VPNs) and create the potential for "man-in-the-middle" attacks (depending on the implementation). - id: sc-7.8_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-07(08) class: sp800-53a prose: '{{ insert: param, sc-07.08_odp.01 }} is routed to {{ insert: param, sc-07.08_odp.02 }} through authenticated proxy servers at managed interfaces.' links: - href: '#sc-7.8_smt' rel: assessment-for - id: sc-7.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-7.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer organizational personnel with boundary protection responsibilities' - id: sc-7.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(08)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing traffic management through authenticated proxy servers at managed interfaces - id: sc-7.10 class: SP800-53-enhancement title: Prevent Exfiltration params: - id: sc-07.10_odp props: - name: alt-identifier value: sc-7.10_prm_1 - name: label value: SC-07(10)_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency for conducting exfiltration tests is defined; props: - name: label value: SC-07(10) class: zero-padded - name: label value: SC-7(10) - name: label value: SC-07(10) class: sp800-53a - name: sort-id value: sc-07.10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required - href: '#ac-2' rel: related - href: '#ca-8' rel: related - href: '#si-3' rel: related parts: - id: sc-7.10_smt name: statement parts: - id: sc-7.10_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: Prevent the exfiltration of information; and - id: sc-7.10_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'Conduct exfiltration tests {{ insert: param, sc-07.10_odp }}.' - id: sc-7.10_gdn name: guidance prose: Prevention of exfiltration applies to both the intentional and unintentional exfiltration of information. Techniques used to prevent the exfiltration of information from systems may be implemented at internal endpoints, external boundaries, and across managed interfaces and include adherence to protocol formats, monitoring for beaconing activity from systems, disconnecting external network interfaces except when explicitly needed, employing traffic profile analysis to detect deviations from the volume and types of traffic expected, call backs to command and control centers, conducting penetration testing, monitoring for steganography, disassembling and reassembling packet headers, and using data loss and data leakage prevention tools. Devices that enforce strict adherence to protocol formats include deep packet inspection firewalls and Extensible Markup Language (XML) gateways. The devices verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices that operate at the network or transport layers. The prevention of exfiltration is similar to data loss prevention or data leakage prevention and is closely associated with cross-domain solutions and system guards that enforce information flow requirements. - id: sc-7.10_obj name: assessment-objective props: - name: label value: SC-07(10) class: sp800-53a parts: - id: sc-7.10_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-07(10)(a) class: sp800-53a prose: the exfiltration of information is prevented; links: - href: '#sc-7.10_smt.a' rel: assessment-for - id: sc-7.10_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-07(10)(b) class: sp800-53a prose: 'exfiltration tests are conducted {{ insert: param, sc-07.10_odp }}.' links: - href: '#sc-7.10_smt.b' rel: assessment-for links: - href: '#sc-7.10_smt' rel: assessment-for - id: sc-7.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(10)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing boundary protection system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-7.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(10)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel with boundary protection responsibilities' - id: sc-7.10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(10)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing boundary protection capabilities that prevent the unauthorized exfiltration of information across managed interfaces - id: sc-7.12 class: SP800-53-enhancement title: Host-based Protection params: - id: sc-07.12_odp.01 props: - name: alt-identifier value: sc-7.12_prm_1 - name: label value: SC-07(12)_ODP[01] class: sp800-53a label: host-based boundary protection mechanisms constraints: - description: Host Intrusion Prevention System (HIPS), Host Intrusion Detection System (HIDS), or minimally a host-based firewall guidelines: - prose: host-based boundary protection mechanisms to be implemented are defined; - id: sc-07.12_odp.02 props: - name: alt-identifier value: sc-7.12_prm_2 - name: label value: SC-07(12)_ODP[02] class: sp800-53a label: system components guidelines: - prose: system components where host-based boundary protection mechanisms are to be implemented are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SC-07(12) class: zero-padded - name: label value: SC-7(12) - name: label value: SC-07(12) class: sp800-53a - name: sort-id value: sc-07.12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required parts: - id: sc-7.12_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Implement {{ insert: param, sc-07.12_odp.01 }} at {{ insert: param, sc-07.12_odp.02 }}.' - id: sc-7.12_gdn name: guidance prose: Host-based boundary protection mechanisms include host-based firewalls. System components that employ host-based boundary protection mechanisms include servers, workstations, notebook computers, and mobile devices. - id: sc-7.12_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-07(12) class: sp800-53a prose: '{{ insert: param, sc-07.12_odp.01 }} are implemented at {{ insert: param, sc-07.12_odp.02 }}.' links: - href: '#sc-7.12_smt' rel: assessment-for - id: sc-7.12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(12)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing boundary protection system design documentation boundary protection hardware and software system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-7.12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(12)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel with boundary protection responsibilities system users' - id: sc-7.12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(12)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing host-based boundary protection capabilities - id: sc-7.18 class: SP800-53-enhancement title: Fail Secure props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SC-07(18) class: zero-padded - name: label value: SC-7(18) - name: label value: SC-07(18) class: sp800-53a - name: sort-id value: sc-07.18 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#sc-7' rel: required - href: '#cp-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cp-12 rel: related - href: '#sc-24' rel: related parts: - id: sc-7.18_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Prevent systems from entering unsecure states in the event of an operational failure of a boundary protection device. - id: sc-7.18_gdn name: guidance prose: Fail secure is a condition achieved by employing mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces, systems do not enter into unsecure states where intended security properties no longer hold. Managed interfaces include routers, firewalls, and application gateways that reside on protected subnetworks (commonly referred to as demilitarized zones). Failures of boundary protection devices cannot lead to or cause information external to the devices to enter the devices nor can failures permit unauthorized information releases. - id: sc-7.18_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-07(18) class: sp800-53a prose: systems are prevented from entering unsecure states in the event of an operational failure of a boundary protection device. links: - href: '#sc-7.18_smt' rel: assessment-for - id: sc-7.18_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(18)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing boundary protection system design documentation system architecture system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-7.18_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(18)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer organizational personnel with boundary protection responsibilities' - id: sc-7.18_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(18)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing secure failure - id: sc-7.20 class: SP800-53-enhancement title: Dynamic Isolation and Segregation params: - id: sc-07.20_odp props: - name: alt-identifier value: sc-7.20_prm_1 - name: label value: SC-07(20)_ODP class: sp800-53a label: system components guidelines: - prose: system components to be dynamically isolated from other system components are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SC-07(20) class: zero-padded - name: label value: SC-7(20) - name: label value: SC-07(20) class: sp800-53a - name: sort-id value: sc-07.20 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required parts: - id: sc-7.20_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Provide the capability to dynamically isolate {{ insert: param, sc-07.20_odp }} from other system components.' - id: sc-7.20_gdn name: guidance prose: The capability to dynamically isolate certain internal system components is useful when it is necessary to partition or separate system components of questionable origin from components that possess greater trustworthiness. Component isolation reduces the attack surface of organizational systems. Isolating selected system components can also limit the damage from successful attacks when such attacks occur. - id: sc-7.20_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-07(20) class: sp800-53a prose: 'the capability to dynamically isolate {{ insert: param, sc-07.20_odp }} from other system components is provided.' links: - href: '#sc-7.20_smt' rel: assessment-for - id: sc-7.20_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(20)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation list of system components to be dynamically isolated/segregated from other components of the system system audit records system security plan other relevant documents or records' - id: sc-7.20_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(20)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer organizational personnel with boundary protection responsibilities' - id: sc-7.20_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(20)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the capability to dynamically isolate/segregate system components - id: sc-7.21 class: SP800-53-enhancement title: Isolation of System Components params: - id: sc-07.21_odp.01 props: - name: alt-identifier value: sc-7.21_prm_1 - name: label value: SC-07(21)_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components to be isolated by boundary protection mechanisms are defined; - id: sc-07.21_odp.02 props: - name: alt-identifier value: sc-7.21_prm_2 - name: label value: SC-07(21)_ODP[02] class: sp800-53a label: missions and/or business functions guidelines: - prose: missions and/or business functions to be supported by system components isolated by boundary protection mechanisms are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SC-07(21) class: zero-padded - name: label value: SC-7(21) - name: label value: SC-07(21) class: sp800-53a - name: sort-id value: sc-07.21 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#sc-7' rel: required - href: '#ca-9' rel: related parts: - id: sc-7.21_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Employ boundary protection mechanisms to isolate {{ insert: param, sc-07.21_odp.01 }} supporting {{ insert: param, sc-07.21_odp.02 }}.' - id: sc-7.21_gdn name: guidance prose: Organizations can isolate system components that perform different mission or business functions. Such isolation limits unauthorized information flows among system components and provides the opportunity to deploy greater levels of protection for selected system components. Isolating system components with boundary protection mechanisms provides the capability for increased protection of individual system components and to more effectively control information flows between those components. Isolating system components provides enhanced protection that limits the potential harm from hostile cyber-attacks and errors. The degree of isolation varies depending upon the mechanisms chosen. Boundary protection mechanisms include routers, gateways, and firewalls that separate system components into physically separate networks or subnetworks; cross-domain devices that separate subnetworks; virtualization techniques; and the encryption of information flows among system components using distinct encryption keys. - id: sc-7.21_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-07(21) class: sp800-53a prose: 'boundary protection mechanisms are employed to isolate {{ insert: param, sc-07.21_odp.01 }} supporting {{ insert: param, sc-07.21_odp.02 }}.' links: - href: '#sc-7.21_smt' rel: assessment-for - id: sc-7.21_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(21)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software enterprise architecture documentation system architecture system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-7.21_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(21)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel with boundary protection responsibilities' - id: sc-7.21_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(21)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the capability to separate system components supporting organizational missions and/or business functions - id: sc-8 class: SP800-53 title: Transmission Confidentiality and Integrity params: - id: sc-08_odp props: - name: alt-identifier value: sc-8_prm_1 - name: label value: SC-08_ODP class: sp800-53a constraints: - description: confidentiality AND integrity props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SC-08 class: zero-padded - name: label value: SC-8 - name: label value: SC-08 class: sp800-53a - name: sort-id value: sc-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#736d6310-e403-4b57-a79d-9967970c66d7' rel: reference - href: '#7537638e-2837-407d-844b-40fb3fafdd99' rel: reference - href: '#d4d7c760-2907-403b-8b2a-767ca5370ecd' rel: reference - href: '#fe209006-bfd4-4033-a79a-9fee1adaf372' rel: reference - href: '#6bc4d137-aece-42a8-8081-9ecb1ebe9fb4' rel: reference - href: '#1c71b420-2bd9-4e52-9fc8-390f58b85b59' rel: reference - href: '#4c501da5-9d79-4cb6-ba80-97260e1ce327' rel: reference - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#au-10' rel: related - href: '#ia-3' rel: related - href: '#ia-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-9 rel: related - href: '#ma-4' rel: related - href: '#pe-4' rel: related - href: '#sa-4' rel: related - href: '#sa-8' rel: related - href: '#sc-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-16 rel: related - href: '#sc-20' rel: related - href: '#sc-23' rel: related - href: '#sc-28' rel: related parts: - id: sc-8_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Protect the {{ insert: param, sc-08_odp }} of transmitted information.' - id: sc-8_gdn name: guidance prose: 'Protecting the confidentiality and integrity of transmitted information applies to internal and external networks as well as any system components that can transmit information, including servers, notebook computers, desktop computers, mobile devices, printers, copiers, scanners, facsimile machines, and radios. Unprotected communication paths are exposed to the possibility of interception and modification. Protecting the confidentiality and integrity of information can be accomplished by physical or logical means. Physical protection can be achieved by using protected distribution systems. A protected distribution system is a wireline or fiber-optics telecommunications system that includes terminals and adequate electromagnetic, acoustical, electrical, and physical controls to permit its use for the unencrypted transmission of classified information. Logical protection can be achieved by employing encryption techniques. Organizations that rely on commercial providers who offer transmission services as commodity services rather than as fully dedicated services may find it difficult to obtain the necessary assurances regarding the implementation of needed controls for transmission confidentiality and integrity. In such situations, organizations determine what types of confidentiality or integrity services are available in standard, commercial telecommunications service packages. If it is not feasible to obtain the necessary controls and assurances of control effectiveness through appropriate contracting vehicles, organizations can implement appropriate compensating controls.' - id: sc-8_fr name: item ns: http://fedramp.gov/ns/oscal title: SC-8 Additional FedRAMP Requirements and Guidance parts: - id: sc-8_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'For each instance of data in transit, confidentiality AND integrity should be through cryptography as specified in SC-8 (1), physical means as specified in SC-8 (5), or in combination. For clarity, this control applies to all data in transit. Examples include the following data flows: - Crossing the system boundary - Between compute instances - including containers - From a compute instance to storage - Replication between availability zones - Transmission of backups to storage - From a load balancer to a compute instance - Flows from management tools required for their work - e.g. log collection, scanning, etc. The following applies only when choosing SC-8 (5) in lieu of SC-8 (1). FedRAMP-Defined Assignment / Selection Parameters SC-8 (5)-1 \[a hardened or alarmed carrier Protective Distribution System (PDS) when outside of Controlled Access Area (CAA)\] SC-8 (5)-2 \[prevent unauthorized disclosure of information AND detect changes to information\]' - id: sc-8_fr_gdn.2 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'SC-8 (5) applies when physical protection has been selected as the method to protect confidentiality and integrity. For physical protection, data in transit must be in either a Controlled Access Area (CAA), or a Hardened or alarmed PDS. Hardened or alarmed PDS: Shall be as defined in SECTION X - CATEGORY 2 PDS INSTALLATION GUIDANCE of CNSSI No.7003, titled PROTECTED DISTRIBUTION SYSTEMS (PDS). Per the CNSSI No. 7003 Section VIII, PDS must originate and terminate in a Controlled Access Area (CAA). Controlled Access Area (CAA): Data will be considered physically protected, and in a CAA if it meets Section 2.3 of the DHS''s Recommended Practice: Improving Industrial Control System Cybersecurity with Defense-in-Depth Strategies. CSPs can meet Section 2.3 of the DHS'' recommended practice by satisfactory implementation of the following controls PE-2 (1), PE-2 (2), PE-2 (3), PE-3 (2), PE-3 (3), PE-6 (2), and PE-6 (3). Note: When selecting SC-8 (5), the above SC-8(5), and the above referenced PE controls must be added to the SSP. CNSSI No.7003 can be accessed here: https://www.dcsa.mil/Portals/91/documents/ctp/nao/CNSSI_7003_PDS_September_2015.pdf DHS Recommended Practice: Improving Industrial Control System Cybersecurity with Defense-in-Depth Strategies can be accessed here: https://us-cert.cisa.gov/sites/default/files/FactSheets/NCCIC%20ICS_FactSheet_Defense_in_Depth_Strategies_S508C.pdf' - id: sc-8_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-08 class: sp800-53a prose: 'the {{ insert: param, sc-08_odp }} of transmitted information is/are protected.' links: - href: '#sc-8_smt' rel: assessment-for - id: sc-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-08-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing transmission confidentiality and integrity system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-08-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer' - id: sc-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-08-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing transmission confidentiality and/or integrity controls: - id: sc-8.1 class: SP800-53-enhancement title: Cryptographic Protection params: - id: sc-08.01_odp props: - name: alt-identifier value: sc-8.1_prm_1 - name: label value: SC-08(01)_ODP class: sp800-53a constraints: - description: prevent unauthorized disclosure of information AND detect changes to information props: - name: label value: SC-08(01) class: zero-padded - name: label value: SC-8(1) - name: label value: SC-08(01) class: sp800-53a - name: sort-id value: sc-08.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-8' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: sc-8.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Implement cryptographic mechanisms to {{ insert: param, sc-08.01_odp }} during transmission.' - id: sc-8.1_gdn name: guidance prose: Encryption protects information from unauthorized disclosure and modification during transmission. Cryptographic mechanisms that protect the confidentiality and integrity of information during transmission include TLS and IPSec. Cryptographic mechanisms used to protect information integrity include cryptographic hash functions that have applications in digital signatures, checksums, and message authentication codes. - id: sc-8.1_fr name: item ns: http://fedramp.gov/ns/oscal title: SC-8 (1) Additional FedRAMP Requirements and Guidance parts: - id: sc-8.1_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Please ensure SSP Section 10.3 Cryptographic Modules Implemented for Data At Rest (DAR) and Data In Transit (DIT) is fully populated for reference in this control. - id: sc-8.1_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'See M-22-09, including "Agencies encrypt all DNS requests and HTTP traffic within their environment" SC-8 (1) applies when encryption has been selected as the method to protect confidentiality and integrity. Otherwise refer to SC-8 (5). SC-8 (1) is strongly encouraged.' - id: sc-8.1_fr_gdn.2 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Note that this enhancement requires the use of cryptography which must be compliant with Federal requirements and utilize FIPS validated or NSA approved cryptography (see SC-13.) - id: sc-8.1_fr_gdn.3 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'When leveraging encryption from the underlying IaaS/PaaS: While some IaaS/PaaS services provide encryption by default, many require encryption to be configured, and enabled by the customer. The CSP has the responsibility to verify encryption is properly configured.' - id: sc-8.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-08(01) class: sp800-53a prose: 'cryptographic mechanisms are implemented to {{ insert: param, sc-08.01_odp }} during transmission.' links: - href: '#sc-8.1_smt' rel: assessment-for - id: sc-8.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-08(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing transmission confidentiality and integrity system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-8.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-08(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer' - id: sc-8.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-08(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity mechanisms supporting and/or implementing alternative physical safeguards organizational processes for defining and implementing alternative physical safeguards' - id: sc-10 class: SP800-53 title: Network Disconnect params: - id: sc-10_odp props: - name: alt-identifier value: sc-10_prm_1 - name: label value: SC-10_ODP class: sp800-53a label: time period constraints: - description: no longer than ten (10) minutes for privileged sessions and no longer than fifteen (15) minutes for user sessions guidelines: - prose: a time period of inactivity after which the system terminates a network connection associated with a communication session is defined; props: - name: label value: SC-10 class: zero-padded - name: label value: SC-10 - name: label value: SC-10 class: sp800-53a - name: sort-id value: sc-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-17' rel: related - href: '#sc-23' rel: related parts: - id: sc-10_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Terminate the network connection associated with a communications session at the end of the session or after {{ insert: param, sc-10_odp }} of inactivity.' - id: sc-10_gdn name: guidance prose: Network disconnect applies to internal and external networks. Terminating network connections associated with specific communications sessions includes de-allocating TCP/IP address or port pairs at the operating system level and de-allocating the networking assignments at the application level if multiple application sessions are using a single operating system-level network connection. Periods of inactivity may be established by organizations and include time periods by type of network access or for specific network accesses. - id: sc-10_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-10 class: sp800-53a prose: 'the network connection associated with a communication session is terminated at the end of the session or after {{ insert: param, sc-10_odp }} of inactivity.' links: - href: '#sc-10_smt' rel: assessment-for - id: sc-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-10-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing network disconnect system design documentation security plan system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-10-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer' - id: sc-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-10-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing a network disconnect capability - id: sc-12 class: SP800-53 title: Cryptographic Key Establishment and Management params: - id: sc-12_odp props: - name: alt-identifier value: sc-12_prm_1 - name: alt-label value: requirements for key generation, distribution, storage, access, and destruction class: sp800-53 - name: label value: SC-12_ODP class: sp800-53a label: requirements constraints: - description: In accordance with Federal requirements guidelines: - prose: requirements for key generation, distribution, storage, access, and destruction are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SC-12 class: zero-padded - name: label value: SC-12 - name: label value: SC-12 class: sp800-53a - name: sort-id value: sc-12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#20957dbb-6a1e-40a2-b38a-66f67d33ac2e' rel: reference - href: '#0d083d8a-5cc6-46f1-8d79-3081d42bcb75' rel: reference - href: '#eef62b16-c796-4554-955c-505824135b8a' rel: reference - href: '#110e26af-4765-49e1-8740-6750f83fcda1' rel: reference - href: '#e7942589-e267-4a5a-a3d9-f39a7aae81f0' rel: reference - href: '#8306620b-1920-4d73-8b21-12008528595f' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#849b2358-683f-4d97-b111-1cc3d522ded5' rel: reference - href: '#3915a084-b87b-4f02-83d4-c369e746292f' rel: reference - href: '#ac-17' rel: related - href: '#au-9' rel: related - href: '#au-10' rel: related - href: '#cm-3' rel: related - href: '#ia-3' rel: related - href: '#ia-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-13 rel: related - href: '#sa-4' rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: '#sc-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-11 rel: related - href: '#sc-13' rel: related - href: '#sc-17' rel: related - href: '#sc-20' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-37 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-40 rel: related - href: '#si-3' rel: related - href: '#si-7' rel: related parts: - id: sc-12_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Establish and manage cryptographic keys when cryptography is employed within the system in accordance with the following key management requirements: {{ insert: param, sc-12_odp }}.' - id: sc-12_gdn name: guidance prose: Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines and specify appropriate options, parameters, and levels. Organizations manage trust stores to ensure that only approved trust anchors are part of such trust stores. This includes certificates with visibility external to organizational systems and certificates related to the internal operations of systems. [NIST CMVP](#1acdc775-aafb-4d11-9341-dc6a822e9d38) and [NIST CAVP](#84dc1b0c-acb7-4269-84c4-00dbabacd78c) provide additional information on validated cryptographic modules and algorithms that can be used in cryptographic key management and establishment. - id: sc-12_fr name: item ns: http://fedramp.gov/ns/oscal title: SC-12 Additional FedRAMP Requirements and Guidance parts: - id: sc-12_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: See references in NIST 800-53 documentation. - id: sc-12_fr_gdn.2 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Must meet applicable Federal Cryptographic Requirements. See References Section of control. - id: sc-12_fr_gdn.3 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Wildcard certificates may be used internally within the system, but are not permitted for external customer access to the system. - id: sc-12_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-12 class: sp800-53a parts: - id: sc-12_obj-1 name: assessment-objective props: - name: label value: SC-12[01] class: sp800-53a prose: 'cryptographic keys are established when cryptography is employed within the system in accordance with {{ insert: param, sc-12_odp }};' links: - href: '#sc-12_smt' rel: assessment-for - id: sc-12_obj-2 name: assessment-objective props: - name: label value: SC-12[02] class: sp800-53a prose: 'cryptographic keys are managed when cryptography is employed within the system in accordance with {{ insert: param, sc-12_odp }}.' links: - href: '#sc-12_smt' rel: assessment-for links: - href: '#sc-12_smt' rel: assessment-for - id: sc-12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-12-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing cryptographic key establishment and management system design documentation cryptographic mechanisms system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-12-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel with responsibilities for cryptographic key establishment and/or management' - id: sc-12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-12-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing cryptographic key establishment and management controls: - id: sc-12.1 class: SP800-53-enhancement title: Availability props: - name: label value: SC-12(01) class: zero-padded - name: label value: SC-12(1) - name: label value: SC-12(01) class: sp800-53a - name: sort-id value: sc-12.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-12' rel: required parts: - id: sc-12.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Maintain availability of information in the event of the loss of cryptographic keys by users. - id: sc-12.1_gdn name: guidance prose: Escrowing of encryption keys is a common practice for ensuring availability in the event of key loss. A forgotten passphrase is an example of losing a cryptographic key. - id: sc-12.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-12(01) class: sp800-53a prose: information availability is maintained in the event of the loss of cryptographic keys by users. links: - href: '#sc-12.1_smt' rel: assessment-for - id: sc-12.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-12(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing cryptographic key establishment, management, and recovery system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-12.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-12(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel with responsibilities for cryptographic key establishment or management' - id: sc-12.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-12(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing cryptographic key establishment and management - id: sc-13 class: SP800-53 title: Cryptographic Protection params: - id: sc-13_odp.01 props: - name: alt-identifier value: sc-13_prm_1 - name: label value: SC-13_ODP[01] class: sp800-53a label: cryptographic uses guidelines: - prose: cryptographic uses are defined; - id: sc-13_odp.02 props: - name: alt-identifier value: sc-13_prm_2 - name: alt-label value: types of cryptography for each specified cryptographic use class: sp800-53 - name: label value: SC-13_ODP[02] class: sp800-53a label: types of cryptography constraints: - description: FIPS-validated or NSA-approved cryptography guidelines: - prose: types of cryptography for each specified cryptographic use are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SC-13 class: zero-padded - name: label value: SC-13 - name: label value: SC-13 class: sp800-53a - name: sort-id value: sc-13 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-7' rel: related - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#au-9' rel: related - href: '#au-10' rel: related - href: '#cm-11' rel: related - href: '#cp-9' rel: related - href: '#ia-3' rel: related - href: '#ia-5' rel: related - href: '#ia-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-13 rel: related - href: '#ma-4' rel: related - href: '#mp-2' rel: related - href: '#mp-4' rel: related - href: '#mp-5' rel: related - href: '#sa-4' rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-20' rel: related - href: '#sc-23' rel: related - href: '#sc-28' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-40 rel: related - href: '#si-3' rel: related - href: '#si-7' rel: related parts: - id: sc-13_smt name: statement parts: - id: sc-13_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Determine the {{ insert: param, sc-13_odp.01 }} ; and' - id: sc-13_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Implement the following types of cryptography required for each specified cryptographic use: {{ insert: param, sc-13_odp.02 }}.' - id: sc-13_gdn name: guidance prose: Cryptography can be employed to support a variety of security solutions, including the protection of classified information and controlled unclassified information, the provision and implementation of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances but lack the necessary formal access approvals. Cryptography can also be used to support random number and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. For example, organizations that need to protect classified information may specify the use of NSA-approved cryptography. Organizations that need to provision and implement digital signatures may specify the use of FIPS-validated cryptography. Cryptography is implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. - id: sc-13_fr name: item ns: http://fedramp.gov/ns/oscal title: SC-13 Additional FedRAMP Requirements and Guidance parts: - id: sc-13_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'This control applies to all use of cryptography. In addition to encryption, this includes functions such as hashing, random number generation, and key generation. Examples include the following: - Encryption of data - Decryption of data - Generation of one time passwords (OTPs) for MFA - Protocols such as TLS, SSH, and HTTPS The requirement for FIPS 140 validation, as well as timelines for acceptance of FIPS 140-2, and 140-3 can be found at the NIST Cryptographic Module Validation Program (CMVP). https://csrc.nist.gov/projects/cryptographic-module-validation-program' - id: sc-13_fr_gdn.2 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'For NSA-approved cryptography, the National Information Assurance Partnership (NIAP) oversees a national program to evaluate Commercial IT Products for Use in National Security Systems. The NIAP Product Compliant List can be found at the following location: https://www.niap-ccevs.org/Product/index.cfm' - id: sc-13_fr_gdn.3 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'When leveraging encryption from underlying IaaS/PaaS: While some IaaS/PaaS provide encryption by default, many require encryption to be configured, and enabled by the customer. The CSP has the responsibility to verify encryption is properly configured.' - id: sc-13_fr_gdn.4 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'Moving to non-FIPS CM or product is acceptable when: - FIPS validated version has a known vulnerability - Feature with vulnerability is in use - Non-FIPS version fixes the vulnerability - Non-FIPS version is submitted to NIST for FIPS validation - POA\&M is added to track approval, and deployment when ready' - id: sc-13_fr_gdn.5 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'At a minimum, this control applies to cryptography in use for the following controls: AU-9(3), CP-9(8), IA-2(6), IA-5(1), MP-5, SC-8(1), and SC-28(1).' - id: sc-13_obj name: assessment-objective props: - name: label value: SC-13 class: sp800-53a parts: - id: sc-13_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-13a. class: sp800-53a prose: '{{ insert: param, sc-13_odp.01 }} are identified;' links: - href: '#sc-13_smt.a' rel: assessment-for - id: sc-13_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-13b. class: sp800-53a prose: '{{ insert: param, sc-13_odp.02 }} for each specified cryptographic use (defined in SC-13_ODP\[01\]) are implemented.' links: - href: '#sc-13_smt.b' rel: assessment-for links: - href: '#sc-13_smt' rel: assessment-for - id: sc-13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-13-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing cryptographic protection system design documentation system configuration settings and associated documentation cryptographic module validation certificates list of FIPS-validated cryptographic modules system audit records system security plan other relevant documents or records' - id: sc-13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-13-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer organizational personnel with responsibilities for cryptographic protection' - id: sc-13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-13-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing cryptographic protection - id: sc-15 class: SP800-53 title: Collaborative Computing Devices and Applications params: - id: sc-15_odp props: - name: alt-identifier value: sc-15_prm_1 - name: label value: SC-15_ODP class: sp800-53a label: exceptions where remote activation is to be allowed constraints: - description: no exceptions for computing devices guidelines: - prose: exceptions where remote activation is to be allowed are defined; props: - name: label value: SC-15 class: zero-padded - name: label value: SC-15 - name: label value: SC-15 class: sp800-53a - name: sort-id value: sc-15 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-21' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-42 rel: related parts: - id: sc-15_smt name: statement parts: - id: sc-15_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Prohibit remote activation of collaborative computing devices and applications with the following exceptions: {{ insert: param, sc-15_odp }} ; and' - id: sc-15_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Provide an explicit indication of use to users physically present at the devices. - id: sc-15_gdn name: guidance prose: Collaborative computing devices and applications include remote meeting devices and applications, networked white boards, cameras, and microphones. The explicit indication of use includes signals to users when collaborative computing devices and applications are activated. - id: sc-15_fr name: item ns: http://fedramp.gov/ns/oscal title: SC-15 Additional FedRAMP Requirements and Guidance parts: - id: sc-15_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use. - id: sc-15_obj name: assessment-objective props: - name: label value: SC-15 class: sp800-53a parts: - id: sc-15_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-15a. class: sp800-53a prose: 'remote activation of collaborative computing devices and applications is prohibited except {{ insert: param, sc-15_odp }};' links: - href: '#sc-15_smt.a' rel: assessment-for - id: sc-15_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-15b. class: sp800-53a prose: an explicit indication of use is provided to users physically present at the devices. links: - href: '#sc-15_smt.b' rel: assessment-for links: - href: '#sc-15_smt' rel: assessment-for - id: sc-15_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-15-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing collaborative computing access control policy and procedures system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-15_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-15-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer organizational personnel with responsibilities for managing collaborative computing devices' - id: sc-15_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-15-Test class: sp800-53a parts: - name: assessment-objects prose: 'Mechanisms supporting and/or implementing the management of remote activation of collaborative computing devices mechanisms providing an indication of use of collaborative computing devices' - id: sc-17 class: SP800-53 title: Public Key Infrastructure Certificates params: - id: sc-17_odp props: - name: alt-identifier value: sc-17_prm_1 - name: label value: SC-17_ODP class: sp800-53a label: certificate policy guidelines: - prose: a certificate policy for issuing public key certificates is defined; props: - name: label value: SC-17 class: zero-padded - name: label value: SC-17 - name: label value: SC-17 class: sp800-53a - name: sort-id value: sc-17 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#8cb338a4-e493-4177-818f-3af18983ddc5' rel: reference - href: '#110e26af-4765-49e1-8740-6750f83fcda1' rel: reference - href: '#e7942589-e267-4a5a-a3d9-f39a7aae81f0' rel: reference - href: '#8306620b-1920-4d73-8b21-12008528595f' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#au-10' rel: related - href: '#ia-5' rel: related - href: '#sc-12' rel: related parts: - id: sc-17_smt name: statement parts: - id: sc-17_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Issue public key certificates under an {{ insert: param, sc-17_odp }} or obtain public key certificates from an approved service provider; and' - id: sc-17_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Include only approved trust anchors in trust stores or certificate stores managed by the organization. - id: sc-17_gdn name: guidance prose: Public key infrastructure (PKI) certificates are certificates with visibility external to organizational systems and certificates related to the internal operations of systems, such as application-specific time services. In cryptographic systems with a hierarchical structure, a trust anchor is an authoritative source (i.e., a certificate authority) for which trust is assumed and not derived. A root certificate for a PKI system is an example of a trust anchor. A trust store or certificate store maintains a list of trusted root certificates. - id: sc-17_obj name: assessment-objective props: - name: label value: SC-17 class: sp800-53a parts: - id: sc-17_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-17a. class: sp800-53a prose: 'public key certificates are issued under {{ insert: param, sc-17_odp }} , or public key certificates are obtained from an approved service provider;' links: - href: '#sc-17_smt.a' rel: assessment-for - id: sc-17_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-17b. class: sp800-53a prose: only approved trust anchors are included in trust stores or certificate stores managed by the organization. links: - href: '#sc-17_smt.b' rel: assessment-for links: - href: '#sc-17_smt' rel: assessment-for - id: sc-17_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-17-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing public key infrastructure certificates public key certificate policy or policies public key issuing process system security plan other relevant documents or records' - id: sc-17_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-17-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel with responsibilities for issuing public key certificates service providers' - id: sc-17_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-17-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the management of public key infrastructure certificates - id: sc-18 class: SP800-53 title: Mobile Code props: - name: label value: SC-18 class: zero-padded - name: label value: SC-18 - name: label value: SC-18 class: sp800-53a - name: sort-id value: sc-18 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#f641309f-a3ad-48be-8c67-2b318648b2f5' rel: reference - href: '#au-2' rel: related - href: '#au-12' rel: related - href: '#cm-2' rel: related - href: '#cm-6' rel: related - href: '#si-3' rel: related parts: - id: sc-18_smt name: statement parts: - id: sc-18_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Define acceptable and unacceptable mobile code and mobile code technologies; and - id: sc-18_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Authorize, monitor, and control the use of mobile code within the system. - id: sc-18_gdn name: guidance prose: Mobile code includes any program, application, or content that can be transmitted across a network (e.g., embedded in an email, document, or website) and executed on a remote system. Decisions regarding the use of mobile code within organizational systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include Java applets, JavaScript, HTML5, WebGL, and VBScript. Usage restrictions and implementation guidelines apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices, including notebook computers and smart phones. Mobile code policy and procedures address specific actions taken to prevent the development, acquisition, and introduction of unacceptable mobile code within organizational systems, including requiring mobile code to be digitally signed by a trusted source. - id: sc-18_obj name: assessment-objective props: - name: label value: SC-18 class: sp800-53a parts: - id: sc-18_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SC-18a. class: sp800-53a parts: - id: sc-18_obj.a-1 name: assessment-objective props: - name: label value: SC-18a.[01] class: sp800-53a prose: acceptable mobile code is defined; links: - href: '#sc-18_smt.a' rel: assessment-for - id: sc-18_obj.a-2 name: assessment-objective props: - name: label value: SC-18a.[02] class: sp800-53a prose: unacceptable mobile code is defined; links: - href: '#sc-18_smt.a' rel: assessment-for - id: sc-18_obj.a-3 name: assessment-objective props: - name: label value: SC-18a.[03] class: sp800-53a prose: acceptable mobile code technologies are defined; links: - href: '#sc-18_smt.a' rel: assessment-for - id: sc-18_obj.a-4 name: assessment-objective props: - name: label value: SC-18a.[04] class: sp800-53a prose: unacceptable mobile code technologies are defined; links: - href: '#sc-18_smt.a' rel: assessment-for links: - href: '#sc-18_smt.a' rel: assessment-for - id: sc-18_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-18b. class: sp800-53a parts: - id: sc-18_obj.b-1 name: assessment-objective props: - name: label value: SC-18b.[01] class: sp800-53a prose: the use of mobile code is authorized within the system; links: - href: '#sc-18_smt.b' rel: assessment-for - id: sc-18_obj.b-2 name: assessment-objective props: - name: label value: SC-18b.[02] class: sp800-53a prose: the use of mobile code is monitored within the system; links: - href: '#sc-18_smt.b' rel: assessment-for - id: sc-18_obj.b-3 name: assessment-objective props: - name: label value: SC-18b.[03] class: sp800-53a prose: the use of mobile code is controlled within the system. links: - href: '#sc-18_smt.b' rel: assessment-for links: - href: '#sc-18_smt.b' rel: assessment-for links: - href: '#sc-18_smt' rel: assessment-for - id: sc-18_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-18-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing mobile code mobile code implementation policy and procedures list of acceptable mobile code and mobile code technologies list of unacceptable mobile code and mobile technologies authorization records system monitoring records system audit records system security plan other relevant documents or records' - id: sc-18_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-18-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel with responsibilities for managing mobile code' - id: sc-18_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-18-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational process for authorizing, monitoring, and controlling mobile code mechanisms supporting and/or implementing the management of mobile code mechanisms supporting and/or implementing the monitoring of mobile code' - id: sc-20 class: SP800-53 title: Secure Name/Address Resolution Service (Authoritative Source) props: - name: label value: SC-20 class: zero-padded - name: label value: SC-20 - name: label value: SC-20 class: sp800-53a - name: sort-id value: sc-20 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1' rel: reference - href: '#fe209006-bfd4-4033-a79a-9fee1adaf372' rel: reference - href: '#au-10' rel: related - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-21' rel: related - href: '#sc-22' rel: related parts: - id: sc-20_smt name: statement parts: - id: sc-20_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Provide additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and - id: sc-20_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Provide the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace. - id: sc-20_gdn name: guidance prose: Providing authoritative source information enables external clients, including remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Systems that provide name and address resolution services include domain name system (DNS) servers. Additional artifacts include DNS Security Extensions (DNSSEC) digital signatures and cryptographic keys. Authoritative data includes DNS resource records. The means for indicating the security status of child zones include the use of delegation signer resource records in the DNS. Systems that use technologies other than the DNS to map between host and service names and network addresses provide other means to assure the authenticity and integrity of response data. - id: sc-20_fr name: item ns: http://fedramp.gov/ns/oscal title: SC-20 Additional FedRAMP Requirements and Guidance parts: - id: sc-20_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Control Description should include how DNSSEC is implemented on authoritative DNS servers to supply valid responses to external DNSSEC requests. - id: sc-20_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Authoritative DNS servers must be geolocated in accordance with SA-9 (5). - id: sc-20_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: SC-20 applies to use of external authoritative DNS to access a CSO from outside the boundary. - id: sc-20_fr_gdn.2 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: External authoritative DNS servers may be located outside an authorized environment. Positioning these servers inside an authorized boundary is encouraged. - id: sc-20_fr_gdn.3 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: CSPs are recommended to self-check DNSSEC configuration through one of many available analyzers such as Sandia National Labs (https://dnsviz.net) - id: sc-20_obj name: assessment-objective props: - name: label value: SC-20 class: sp800-53a parts: - id: sc-20_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-20a. class: sp800-53a parts: - id: sc-20_obj.a-1 name: assessment-objective props: - name: label value: SC-20a.[01] class: sp800-53a prose: additional data origin authentication is provided along with the authoritative name resolution data that the system returns in response to external name/address resolution queries; links: - href: '#sc-20_smt.a' rel: assessment-for - id: sc-20_obj.a-2 name: assessment-objective props: - name: label value: SC-20a.[02] class: sp800-53a prose: integrity verification artifacts are provided along with the authoritative name resolution data that the system returns in response to external name/address resolution queries; links: - href: '#sc-20_smt.a' rel: assessment-for links: - href: '#sc-20_smt.a' rel: assessment-for - id: sc-20_obj.b name: assessment-objective props: - name: label value: SC-20b. class: sp800-53a parts: - id: sc-20_obj.b-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-20b.[01] class: sp800-53a prose: the means to indicate the security status of child zones (and if the child supports secure resolution services) is provided when operating as part of a distributed, hierarchical namespace; links: - href: '#sc-20_smt.b' rel: assessment-for - id: sc-20_obj.b-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-20b.[02] class: sp800-53a prose: the means to enable verification of a chain of trust among parent and child domains when operating as part of a distributed, hierarchical namespace is provided. links: - href: '#sc-20_smt.b' rel: assessment-for links: - href: '#sc-20_smt.b' rel: assessment-for links: - href: '#sc-20_smt' rel: assessment-for - id: sc-20_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-20-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing secure name/address resolution services (authoritative source) system design documentation system configuration settings and associated documentation system security plan other relevant documents or records' - id: sc-20_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-20-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel with responsibilities for managing DNS' - id: sc-20_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-20-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing secure name/address resolution services - id: sc-21 class: SP800-53 title: Secure Name/Address Resolution Service (Recursive or Caching Resolver) props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SC-21 class: zero-padded - name: label value: SC-21 - name: label value: SC-21 class: sp800-53a - name: sort-id value: sc-21 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#fe209006-bfd4-4033-a79a-9fee1adaf372' rel: reference - href: '#sc-20' rel: related - href: '#sc-22' rel: related parts: - id: sc-21_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Request and perform data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources. - id: sc-21_gdn name: guidance prose: Each client of name resolution services either performs this validation on its own or has authenticated channels to trusted validation providers. Systems that provide name and address resolution services for local clients include recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Systems that use technologies other than the DNS to map between host and service names and network addresses provide some other means to enable clients to verify the authenticity and integrity of response data. - id: sc-21_fr name: item ns: http://fedramp.gov/ns/oscal title: SC-21 Additional FedRAMP Requirements and Guidance parts: - id: sc-21_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: "Control description should include how DNSSEC is implemented on recursive DNS servers to make DNSSEC requests\ \ when resolving DNS requests from internal components to domains external to the CSO boundary.\n\n- If the reply\ \ is signed, and fails DNSSEC, do not use the reply\n- If the reply is unsigned:\n - CSP chooses the policy to\ \ apply" - id: sc-21_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Internal recursive DNS servers must be located inside an authorized environment. It is typically within the boundary, or leveraged from an underlying IaaS/PaaS. - id: sc-21_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Accepting an unsigned reply is acceptable - id: sc-21_fr_gdn.2 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'SC-21 applies to use of internal recursive DNS to access a domain outside the boundary by a component inside the boundary. - DNSSEC resolution to access a component inside the boundary is excluded.' - id: sc-21_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-21 class: sp800-53a parts: - id: sc-21_obj-1 name: assessment-objective props: - name: label value: SC-21[01] class: sp800-53a prose: data origin authentication is requested for the name/address resolution responses that the system receives from authoritative sources; links: - href: '#sc-21_smt' rel: assessment-for - id: sc-21_obj-2 name: assessment-objective props: - name: label value: SC-21[02] class: sp800-53a prose: data origin authentication is performed on the name/address resolution responses that the system receives from authoritative sources; links: - href: '#sc-21_smt' rel: assessment-for - id: sc-21_obj-3 name: assessment-objective props: - name: label value: SC-21[03] class: sp800-53a prose: data integrity verification is requested for the name/address resolution responses that the system receives from authoritative sources; links: - href: '#sc-21_smt' rel: assessment-for - id: sc-21_obj-4 name: assessment-objective props: - name: label value: SC-21[04] class: sp800-53a prose: data integrity verification is performed on the name/address resolution responses that the system receives from authoritative sources. links: - href: '#sc-21_smt' rel: assessment-for links: - href: '#sc-21_smt' rel: assessment-for - id: sc-21_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-21-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing secure name/address resolution services (recursive or caching resolver) system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-21_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-21-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel with responsibilities for managing DNS' - id: sc-21_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-21-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services - id: sc-22 class: SP800-53 title: Architecture and Provisioning for Name/Address Resolution Service props: - name: label value: SC-22 class: zero-padded - name: label value: SC-22 - name: label value: SC-22 class: sp800-53a - name: sort-id value: sc-22 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#fe209006-bfd4-4033-a79a-9fee1adaf372' rel: reference - href: '#sc-2' rel: related - href: '#sc-20' rel: related - href: '#sc-21' rel: related - href: '#sc-24' rel: related parts: - id: sc-22_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Ensure the systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal and external role separation. - id: sc-22_gdn name: guidance prose: Systems that provide name and address resolution services include domain name system (DNS) servers. To eliminate single points of failure in systems and enhance redundancy, organizations employ at least two authoritative domain name system servers—one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks, including the Internet). Organizations specify clients that can access authoritative DNS servers in certain roles (e.g., by address ranges and explicit lists). - id: sc-22_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-22 class: sp800-53a parts: - id: sc-22_obj-1 name: assessment-objective props: - name: label value: SC-22[01] class: sp800-53a prose: the systems that collectively provide name/address resolution services for an organization are fault-tolerant; links: - href: '#sc-22_smt' rel: assessment-for - id: sc-22_obj-2 name: assessment-objective props: - name: label value: SC-22[02] class: sp800-53a prose: the systems that collectively provide name/address resolution services for an organization implement internal role separation; links: - href: '#sc-22_smt' rel: assessment-for - id: sc-22_obj-3 name: assessment-objective props: - name: label value: SC-22[03] class: sp800-53a prose: the systems that collectively provide name/address resolution services for an organization implement external role separation. links: - href: '#sc-22_smt' rel: assessment-for links: - href: '#sc-22_smt' rel: assessment-for - id: sc-22_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-22-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing architecture and provisioning for name/address resolution services access control policy and procedures system design documentation assessment results from independent testing organizations system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-22_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-22-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel with responsibilities for managing DNS' - id: sc-22_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-22-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing name/address resolution services for fault tolerance and role separation - id: sc-23 class: SP800-53 title: Session Authenticity props: - name: label value: SC-23 class: zero-padded - name: label value: SC-23 - name: label value: SC-23 class: sp800-53a - name: sort-id value: sc-23 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#7537638e-2837-407d-844b-40fb3fafdd99' rel: reference - href: '#d4d7c760-2907-403b-8b2a-767ca5370ecd' rel: reference - href: '#a6b9907a-2a14-4bb4-a142-d4c73026a8b4' rel: reference - href: '#6bc4d137-aece-42a8-8081-9ecb1ebe9fb4' rel: reference - href: '#au-10' rel: related - href: '#sc-8' rel: related - href: '#sc-10' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-11 rel: related parts: - id: sc-23_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Protect the authenticity of communications sessions. - id: sc-23_gdn name: guidance prose: Protecting session authenticity addresses communications protection at the session level, not at the packet level. Such protection establishes grounds for confidence at both ends of communications sessions in the ongoing identities of other parties and the validity of transmitted information. Authenticity protection includes protecting against "man-in-the-middle" attacks, session hijacking, and the insertion of false information into sessions. - id: sc-23_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-23 class: sp800-53a prose: the authenticity of communication sessions is protected. links: - href: '#sc-23_smt' rel: assessment-for - id: sc-23_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-23-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing session authenticity system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-23_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-23-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities' - id: sc-23_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-23-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing session authenticity - id: sc-24 class: SP800-53 title: Fail in Known State params: - id: sc-24_odp.01 props: - name: alt-identifier value: sc-24_prm_3 - name: alt-label value: list of organization-defined types of system failures on organization-defined system components class: sp800-53 - name: label value: SC-24_ODP[01] class: sp800-53a label: types of system failures on system components guidelines: - prose: types of system failures for which the system components fail to a known state are defined; - id: sc-24_odp.02 props: - name: alt-identifier value: sc-24_prm_1 - name: label value: SC-24_ODP[02] class: sp800-53a label: known system state guidelines: - prose: known system state to which system components fail in the event of a system failure is defined; - id: sc-24_odp.03 props: - name: alt-identifier value: sc-24_prm_2 - name: label value: SC-24_ODP[03] class: sp800-53a label: system state information guidelines: - prose: system state information to be preserved in the event of a system failure is defined; props: - name: label value: SC-24 class: zero-padded - name: label value: SC-24 - name: label value: SC-24 class: sp800-53a - name: sort-id value: sc-24 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#cp-2' rel: related - href: '#cp-4' rel: related - href: '#cp-10' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cp-12 rel: related - href: '#sa-8' rel: related - href: '#sc-7' rel: related - href: '#sc-22' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-13 rel: related parts: - id: sc-24_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Fail to a {{ insert: param, sc-24_odp.02 }} for the following failures on the indicated components while preserving {{ insert: param, sc-24_odp.03 }} in failure: {{ insert: param, sc-24_odp.01 }}.' - id: sc-24_gdn name: guidance prose: Failure in a known state addresses security concerns in accordance with the mission and business needs of organizations. Failure in a known state prevents the loss of confidentiality, integrity, or availability of information in the event of failures of organizational systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving system state information facilitates system restart and return to the operational mode with less disruption of mission and business processes. - id: sc-24_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-24 class: sp800-53a prose: '{{ insert: param, sc-24_odp.01 }} fail to a {{ insert: param, sc-24_odp.02 }} while preserving {{ insert: param, sc-24_odp.03 }} in failure.' links: - href: '#sc-24_smt' rel: assessment-for - id: sc-24_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-24-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing system failure to known state system design documentation system configuration settings and associated documentation list of failures requiring system to fail in a known state state information to be preserved in system failure system audit records system security plan other relevant documents or records' - id: sc-24_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-24-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer' - id: sc-24_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-24-Test class: sp800-53a parts: - name: assessment-objects prose: 'Mechanisms supporting and/or implementing the fail in known state capability mechanisms preserving system state information in the event of a system failure' - id: sc-28 class: SP800-53 title: Protection of Information at Rest params: - id: sc-28_odp.01 props: - name: alt-identifier value: sc-28_prm_1 - name: label value: SC-28_ODP[01] class: sp800-53a constraints: - description: confidentiality AND integrity - id: sc-28_odp.02 props: - name: alt-identifier value: sc-28_prm_2 - name: label value: SC-28_ODP[02] class: sp800-53a label: information at rest guidelines: - prose: information at rest requiring protection is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SC-28 class: zero-padded - name: label value: SC-28 - name: label value: SC-28 class: sp800-53a - name: sort-id value: sc-28 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#20957dbb-6a1e-40a2-b38a-66f67d33ac2e' rel: reference - href: '#0d083d8a-5cc6-46f1-8d79-3081d42bcb75' rel: reference - href: '#eef62b16-c796-4554-955c-505824135b8a' rel: reference - href: '#110e26af-4765-49e1-8740-6750f83fcda1' rel: reference - href: '#e7942589-e267-4a5a-a3d9-f39a7aae81f0' rel: reference - href: '#8306620b-1920-4d73-8b21-12008528595f' rel: reference - href: '#22f2d4f0-4365-4e88-a30d-275c1f5473ea' rel: reference - href: '#0f66be67-85e7-4ca6-bd19-39453e9f4394' rel: reference - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-6' rel: related - href: '#ac-19' rel: related - href: '#ca-7' rel: related - href: '#cm-3' rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: '#cp-9' rel: related - href: '#mp-4' rel: related - href: '#mp-5' rel: related - href: '#pe-3' rel: related - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-34 rel: related - href: '#si-3' rel: related - href: '#si-7' rel: related - href: '#si-16' rel: related parts: - id: sc-28_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Protect the {{ insert: param, sc-28_odp.01 }} of the following information at rest: {{ insert: param, sc-28_odp.02 }}.' - id: sc-28_gdn name: guidance prose: Information at rest refers to the state of information when it is not in process or in transit and is located on system components. Such components include internal or external hard disk drives, storage area network devices, or databases. However, the focus of protecting information at rest is not on the type of storage device or frequency of access but rather on the state of the information. Information at rest addresses the confidentiality and integrity of information and covers user information and system information. System-related information that requires protection includes configurations or rule sets for firewalls, intrusion detection and prevention systems, filtering routers, and authentication information. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing write-once-read-many (WORM) technologies. When adequate protection of information at rest cannot otherwise be achieved, organizations may employ other controls, including frequent scanning to identify malicious code at rest and secure offline storage in lieu of online storage. - id: sc-28_fr name: item ns: http://fedramp.gov/ns/oscal title: SC-28 Additional FedRAMP Requirements and Guidance parts: - id: sc-28_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: The organization supports the capability to use cryptographic mechanisms to protect information at rest. - id: sc-28_fr_gdn.2 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'When leveraging encryption from underlying IaaS/PaaS: While some IaaS/PaaS services provide encryption by default, many require encryption to be configured, and enabled by the customer. The CSP has the responsibility to verify encryption is properly configured.' - id: sc-28_fr_gdn.3 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Note that this enhancement requires the use of cryptography in accordance with SC-13. - id: sc-28_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-28 class: sp800-53a prose: 'the {{ insert: param, sc-28_odp.01 }} of {{ insert: param, sc-28_odp.02 }} is/are protected.' links: - href: '#sc-28_smt' rel: assessment-for - id: sc-28_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-28-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing the protection of information at rest system design documentation system configuration settings and associated documentation cryptographic mechanisms and associated configuration documentation list of information at rest requiring confidentiality and integrity protections system security plan other relevant documents or records' - id: sc-28_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-28-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer' - id: sc-28_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-28-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing confidentiality and integrity protections for information at rest controls: - id: sc-28.1 class: SP800-53-enhancement title: Cryptographic Protection params: - id: sc-28.01_odp.01 props: - name: alt-identifier value: sc-28.1_prm_2 - name: label value: SC-28(01)_ODP[01] class: sp800-53a label: information guidelines: - prose: information requiring cryptographic protection is defined; - id: sc-28.01_odp.02 props: - name: alt-identifier value: sc-28.1_prm_1 - name: label value: SC-28(01)_ODP[02] class: sp800-53a label: system components or media constraints: - description: all information system components storing Federal data or system data that must be protected at the High or Moderate impact levels guidelines: - prose: system components or media requiring cryptographic protection is/are defined; props: - name: label value: SC-28(01) class: zero-padded - name: label value: SC-28(1) - name: label value: SC-28(01) class: sp800-53a - name: sort-id value: sc-28.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-28' rel: required - href: '#ac-19' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: sc-28.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of the following information at rest on {{ insert: param, sc-28.01_odp.02 }}: {{ insert: param, sc-28.01_odp.01 }}.' - id: sc-28.1_gdn name: guidance prose: The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category or classification of the information. Organizations have the flexibility to encrypt information on system components or media or encrypt data structures, including files, records, or fields. - id: sc-28.1_fr name: item ns: http://fedramp.gov/ns/oscal title: SC-28 (1) Additional FedRAMP Requirements and Guidance parts: - id: sc-28.1_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'Organizations should select a mode of protection that is targeted towards the relevant threat scenarios. Examples: A. Organizations may apply full disk encryption (FDE) to a mobile device where the primary threat is loss of the device while storage is locked. B. For a database application housing data for a single customer, encryption at the file system level would often provide more protection than FDE against the more likely threat of an intruder on the operating system accessing the storage. C. For a database application housing data for multiple customers, encryption with unique keys for each customer at the database record level may be more appropriate.' - id: sc-28.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-28(01) class: sp800-53a parts: - id: sc-28.1_obj-1 name: assessment-objective props: - name: label value: SC-28(01)[01] class: sp800-53a prose: 'cryptographic mechanisms are implemented to prevent unauthorized disclosure of {{ insert: param, sc-28.01_odp.01 }} at rest on {{ insert: param, sc-28.01_odp.02 }};' links: - href: '#sc-28.1_smt' rel: assessment-for - id: sc-28.1_obj-2 name: assessment-objective props: - name: label value: SC-28(01)[02] class: sp800-53a prose: 'cryptographic mechanisms are implemented to prevent unauthorized modification of {{ insert: param, sc-28.01_odp.01 }} at rest on {{ insert: param, sc-28.01_odp.02 }}.' links: - href: '#sc-28.1_smt' rel: assessment-for links: - href: '#sc-28.1_smt' rel: assessment-for - id: sc-28.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-28(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing the protection of information at rest system design documentation system configuration settings and associated documentation cryptographic mechanisms and associated configuration documentation system audit records system security plan other relevant documents or records' - id: sc-28.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-28(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer' - id: sc-28.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-28(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Cryptographic mechanisms implementing confidentiality and integrity protections for information at rest - id: sc-39 class: SP800-53 title: Process Isolation props: - name: label value: SC-39 class: zero-padded - name: label value: SC-39 - name: label value: SC-39 class: sp800-53a - name: sort-id value: sc-39 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-6' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-25 rel: related - href: '#sa-8' rel: related - href: '#sc-2' rel: related - href: '#sc-3' rel: related - href: '#si-16' rel: related parts: - id: sc-39_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Maintain a separate execution domain for each executing system process. - id: sc-39_gdn name: guidance prose: Systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. Process isolation technologies, including sandboxing or virtualization, logically separate software and firmware from other software, firmware, and data. Process isolation helps limit the access of potentially untrusted software to other system resources. The capability to maintain separate execution domains is available in commercial operating systems that employ multi-state processor technologies. - id: sc-39_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-39 class: sp800-53a prose: a separate execution domain is maintained for each executing system process. links: - href: '#sc-39_smt' rel: assessment-for - id: sc-39_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-39-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System design documentation system architecture independent verification and validation documentation testing and evaluation documentation other relevant documents or records' - id: sc-39_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-39-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System developers/integrators system security architect' - id: sc-39_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-39-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing separate execution domains for each executing process - id: sc-45 class: SP800-53 title: System Time Synchronization props: - name: label value: SC-45 class: zero-padded - name: label value: SC-45 - name: label value: SC-45 class: sp800-53a - name: sort-id value: sc-45 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#e4d37285-1e79-4029-8b6a-42df39cace30' rel: reference - href: '#ac-3' rel: related - href: '#au-8' rel: related - href: '#ia-2' rel: related - href: '#ia-8' rel: related parts: - id: sc-45_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Synchronize system clocks within and between systems and system components. - id: sc-45_gdn name: guidance prose: Time synchronization of system clocks is essential for the correct execution of many system services, including identification and authentication processes that involve certificates and time-of-day restrictions as part of access control. Denial of service or failure to deny expired credentials may result without properly synchronized clocks within and between systems and system components. 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. The granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks, such as clocks synchronizing within hundreds of milliseconds or tens of milliseconds. Organizations may define different time granularities for system components. Time service can be critical to other security capabilities—such as access control and identification and authentication—depending on the nature of the mechanisms used to support the capabilities. - id: sc-45_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-45 class: sp800-53a prose: system clocks are synchronized within and between systems and system components. links: - href: '#sc-45_smt' rel: assessment-for - id: sc-45_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-45-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing time synchronization system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-45_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-45-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system' - id: sc-45_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-45-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing system time synchronization controls: - id: sc-45.1 class: SP800-53-enhancement title: Synchronization with Authoritative Time Source params: - id: sc-45.01_odp.01 props: - name: alt-identifier value: sc-45.1_prm_1 - name: label value: SC-45(01)_ODP[01] class: sp800-53a label: frequency constraints: - description: At least hourly guidelines: - prose: the frequency at which to compare the internal system clocks with the authoritative time source is defined; - id: sc-45.01_odp.02 props: - name: alt-identifier value: sc-45.1_prm_2 - name: label value: SC-45(01)_ODP[02] class: sp800-53a label: authoritative time source constraints: - description: http://tf.nist.gov/tf-cgi/servers.cgi guidelines: - prose: the authoritative time source to which internal system clocks are to be compared is defined; - id: sc-45.01_odp.03 props: - name: alt-identifier value: sc-45.1_prm_3 - name: label value: SC-45(01)_ODP[03] class: sp800-53a label: time period constraints: - description: any difference guidelines: - prose: the time period to compare the internal system clocks with the authoritative time source is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SC-45(01) class: zero-padded - name: label value: SC-45(1) - name: label value: SC-45(01) class: sp800-53a - name: sort-id value: sc-45.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-45' rel: required parts: - id: sc-45.1_smt name: statement parts: - id: sc-45.1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Compare the internal system clocks {{ insert: param, sc-45.01_odp.01 }} with {{ insert: param, sc-45.01_odp.02 }} ; and' - id: sc-45.1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'Synchronize the internal system clocks to the authoritative time source when the time difference is greater than {{ insert: param, sc-45.01_odp.03 }}.' - id: sc-45.1_gdn name: guidance prose: Synchronization of internal system clocks with an authoritative source provides uniformity of time stamps for systems with multiple system clocks and systems connected over a network. - id: sc-45.1_fr name: item ns: http://fedramp.gov/ns/oscal title: SC-45(1) Additional FedRAMP Requirements and Guidance parts: - id: sc-45.1_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server. - id: sc-45.1_fr_smt.2 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server. - id: sc-45.1_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: Synchronization of system clocks improves the accuracy of log analysis. - id: sc-45.1_obj name: assessment-objective props: - name: label value: SC-45(01) class: sp800-53a parts: - id: sc-45.1_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SC-45(01)(a) class: sp800-53a prose: 'the internal system clocks are compared {{ insert: param, sc-45.01_odp.01 }} with {{ insert: param, sc-45.01_odp.02 }};' links: - href: '#sc-45.1_smt.a' rel: assessment-for - id: sc-45.1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SC-45(01)(b) class: sp800-53a prose: 'the internal system clocks are synchronized with the authoritative time source when the time difference is greater than {{ insert: param, sc-45.01_odp.03 }}.' links: - href: '#sc-45.1_smt.b' rel: assessment-for links: - href: '#sc-45.1_smt' rel: assessment-for - id: sc-45.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-45(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and communications protection policy procedures addressing time synchronization system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: sc-45.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-45(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system' - id: sc-45.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-45(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing system time synchronization - id: si class: family title: System and Information Integrity controls: - id: si-1 class: SP800-53 title: Policy and Procedures params: - id: si-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-01_odp.02 label: organization-defined personnel or roles - id: si-01_odp.01 props: - name: label value: SI-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the system and information integrity policy is to be disseminated is/are defined; - id: si-01_odp.02 props: - name: label value: SI-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the system and information integrity procedures are to be disseminated is/are defined; - id: si-01_odp.03 props: - name: alt-identifier value: si-1_prm_2 - name: label value: SI-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: si-01_odp.04 props: - name: alt-identifier value: si-1_prm_3 - name: label value: SI-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the system and information integrity policy and procedures is defined; - id: si-01_odp.05 props: - name: alt-identifier value: si-1_prm_4 - name: label value: SI-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current system and information integrity policy is reviewed and updated is defined; - id: si-01_odp.06 props: - name: alt-identifier value: si-1_prm_5 - name: label value: SI-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current system and information integrity policy to be reviewed and updated are defined; - id: si-01_odp.07 props: - name: alt-identifier value: si-1_prm_6 - name: label value: SI-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current system and information integrity procedures are reviewed and updated is defined; - id: si-01_odp.08 props: - name: alt-identifier value: si-1_prm_7 - name: label value: SI-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that would require the system and information integrity procedures to be reviewed and updated are defined; props: - name: label value: SI-01 class: zero-padded - name: label value: SI-1 - name: label value: SI-01 class: sp800-53a - name: sort-id value: si-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ps-8' rel: related - href: '#sa-8' rel: related - href: '#si-12' rel: related parts: - id: si-1_smt name: statement parts: - id: si-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses System and Information Integrity MUST be associated with SI-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses System and Information Integrity MUST be associated with SI-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, si-1_prm_1 }}:' parts: - id: si-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, si-01_odp.03 }} system and information integrity policy that:' parts: - id: si-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: si-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: si-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the system and information integrity policy and the associated system and information integrity controls; - id: si-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, si-01_odp.04 }} to manage the development, documentation, and dissemination of the system and information integrity policy and procedures; and' - id: si-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current system and information integrity:' parts: - id: si-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, si-01_odp.05 }} and following {{ insert: param, si-01_odp.06 }} ; and' - id: si-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, si-01_odp.07 }} and following {{ insert: param, si-01_odp.08 }}.' - id: si-1_gdn name: guidance prose: System and information integrity policy and procedures address the controls in the SI family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and information integrity policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and information integrity policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: si-1_obj name: assessment-objective props: - name: label value: SI-01 class: sp800-53a parts: - id: si-1_obj.a name: assessment-objective props: - name: label value: SI-01a. class: sp800-53a parts: - id: si-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-01a.[01] class: sp800-53a prose: a system and information integrity policy is developed and documented; links: - href: '#si-1_smt.a' rel: assessment-for - id: si-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-01a.[02] class: sp800-53a prose: 'the system and information integrity policy is disseminated to {{ insert: param, si-01_odp.01 }};' links: - href: '#si-1_smt.a' rel: assessment-for - id: si-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SI-01a.[03] class: sp800-53a prose: system and information integrity procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls are developed and documented; links: - href: '#si-1_smt.a' rel: assessment-for - id: si-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SI-01a.[04] class: sp800-53a prose: 'the system and information integrity procedures are disseminated to {{ insert: param, si-01_odp.02 }};' links: - href: '#si-1_smt.a' rel: assessment-for - id: si-1_obj.a.1 name: assessment-objective props: - name: label value: SI-01a.01 class: sp800-53a parts: - id: si-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SI-01a.01(a) class: sp800-53a parts: - id: si-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: SI-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses purpose;' links: - href: '#si-1_smt.a.1.a' rel: assessment-for - id: si-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: SI-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses scope;' links: - href: '#si-1_smt.a.1.a' rel: assessment-for - id: si-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: SI-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses roles;' links: - href: '#si-1_smt.a.1.a' rel: assessment-for - id: si-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: SI-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses responsibilities;' links: - href: '#si-1_smt.a.1.a' rel: assessment-for - id: si-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: SI-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses management commitment;' links: - href: '#si-1_smt.a.1.a' rel: assessment-for - id: si-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: SI-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses coordination among organizational entities;' links: - href: '#si-1_smt.a.1.a' rel: assessment-for - id: si-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: SI-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses compliance;' links: - href: '#si-1_smt.a.1.a' rel: assessment-for links: - href: '#si-1_smt.a.1.a' rel: assessment-for - id: si-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SI-01a.01(b) class: sp800-53a prose: 'the {{ insert: param, si-01_odp.03 }} system and information integrity policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;' links: - href: '#si-1_smt.a.1.b' rel: assessment-for links: - href: '#si-1_smt.a.1' rel: assessment-for links: - href: '#si-1_smt.a' rel: assessment-for - id: si-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-01b. class: sp800-53a prose: 'the {{ insert: param, si-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the system and information integrity policy and procedures;' links: - href: '#si-1_smt.b' rel: assessment-for - id: si-1_obj.c name: assessment-objective props: - name: label value: SI-01c. class: sp800-53a parts: - id: si-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-01c.01 class: sp800-53a parts: - id: si-1_obj.c.1-1 name: assessment-objective props: - name: label value: SI-01c.01[01] class: sp800-53a prose: 'the current system and information integrity policy is reviewed and updated {{ insert: param, si-01_odp.05 }};' links: - href: '#si-1_smt.c.1' rel: assessment-for - id: si-1_obj.c.1-2 name: assessment-objective props: - name: label value: SI-01c.01[02] class: sp800-53a prose: 'the current system and information integrity policy is reviewed and updated following {{ insert: param, si-01_odp.06 }};' links: - href: '#si-1_smt.c.1' rel: assessment-for links: - href: '#si-1_smt.c.1' rel: assessment-for - id: si-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-01c.02 class: sp800-53a parts: - id: si-1_obj.c.2-1 name: assessment-objective props: - name: label value: SI-01c.02[01] class: sp800-53a prose: 'the current system and information integrity procedures are reviewed and updated {{ insert: param, si-01_odp.07 }};' links: - href: '#si-1_smt.c.2' rel: assessment-for - id: si-1_obj.c.2-2 name: assessment-objective props: - name: label value: SI-01c.02[02] class: sp800-53a prose: 'the current system and information integrity procedures are reviewed and updated following {{ insert: param, si-01_odp.08 }}.' links: - href: '#si-1_smt.c.2' rel: assessment-for links: - href: '#si-1_smt.c.2' rel: assessment-for links: - href: '#si-1_smt.c' rel: assessment-for links: - href: '#si-1_smt' rel: assessment-for - id: si-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures system security plan privacy plan other relevant documents or records' - id: si-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and information integrity responsibilities organizational personnel with information security and privacy responsibilities' - id: si-2 class: SP800-53 title: Flaw Remediation params: - id: si-02_odp props: - name: alt-identifier value: si-2_prm_1 - name: label value: SI-02_ODP class: sp800-53a label: time period constraints: - description: within thirty (30) days of release of updates guidelines: - prose: time period within which to install security-relevant software updates after the release of the updates is defined; props: - name: label value: SI-02 class: zero-padded - name: label value: SI-2 - name: label value: SI-02 class: sp800-53a - name: sort-id value: si-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#155f941a-cba9-4afd-9ca6-5d040d697ba9' rel: reference - href: '#20db4e66-e257-450c-b2e4-2bb9a62a2c88' rel: reference - href: '#aa5d04e0-6090-4e17-84d4-b9963d55fc2c' rel: reference - href: '#ca-5' rel: related - href: '#cm-3' rel: related - href: '#cm-4' rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: '#cm-8' rel: related - href: '#ma-2' rel: related - href: '#ra-5' rel: related - href: '#sa-8' rel: related - href: '#sa-10' rel: related - href: '#sa-11' rel: related - href: '#si-3' rel: related - href: '#si-5' rel: related - href: '#si-7' rel: related - href: '#si-11' rel: related parts: - id: si-2_smt name: statement parts: - id: si-2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Identify, report, and correct system flaws; - id: si-2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Test software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation; - id: si-2_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Install security-relevant software and firmware updates within {{ insert: param, si-02_odp }} of the release of the updates; and' - id: si-2_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Incorporate flaw remediation into the organizational configuration management process. - id: si-2_gdn name: guidance prose: 'The need to remediate system flaws applies to all types of software and firmware. Organizations identify systems affected by software flaws, including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security and privacy responsibilities. Security-relevant updates include patches, service packs, and malicious code signatures. Organizations also address flaws discovered during assessments, continuous monitoring, incident response activities, and system error handling. By incorporating flaw remediation into configuration management processes, required remediation actions can be tracked and verified. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of risk factors, including the security category of the system, the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw), the organizational risk tolerance, the mission supported by the system, or the threat environment. Some types of flaw remediation may require more testing than other types. Organizations determine the type of testing needed for the specific type of flaw remediation activity under consideration and the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software or firmware updates is not necessary or practical, such as when implementing simple malicious code signature updates. In testing decisions, organizations consider whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.' - id: si-2_obj name: assessment-objective props: - name: label value: SI-02 class: sp800-53a parts: - id: si-2_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-02a. class: sp800-53a parts: - id: si-2_obj.a-1 name: assessment-objective props: - name: label value: SI-02a.[01] class: sp800-53a prose: system flaws are identified; links: - href: '#si-2_smt.a' rel: assessment-for - id: si-2_obj.a-2 name: assessment-objective props: - name: label value: SI-02a.[02] class: sp800-53a prose: system flaws are reported; links: - href: '#si-2_smt.a' rel: assessment-for - id: si-2_obj.a-3 name: assessment-objective props: - name: label value: SI-02a.[03] class: sp800-53a prose: system flaws are corrected; links: - href: '#si-2_smt.a' rel: assessment-for links: - href: '#si-2_smt.a' rel: assessment-for - id: si-2_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-02b. class: sp800-53a parts: - id: si-2_obj.b-1 name: assessment-objective props: - name: label value: SI-02b.[01] class: sp800-53a prose: software updates related to flaw remediation are tested for effectiveness before installation; links: - href: '#si-2_smt.b' rel: assessment-for - id: si-2_obj.b-2 name: assessment-objective props: - name: label value: SI-02b.[02] class: sp800-53a prose: software updates related to flaw remediation are tested for potential side effects before installation; links: - href: '#si-2_smt.b' rel: assessment-for - id: si-2_obj.b-3 name: assessment-objective props: - name: label value: SI-02b.[03] class: sp800-53a prose: firmware updates related to flaw remediation are tested for effectiveness before installation; links: - href: '#si-2_smt.b' rel: assessment-for - id: si-2_obj.b-4 name: assessment-objective props: - name: label value: SI-02b.[04] class: sp800-53a prose: firmware updates related to flaw remediation are tested for potential side effects before installation; links: - href: '#si-2_smt.b' rel: assessment-for links: - href: '#si-2_smt.b' rel: assessment-for - id: si-2_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-02c. class: sp800-53a parts: - id: si-2_obj.c-1 name: assessment-objective props: - name: label value: SI-02c.[01] class: sp800-53a prose: 'security-relevant software updates are installed within {{ insert: param, si-02_odp }} of the release of the updates;' links: - href: '#si-2_smt.c' rel: assessment-for - id: si-2_obj.c-2 name: assessment-objective props: - name: label value: SI-02c.[02] class: sp800-53a prose: 'security-relevant firmware updates are installed within {{ insert: param, si-02_odp }} of the release of the updates;' links: - href: '#si-2_smt.c' rel: assessment-for links: - href: '#si-2_smt.c' rel: assessment-for - id: si-2_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-02d. class: sp800-53a prose: flaw remediation is incorporated into the organizational configuration management process. links: - href: '#si-2_smt.d' rel: assessment-for links: - href: '#si-2_smt' rel: assessment-for - id: si-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing flaw remediation procedures addressing configuration management list of flaws and vulnerabilities potentially affecting the system list of recent security flaw remediation actions performed on the system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct system flaws) test results from the installation of software and firmware updates to correct system flaws installation/change control records for security-relevant software and firmware updates system security plan privacy plan other relevant documents or records' - id: si-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security and privacy responsibilities organizational personnel responsible for installing, configuring, and/or maintaining the system organizational personnel responsible for flaw remediation organizational personnel with configuration management responsibilities' - id: si-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-02-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for identifying, reporting, and correcting system flaws organizational process for installing software and firmware updates mechanisms supporting and/or implementing the reporting and correcting of system flaws mechanisms supporting and/or implementing testing software and firmware updates' controls: - id: si-2.2 class: SP800-53-enhancement title: Automated Flaw Remediation Status params: - id: si-02.02_odp.01 props: - name: alt-identifier value: si-2.2_prm_1 - name: label value: SI-02(02)_ODP[01] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms to determine if applicable security-relevant software and firmware updates are installed on system components are defined; - id: si-02.02_odp.02 props: - name: alt-identifier value: si-2.2_prm_2 - name: label value: SI-02(02)_ODP[02] class: sp800-53a label: frequency constraints: - description: at least monthly guidelines: - prose: the frequency at which to determine if applicable security-relevant software and firmware updates are installed on system components is defined; props: - name: label value: SI-02(02) class: zero-padded - name: label value: SI-2(2) - name: label value: SI-02(02) class: sp800-53a - name: sort-id value: si-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#si-2' rel: required - href: '#ca-7' rel: related - href: '#si-4' rel: related parts: - id: si-2.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Determine if system components have applicable security-relevant software and firmware updates installed using {{ insert: param, si-02.02_odp.01 }} {{ insert: param, si-02.02_odp.02 }}.' - id: si-2.2_gdn name: guidance prose: Automated mechanisms can track and determine the status of known flaws for system components. - id: si-2.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-02(02) class: sp800-53a prose: 'system components have applicable security-relevant software and firmware updates installed {{ insert: param, si-02.02_odp.02 }} using {{ insert: param, si-02.02_odp.01 }}.' links: - href: '#si-2.2_smt' rel: assessment-for - id: si-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing flaw remediation automated mechanisms supporting centralized management of flaw remediation system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: si-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for flaw remediation' - id: si-2.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-02(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms used to determine the state of system components with regard to flaw remediation - id: si-2.3 class: SP800-53-enhancement title: Time to Remediate Flaws and Benchmarks for Corrective Actions params: - id: si-02.03_odp props: - name: alt-identifier value: si-2.3_prm_1 - name: label value: SI-02(03)_ODP class: sp800-53a label: benchmarks guidelines: - prose: the benchmarks for taking corrective actions are defined; props: - name: label value: SI-02(03) class: zero-padded - name: label value: SI-2(3) - name: label value: SI-02(03) class: sp800-53a - name: sort-id value: si-02.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#si-2' rel: required parts: - id: si-2.3_smt name: statement parts: - id: si-2.3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: Measure the time between flaw identification and flaw remediation; and - id: si-2.3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'Establish the following benchmarks for taking corrective actions: {{ insert: param, si-02.03_odp }}.' - id: si-2.3_gdn name: guidance prose: Organizations determine the time it takes on average to correct system flaws after such flaws have been identified and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by the type of flaw or the severity of the potential vulnerability if the flaw can be exploited. - id: si-2.3_obj name: assessment-objective props: - name: label value: SI-02(03) class: sp800-53a parts: - id: si-2.3_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-02(03)(a) class: sp800-53a prose: the time between flaw identification and flaw remediation is measured; links: - href: '#si-2.3_smt.a' rel: assessment-for - id: si-2.3_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-02(03)(b) class: sp800-53a prose: '{{ insert: param, si-02.03_odp }} for taking corrective actions have been established.' links: - href: '#si-2.3_smt.b' rel: assessment-for links: - href: '#si-2.3_smt' rel: assessment-for - id: si-2.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-02(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing flaw remediation system design documentation system configuration settings and associated documentation list of benchmarks for taking corrective action on identified flaws records that provide timestamps of flaw identification and subsequent flaw remediation activities system security plan other relevant documents or records' - id: si-2.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-02(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for flaw remediation' - id: si-2.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-02(03)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for identifying, reporting, and correcting system flaws mechanisms used to measure the time between flaw identification and flaw remediation' - id: si-3 class: SP800-53 title: Malicious Code Protection params: - id: si-03_odp.01 props: - name: alt-identifier value: si-3_prm_1 - name: label value: SI-03_ODP[01] class: sp800-53a constraints: - description: signature based and non-signature based - id: si-03_odp.02 props: - name: alt-identifier value: si-3_prm_2 - name: label value: SI-03_ODP[02] class: sp800-53a label: frequency constraints: - description: at least weekly guidelines: - prose: the frequency at which malicious code protection mechanisms perform scans is defined; - id: si-03_odp.03 props: - name: alt-identifier value: si-3_prm_3 - name: label value: SI-03_ODP[03] class: sp800-53a constraints: - description: to include endpoints and network entry and exit points - id: si-03_odp.04 props: - name: alt-identifier value: si-3_prm_4 - name: label value: SI-03_ODP[04] class: sp800-53a constraints: - description: to include blocking and quarantining malicious code - id: si-03_odp.05 props: - name: alt-identifier value: si-3_prm_5 - name: label value: SI-03_ODP[05] class: sp800-53a label: action guidelines: - prose: action to be taken in response to malicious code detection are defined (if selected); - id: si-03_odp.06 props: - name: alt-identifier value: si-3_prm_6 - name: label value: SI-03_ODP[06] class: sp800-53a label: personnel or roles constraints: - description: administrator or defined security personnel near-realtime guidelines: - prose: personnel or roles to be alerted when malicious code is detected is/are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SI-03 class: zero-padded - name: label value: SI-3 - name: label value: SI-03 class: sp800-53a - name: sort-id value: si-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#3dd249b0-f57d-44ba-a03e-c3eab1b835ff' rel: reference - href: '#88660532-2dcf-442e-845c-03340ce48999' rel: reference - href: '#1c71b420-2bd9-4e52-9fc8-390f58b85b59' rel: reference - href: '#ac-4' rel: related - href: '#ac-19' rel: related - href: '#cm-3' rel: related - href: '#cm-8' rel: related - href: '#ir-4' rel: related - href: '#ma-3' rel: related - href: '#ma-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pl-9 rel: related - href: '#ra-5' rel: related - href: '#sc-7' rel: related - href: '#sc-23' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-26 rel: related - href: '#sc-28' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-44 rel: related - href: '#si-2' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related - href: '#si-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-15 rel: related parts: - id: si-3_smt name: statement parts: - id: si-3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Implement {{ insert: param, si-03_odp.01 }} malicious code protection mechanisms at system entry and exit points to detect and eradicate malicious code;' - id: si-3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Automatically update malicious code protection mechanisms as new releases are available in accordance with organizational configuration management policy and procedures; - id: si-3_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Configure malicious code protection mechanisms to:' parts: - id: si-3_smt.c.1 name: item props: - name: label value: '1.' prose: 'Perform periodic scans of the system {{ insert: param, si-03_odp.02 }} and real-time scans of files from external sources at {{ insert: param, si-03_odp.03 }} as the files are downloaded, opened, or executed in accordance with organizational policy; and' - id: si-3_smt.c.2 name: item props: - name: label value: '2.' prose: '{{ insert: param, si-03_odp.04 }} ; and send alert to {{ insert: param, si-03_odp.06 }} in response to malicious code detection; and' - id: si-3_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Address the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the system. - id: si-3_gdn name: guidance prose: 'System entry and exit points include firewalls, remote access servers, workstations, electronic mail servers, web servers, proxy servers, notebook computers, and mobile devices. Malicious code includes viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats contained within compressed or hidden files or hidden in files using techniques such as steganography. Malicious code can be inserted into systems in a variety of ways, including by electronic mail, the world-wide web, and portable storage devices. Malicious code insertions occur through the exploitation of system vulnerabilities. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Malicious code protection mechanisms include both signature- and nonsignature-based technologies. Nonsignature-based detection mechanisms include artificial intelligence techniques that use heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide controls against such code for which signatures do not yet exist or for which existing signatures may not be effective. Malicious code for which active signatures do not yet exist or may be ineffective includes polymorphic malicious code (i.e., code that changes signatures when it replicates). Nonsignature-based mechanisms also include reputation-based technologies. In addition to the above technologies, pervasive configuration management, comprehensive software integrity controls, and anti-exploitation software may be effective in preventing the execution of unauthorized code. Malicious code may be present in commercial off-the-shelf software as well as custom-built software and could include logic bombs, backdoors, and other types of attacks that could affect organizational mission and business functions. In situations where malicious code cannot be detected by detection methods or technologies, organizations rely on other types of controls, including secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to ensure that software does not perform functions other than the functions intended. Organizations may determine that, in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, the detection of malicious downloads, or the detection of maliciousness when attempting to open or execute files.' - id: si-3_obj name: assessment-objective props: - name: label value: SI-03 class: sp800-53a parts: - id: si-3_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-03a. class: sp800-53a parts: - id: si-3_obj.a-1 name: assessment-objective props: - name: label value: SI-03a.[01] class: sp800-53a prose: '{{ insert: param, si-03_odp.01 }} malicious code protection mechanisms are implemented at system entry and exit points to detect malicious code;' links: - href: '#si-3_smt.a' rel: assessment-for - id: si-3_obj.a-2 name: assessment-objective props: - name: label value: SI-03a.[02] class: sp800-53a prose: '{{ insert: param, si-03_odp.01 }} malicious code protection mechanisms are implemented at system entry and exit points to eradicate malicious code;' links: - href: '#si-3_smt.a' rel: assessment-for links: - href: '#si-3_smt.a' rel: assessment-for - id: si-3_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-03b. class: sp800-53a prose: malicious code protection mechanisms are updated automatically as new releases are available in accordance with organizational configuration management policy and procedures; links: - href: '#si-3_smt.b' rel: assessment-for - id: si-3_obj.c name: assessment-objective props: - name: label value: SI-03c. class: sp800-53a parts: - id: si-3_obj.c.1 name: assessment-objective props: - name: label value: SI-03c.01 class: sp800-53a parts: - id: si-3_obj.c.1-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-03c.01[01] class: sp800-53a prose: 'malicious code protection mechanisms are configured to perform periodic scans of the system {{ insert: param, si-03_odp.02 }};' links: - href: '#si-3_smt.c.1' rel: assessment-for - id: si-3_obj.c.1-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-03c.01[02] class: sp800-53a prose: 'malicious code protection mechanisms are configured to perform real-time scans of files from external sources at {{ insert: param, si-03_odp.03 }} as the files are downloaded, opened, or executed in accordance with organizational policy;' links: - href: '#si-3_smt.c.1' rel: assessment-for links: - href: '#si-3_smt.c.1' rel: assessment-for - id: si-3_obj.c.2 name: assessment-objective props: - name: label value: SI-03c.02 class: sp800-53a parts: - id: si-3_obj.c.2-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-03c.02[01] class: sp800-53a prose: 'malicious code protection mechanisms are configured to {{ insert: param, si-03_odp.04 }} in response to malicious code detection;' links: - href: '#si-3_smt.c.2' rel: assessment-for - id: si-3_obj.c.2-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-03c.02[02] class: sp800-53a prose: 'malicious code protection mechanisms are configured to send alerts to {{ insert: param, si-03_odp.06 }} in response to malicious code detection;' links: - href: '#si-3_smt.c.2' rel: assessment-for links: - href: '#si-3_smt.c.2' rel: assessment-for links: - href: '#si-3_smt.c' rel: assessment-for - id: si-3_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-03d. class: sp800-53a prose: the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the system are addressed. links: - href: '#si-3_smt.d' rel: assessment-for links: - href: '#si-3_smt' rel: assessment-for - id: si-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-03-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures configuration management policy and procedures procedures addressing malicious code protection malicious code protection mechanisms records of malicious code protection updates system design documentation system configuration settings and associated documentation scan results from malicious code protection mechanisms record of actions initiated by malicious code protection mechanisms in response to malicious code detection system audit records system security plan other relevant documents or records' - id: si-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-03-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for malicious code protection organizational personnel with configuration management responsibilities' - id: si-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-03-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for employing, updating, and configuring malicious code protection mechanisms organizational processes for addressing false positives and resulting potential impacts mechanisms supporting and/or implementing, employing, updating, and configuring malicious code protection mechanisms mechanisms supporting and/or implementing malicious code scanning and subsequent actions' - id: si-4 class: SP800-53 title: System Monitoring params: - id: si-04_odp.01 props: - name: alt-identifier value: si-4_prm_1 - name: label value: SI-04_ODP[01] class: sp800-53a label: monitoring objectives guidelines: - prose: monitoring objectives to detect attacks and indicators of potential attacks on the system are defined; - id: si-04_odp.02 props: - name: alt-identifier value: si-4_prm_2 - name: label value: SI-04_ODP[02] class: sp800-53a label: techniques and methods guidelines: - prose: techniques and methods used to identify unauthorized use of the system are defined; - id: si-04_odp.03 props: - name: alt-identifier value: si-4_prm_3 - name: label value: SI-04_ODP[03] class: sp800-53a label: system monitoring information guidelines: - prose: system monitoring information to be provided to personnel or roles is defined; - id: si-04_odp.04 props: - name: alt-identifier value: si-4_prm_4 - name: label value: SI-04_ODP[04] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom system monitoring information is to be provided is/are defined; - id: si-04_odp.05 props: - name: alt-identifier value: si-4_prm_5 - name: label value: SI-04_ODP[05] class: sp800-53a select: how-many: one-or-more choice: - as needed - '{{ insert: param, si-04_odp.06 }}' - id: si-04_odp.06 props: - name: alt-identifier value: si-4_prm_6 - name: label value: SI-04_ODP[06] class: sp800-53a label: frequency guidelines: - prose: a frequency for providing system monitoring to personnel or roles is defined (if selected); props: - name: label value: SI-04 class: zero-padded - name: label value: SI-4 - name: label value: SI-04 class: sp800-53a - name: sort-id value: si-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb' rel: reference - href: '#3dd249b0-f57d-44ba-a03e-c3eab1b835ff' rel: reference - href: '#5eee45d8-3313-4fdc-8d54-1742092bbdd6' rel: reference - href: '#25e3e57b-dc2f-4934-af9b-050b020c6f0e' rel: reference - href: '#067223d8-1ec7-45c5-b21b-c848da6de8fb' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-8' rel: related - href: '#ac-17' rel: related - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#au-9' rel: related - href: '#au-12' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-13 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-14 rel: related - href: '#ca-7' rel: related - href: '#cm-3' rel: related - href: '#cm-6' rel: related - href: '#cm-8' rel: related - href: '#cm-11' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-10 rel: related - href: '#ir-4' rel: related - href: '#ma-3' rel: related - href: '#ma-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pl-9 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-12 rel: related - href: '#ra-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ra-10 rel: related - href: '#sc-5' rel: related - href: '#sc-7' rel: related - href: '#sc-18' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-26 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-31 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-35 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-36 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-37 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-43 rel: related - href: '#si-3' rel: related - href: '#si-6' rel: related - href: '#si-7' rel: related - href: '#sr-9' rel: related - href: '#sr-10' rel: related parts: - id: si-4_smt name: statement parts: - id: si-4_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Monitor the system to detect:' parts: - id: si-4_smt.a.1 name: item props: - name: label value: '1.' prose: 'Attacks and indicators of potential attacks in accordance with the following monitoring objectives: {{ insert: param, si-04_odp.01 }} ; and' - id: si-4_smt.a.2 name: item props: - name: label value: '2.' prose: Unauthorized local, network, and remote connections; - id: si-4_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Identify unauthorized use of the system through the following techniques and methods: {{ insert: param, si-04_odp.02 }};' - id: si-4_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Invoke internal monitoring capabilities or deploy monitoring devices:' parts: - id: si-4_smt.c.1 name: item props: - name: label value: '1.' prose: Strategically within the system to collect organization-determined essential information; and - id: si-4_smt.c.2 name: item props: - name: label value: '2.' prose: At ad hoc locations within the system to track specific types of transactions of interest to the organization; - id: si-4_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Analyze detected events and anomalies; - id: si-4_smt.e name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: e. prose: Adjust the level of system monitoring activity when there is a change in risk to organizational operations and assets, individuals, other organizations, or the Nation; - id: si-4_smt.f name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: f. prose: Obtain legal opinion regarding system monitoring activities; and - id: si-4_smt.g name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: g. prose: 'Provide {{ insert: param, si-04_odp.03 }} to {{ insert: param, si-04_odp.04 }} {{ insert: param, si-04_odp.05 }}.' - id: si-4_gdn name: guidance prose: 'System monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at external interfaces to the system. Internal monitoring includes the observation of events occurring within the system. Organizations monitor systems by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives guide and inform the determination of the events. System monitoring capabilities are achieved through a variety of tools and techniques, including intrusion detection and prevention systems, malicious code protection software, scanning tools, audit record monitoring software, and network monitoring software. Depending on the security architecture, the distribution and configuration of monitoring devices may impact throughput at key internal and external boundaries as well as at other locations across a network due to the introduction of network throughput latency. If throughput management is needed, such devices are strategically located and deployed as part of an established organization-wide security architecture. Strategic locations for monitoring devices include selected perimeter locations and near key servers and server farms that support critical applications. Monitoring devices are typically employed at the managed interfaces associated with controls [SC-7](#sc-7) and [AC-17](#ac-17) . The information collected is a function of the organizational monitoring objectives and the capability of systems to support such objectives. Specific types of transactions of interest include Hypertext Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. System monitoring is an integral part of organizational continuous monitoring and incident response programs, and output from system monitoring serves as input to those programs. System monitoring requirements, including the need for specific types of system monitoring, may be referenced in other controls (e.g., [AC-2g](#ac-2_smt.g), [AC-2(7)](#ac-2.7), [AC-2(12)(a)](#ac-2.12_smt.a), [AC-17(1)](#ac-17.1), [AU-13](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-13), [AU-13(1)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-13.1), [AU-13(2)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-13.2), [CM-3f](#cm-3_smt.f), [CM-6d](#cm-6_smt.d), [MA-3a](#ma-3_smt.a), [MA-4a](#ma-4_smt.a), [SC-5(3)(b)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-5.3_smt.b), [SC-7a](#sc-7_smt.a), [SC-7(24)(b)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-7.24_smt.b), [SC-18b](#sc-18_smt.b), [SC-43b](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-43_smt.b) ). Adjustments to levels of system monitoring are based on law enforcement information, intelligence information, or other sources of information. The legality of system monitoring activities is based on applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.' - id: si-4_fr name: item ns: http://fedramp.gov/ns/oscal title: SI-4 Additional FedRAMP Requirements and Guidance parts: - id: si-4_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: See US-CERT Incident Response Reporting Guidelines. - id: si-4_obj name: assessment-objective props: - name: label value: SI-04 class: sp800-53a parts: - id: si-4_obj.a name: assessment-objective props: - name: label value: SI-04a. class: sp800-53a parts: - id: si-4_obj.a.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-04a.01 class: sp800-53a prose: 'the system is monitored to detect attacks and indicators of potential attacks in accordance with {{ insert: param, si-04_odp.01 }};' links: - href: '#si-4_smt.a.1' rel: assessment-for - id: si-4_obj.a.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-04a.02 class: sp800-53a parts: - id: si-4_obj.a.2-1 name: assessment-objective props: - name: label value: SI-04a.02[01] class: sp800-53a prose: the system is monitored to detect unauthorized local connections; links: - href: '#si-4_smt.a.2' rel: assessment-for - id: si-4_obj.a.2-2 name: assessment-objective props: - name: label value: SI-04a.02[02] class: sp800-53a prose: the system is monitored to detect unauthorized network connections; links: - href: '#si-4_smt.a.2' rel: assessment-for - id: si-4_obj.a.2-3 name: assessment-objective props: - name: label value: SI-04a.02[03] class: sp800-53a prose: the system is monitored to detect unauthorized remote connections; links: - href: '#si-4_smt.a.2' rel: assessment-for links: - href: '#si-4_smt.a.2' rel: assessment-for links: - href: '#si-4_smt.a' rel: assessment-for - id: si-4_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-04b. class: sp800-53a prose: 'unauthorized use of the system is identified through {{ insert: param, si-04_odp.02 }};' links: - href: '#si-4_smt.b' rel: assessment-for - id: si-4_obj.c name: assessment-objective props: - name: label value: SI-04c. class: sp800-53a parts: - id: si-4_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-04c.01 class: sp800-53a prose: internal monitoring capabilities are invoked or monitoring devices are deployed strategically within the system to collect organization-determined essential information; links: - href: '#si-4_smt.c.1' rel: assessment-for - id: si-4_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-04c.02 class: sp800-53a prose: internal monitoring capabilities are invoked or monitoring devices are deployed at ad hoc locations within the system to track specific types of transactions of interest to the organization; links: - href: '#si-4_smt.c.2' rel: assessment-for links: - href: '#si-4_smt.c' rel: assessment-for - id: si-4_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-04d. class: sp800-53a parts: - id: si-4_obj.d-1 name: assessment-objective props: - name: label value: SI-04d.[01] class: sp800-53a prose: detected events are analyzed; links: - href: '#si-4_smt.d' rel: assessment-for - id: si-4_obj.d-2 name: assessment-objective props: - name: label value: SI-04d.[02] class: sp800-53a prose: detected anomalies are analyzed; links: - href: '#si-4_smt.d' rel: assessment-for links: - href: '#si-4_smt.d' rel: assessment-for - id: si-4_obj.e name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-04e. class: sp800-53a prose: the level of system monitoring activity is adjusted when there is a change in risk to organizational operations and assets, individuals, other organizations, or the Nation; links: - href: '#si-4_smt.e' rel: assessment-for - id: si-4_obj.f name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-04f. class: sp800-53a prose: a legal opinion regarding system monitoring activities is obtained; links: - href: '#si-4_smt.f' rel: assessment-for - id: si-4_obj.g name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-04g. class: sp800-53a prose: '{{ insert: param, si-04_odp.03 }} is provided to {{ insert: param, si-04_odp.04 }} {{ insert: param, si-04_odp.05 }}.' links: - href: '#si-4_smt.g' rel: assessment-for links: - href: '#si-4_smt' rel: assessment-for - id: si-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques continuous monitoring strategy facility diagram/layout system design documentation system monitoring tools and techniques documentation locations within the system where monitoring devices are deployed system configuration settings and associated documentation system security plan other relevant documents or records' - id: si-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system' - id: si-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for system monitoring mechanisms supporting and/or implementing system monitoring capabilities' controls: - id: si-4.1 class: SP800-53-enhancement title: System-wide Intrusion Detection System props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SI-04(01) class: zero-padded - name: label value: SI-4(1) - name: label value: SI-04(01) class: sp800-53a - name: sort-id value: si-04.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-4' rel: required parts: - id: si-4.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Connect and configure individual intrusion detection tools into a system-wide intrusion detection system. - id: si-4.1_gdn name: guidance prose: Linking individual intrusion detection tools into a system-wide intrusion detection system provides additional coverage and effective detection capabilities. The information contained in one intrusion detection tool can be shared widely across the organization, making the system-wide detection capability more robust and powerful. - id: si-4.1_obj name: assessment-objective props: - name: label value: SI-04(01) class: sp800-53a parts: - id: si-4.1_obj-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-04(01)[01] class: sp800-53a prose: individual intrusion detection tools are connected to a system-wide intrusion detection system; links: - href: '#si-4.1_smt' rel: assessment-for - id: si-4.1_obj-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-04(01)[02] class: sp800-53a prose: individual intrusion detection tools are configured into a system-wide intrusion detection system. links: - href: '#si-4.1_smt' rel: assessment-for links: - href: '#si-4.1_smt' rel: assessment-for - id: si-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: si-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system' - id: si-4.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection capabilities' - id: si-4.2 class: SP800-53-enhancement title: Automated Tools and Mechanisms for Real-time Analysis props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SI-04(02) class: zero-padded - name: label value: SI-4(2) - name: label value: SI-04(02) class: sp800-53a - name: sort-id value: si-04.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-4' rel: required - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-23 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-25 rel: related parts: - id: si-4.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Employ automated tools and mechanisms to support near real-time analysis of events. - id: si-4.2_gdn name: guidance prose: Automated tools and mechanisms include host-based, network-based, transport-based, or storage-based event monitoring tools and mechanisms or security information and event management (SIEM) technologies that provide real-time analysis of alerts and notifications generated by organizational systems. Automated monitoring techniques can create unintended privacy risks because automated controls may connect to external or otherwise unrelated systems. The matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan. - id: si-4.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-04(02) class: sp800-53a prose: automated tools and mechanisms are employed to support a near real-time analysis of events. links: - href: '#si-4.2_smt' rel: assessment-for - id: si-4.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system audit records system security plan privacy plan privacy program plan privacy impact assessment privacy risk management documentation other relevant documents or records' - id: si-4.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security and privacy responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for incident response/management' - id: si-4.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for the near real-time analysis of events organizational processes for system monitoring mechanisms supporting and/or implementing system monitoring mechanisms/tools supporting and/or implementing an analysis of events' - id: si-4.4 class: SP800-53-enhancement title: Inbound and Outbound Communications Traffic params: - id: si-4.4_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-04.04_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-04.04_odp.03 label: organization-defined frequency - id: si-4.4_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-04.04_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-04.04_odp.04 label: organization-defined unusual or unauthorized activities or conditions - id: si-04.04_odp.01 props: - name: label value: SI-04(04)_ODP[01] class: sp800-53a label: frequency constraints: - description: continuously guidelines: - prose: the frequency at which to monitor inbound communications traffic for unusual or unauthorized activities or conditions is defined; - id: si-04.04_odp.02 props: - name: label value: SI-04(04)_ODP[02] class: sp800-53a label: unusual or unauthorized activities or conditions guidelines: - prose: unusual or unauthorized activities or conditions that are to be monitored in inbound communications traffic are defined; - id: si-04.04_odp.03 props: - name: label value: SI-04(04)_ODP[03] class: sp800-53a label: frequency constraints: - description: continuously guidelines: - prose: the frequency at which to monitor outbound communications traffic for unusual or unauthorized activities or conditions is defined; - id: si-04.04_odp.04 props: - name: label value: SI-04(04)_ODP[04] class: sp800-53a label: unusual or unauthorized activities or conditions guidelines: - prose: unusual or unauthorized activities or conditions that are to be monitored in outbound communications traffic are defined; props: - name: label value: SI-04(04) class: zero-padded - name: label value: SI-4(4) - name: label value: SI-04(04) class: sp800-53a - name: sort-id value: si-04.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-4' rel: required parts: - id: si-4.4_smt name: statement parts: - id: si-4.4_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: Determine criteria for unusual or unauthorized activities or conditions for inbound and outbound communications traffic; - id: si-4.4_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: 'Monitor inbound and outbound communications traffic {{ insert: param, si-4.4_prm_1 }} for {{ insert: param, si-4.4_prm_2 }}.' - id: si-4.4_gdn name: guidance prose: Unusual or unauthorized activities or conditions related to system inbound and outbound communications traffic includes internal traffic that indicates the presence of malicious code or unauthorized use of legitimate code or credentials within organizational systems or propagating among system components, signaling to external systems, and the unauthorized exporting of information. Evidence of malicious code or unauthorized use of legitimate code or credentials is used to identify potentially compromised systems or system components. - id: si-4.4_obj name: assessment-objective props: - name: label value: SI-04(04) class: sp800-53a parts: - id: si-4.4_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-04(04)(a) class: sp800-53a parts: - id: si-4.4_obj.a-1 name: assessment-objective props: - name: label value: SI-04(04)(a)[01] class: sp800-53a prose: criteria for unusual or unauthorized activities or conditions for inbound communications traffic are defined; links: - href: '#si-4.4_smt.a' rel: assessment-for - id: si-4.4_obj.a-2 name: assessment-objective props: - name: label value: SI-04(04)(a)[02] class: sp800-53a prose: criteria for unusual or unauthorized activities or conditions for outbound communications traffic are defined; links: - href: '#si-4.4_smt.a' rel: assessment-for links: - href: '#si-4.4_smt.a' rel: assessment-for - id: si-4.4_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-04(04)(b) class: sp800-53a parts: - id: si-4.4_obj.b-1 name: assessment-objective props: - name: label value: SI-04(04)(b)[01] class: sp800-53a prose: 'inbound communications traffic is monitored {{ insert: param, si-04.04_odp.01 }} for {{ insert: param, si-04.04_odp.02 }};' links: - href: '#si-4.4_smt.b' rel: assessment-for - id: si-4.4_obj.b-2 name: assessment-objective props: - name: label value: SI-04(04)(b)[02] class: sp800-53a prose: 'outbound communications traffic is monitored {{ insert: param, si-04.04_odp.03 }} for {{ insert: param, si-04.04_odp.04 }}.' links: - href: '#si-4.4_smt.b' rel: assessment-for links: - href: '#si-4.4_smt.b' rel: assessment-for links: - href: '#si-4.4_smt' rel: assessment-for - id: si-4.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system protocols system audit records system security plan other relevant documents or records' - id: si-4.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system' - id: si-4.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(04)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities mechanisms supporting and/or implementing the monitoring of inbound and outbound communications traffic' - id: si-4.5 class: SP800-53-enhancement title: System-generated Alerts params: - id: si-04.05_odp.01 props: - name: alt-identifier value: si-4.5_prm_1 - name: label value: SI-04(05)_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be alerted when indications of compromise or potential compromise occur is/are defined; - id: si-04.05_odp.02 props: - name: alt-identifier value: si-4.5_prm_2 - name: label value: SI-04(05)_ODP[02] class: sp800-53a label: compromise indicators guidelines: - prose: compromise indicators are defined; props: - name: label value: SI-04(05) class: zero-padded - name: label value: SI-4(5) - name: label value: SI-04(05) class: sp800-53a - name: sort-id value: si-04.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-4' rel: required - href: '#au-4' rel: related - href: '#au-5' rel: related - href: '#pe-6' rel: related parts: - id: si-4.5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Alert {{ insert: param, si-04.05_odp.01 }} when the following system-generated indications of compromise or potential compromise occur: {{ insert: param, si-04.05_odp.02 }}.' - id: si-4.5_gdn name: guidance prose: Alerts may be generated from a variety of sources, including audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be automated and may be transmitted telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the alert notification list can include system administrators, mission or business owners, system owners, information owners/stewards, senior agency information security officers, senior agency officials for privacy, system security officers, or privacy officers. In contrast to alerts generated by the system, alerts generated by organizations in [SI-4(12)](#si-4.12) focus on information sources external to the system, such as suspicious activity reports and reports on potential insider threats. - id: si-4.5_fr name: item ns: http://fedramp.gov/ns/oscal title: SI-4 (5) Additional FedRAMP Requirements and Guidance parts: - id: si-4.5_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: In accordance with the incident response plan. - id: si-4.5_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-04(05) class: sp800-53a prose: '{{ insert: param, si-04.05_odp.01 }} are alerted when system-generated {{ insert: param, si-04.05_odp.02 }} occur.' links: - href: '#si-4.5_smt' rel: assessment-for - id: si-4.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system monitoring tools and techniques documentation system configuration settings and associated documentation list of personnel selected to receive alerts documentation of alerts generated based on compromise indicators system audit records system security plan privacy plan other relevant documents or records' - id: si-4.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security and privacy responsibilities system developers organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel on the system alert notification list organizational personnel responsible for the intrusion detection system' - id: si-4.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(05)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities mechanisms supporting and/or implementing alerts for compromise indicators' - id: si-4.10 class: SP800-53-enhancement title: Visibility of Encrypted Communications params: - id: si-04.10_odp.01 props: - name: alt-identifier value: si-4.10_prm_1 - name: label value: SI-04(10)_ODP[01] class: sp800-53a label: encrypted communications traffic guidelines: - prose: encrypted communications traffic to be made visible to system monitoring tools and mechanisms is defined; - id: si-04.10_odp.02 props: - name: alt-identifier value: si-4.10_prm_2 - name: label value: SI-04(10)_ODP[02] class: sp800-53a label: system monitoring tools and mechanisms guidelines: - prose: system monitoring tools and mechanisms to be provided access to encrypted communications traffic are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SI-04(10) class: zero-padded - name: label value: SI-4(10) - name: label value: SI-04(10) class: sp800-53a - name: sort-id value: si-04.10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-4' rel: required parts: - id: si-4.10_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Make provisions so that {{ insert: param, si-04.10_odp.01 }} is visible to {{ insert: param, si-04.10_odp.02 }}.' - id: si-4.10_gdn name: guidance prose: Organizations balance the need to encrypt communications traffic to protect data confidentiality with the need to maintain visibility into such traffic from a monitoring perspective. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types. - id: si-4.10_fr name: item ns: http://fedramp.gov/ns/oscal title: SI-4 (10) Additional FedRAMP Requirements and Guidance parts: - id: si-4.10_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: The service provider must support Agency requirements to comply with M-21-31 (https://www.whitehouse.gov/wp-content/uploads/2021/08/M-21-31-Improving-the-Federal-Governments-Investigative-and-Remediation-Capabilities-Related-to-Cybersecurity-Incidents.pdf) and M-22-09 (https://www.whitehouse.gov/wp-content/uploads/2022/01/M-22-09.pdf). - id: si-4.10_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-04(10) class: sp800-53a prose: 'provisions are made so that {{ insert: param, si-04.10_odp.01 }} is visible to {{ insert: param, si-04.10_odp.02 }}.' links: - href: '#si-4.10_smt' rel: assessment-for - id: si-4.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(10)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system protocols system security plan other relevant documents or records' - id: si-4.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(10)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system' - id: si-4.10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(10)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities mechanisms supporting and/or implementing the visibility of encrypted communications traffic to monitoring tools' - id: si-4.11 class: SP800-53-enhancement title: Analyze Communications Traffic Anomalies params: - id: si-04.11_odp props: - name: alt-identifier value: si-4.11_prm_1 - name: alt-label value: interior points within the system class: sp800-53 - name: label value: SI-04(11)_ODP class: sp800-53a label: interior points guidelines: - prose: interior points within the system where communications traffic is to be analyzed are defined; props: - name: label value: SI-04(11) class: zero-padded - name: label value: SI-4(11) - name: label value: SI-04(11) class: sp800-53a - name: sort-id value: si-04.11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-4' rel: required parts: - id: si-4.11_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Analyze outbound communications traffic at the external interfaces to the system and selected {{ insert: param, si-04.11_odp }} to discover anomalies.' - id: si-4.11_gdn name: guidance prose: Organization-defined interior points include subnetworks and subsystems. Anomalies within organizational systems include large file transfers, long-time persistent connections, attempts to access information from unexpected locations, the use of unusual protocols and ports, the use of unmonitored network protocols (e.g., IPv6 usage during IPv4 transition), and attempted communications with suspected malicious external addresses. - id: si-4.11_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-04(11) class: sp800-53a parts: - id: si-4.11_obj-1 name: assessment-objective props: - name: label value: SI-04(11)[01] class: sp800-53a prose: outbound communications traffic at the external interfaces to the system is analyzed to discover anomalies; links: - href: '#si-4.11_smt' rel: assessment-for - id: si-4.11_obj-2 name: assessment-objective props: - name: label value: SI-04(11)[02] class: sp800-53a prose: 'outbound communications traffic at {{ insert: param, si-04.11_odp }} is analyzed to discover anomalies.' links: - href: '#si-4.11_smt' rel: assessment-for links: - href: '#si-4.11_smt' rel: assessment-for - id: si-4.11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(11)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation network diagram system monitoring tools and techniques documentation system configuration settings and associated documentation system monitoring logs or records system audit records system security plan other relevant documents or records' - id: si-4.11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(11)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system' - id: si-4.11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(11)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities mechanisms supporting and/or implementing the analysis of communications traffic' - id: si-4.12 class: SP800-53-enhancement title: Automated Organization-generated Alerts params: - id: si-04.12_odp.01 props: - name: alt-identifier value: si-4.12_prm_1 - name: label value: SI-04(12)_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be alerted when indications of inappropriate or unusual activity with security or privacy implications occur is/are defined; - id: si-04.12_odp.02 props: - name: alt-identifier value: si-4.12_prm_2 - name: label value: SI-04(12)_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to alert personnel or roles are defined; - id: si-04.12_odp.03 props: - name: alt-identifier value: si-4.12_prm_3 - name: label value: SI-04(12)_ODP[03] class: sp800-53a label: activities that trigger alerts guidelines: - prose: activities that trigger alerts to personnel or are defined; props: - name: label value: SI-04(12) class: zero-padded - name: label value: SI-4(12) - name: label value: SI-04(12) class: sp800-53a - name: sort-id value: si-04.12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-4' rel: required parts: - id: si-4.12_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Alert {{ insert: param, si-04.12_odp.01 }} using {{ insert: param, si-04.12_odp.02 }} when the following indications of inappropriate or unusual activities with security or privacy implications occur: {{ insert: param, si-04.12_odp.03 }}.' - id: si-4.12_gdn name: guidance prose: Organizational personnel on the system alert notification list include system administrators, mission or business owners, system owners, senior agency information security officer, senior agency official for privacy, system security officers, or privacy officers. Automated organization-generated alerts are the security alerts generated by organizations and transmitted using automated means. The sources for organization-generated alerts are focused on other entities such as suspicious activity reports and reports on potential insider threats. In contrast to alerts generated by the organization, alerts generated by the system in [SI-4(5)](#si-4.5) focus on information sources that are internal to the systems, such as audit records. - id: si-4.12_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-04(12) class: sp800-53a prose: '{{ insert: param, si-04.12_odp.01 }} is/are alerted using {{ insert: param, si-04.12_odp.02 }} when {{ insert: param, si-04.12_odp.03 }} indicate inappropriate or unusual activities with security or privacy implications.' links: - href: '#si-4.12_smt' rel: assessment-for - id: si-4.12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(12)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation list of inappropriate or unusual activities with security and privacy implications that trigger alerts suspicious activity reports alerts provided to security and privacy personnel system monitoring logs or records system audit records system security plan privacy plan other relevant documents or records' - id: si-4.12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(12)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security and privacy responsibilities system developers organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system' - id: si-4.12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(12)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for intrusion detection and system monitoring automated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities automated mechanisms supporting and/or implementing automated alerts to security personnel' - id: si-4.14 class: SP800-53-enhancement title: Wireless Intrusion Detection props: - name: label value: SI-04(14) class: zero-padded - name: label value: SI-4(14) - name: label value: SI-04(14) class: sp800-53a - name: sort-id value: si-04.14 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-4' rel: required - href: '#ac-18' rel: related - href: '#ia-3' rel: related parts: - id: si-4.14_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Employ a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises or breaches to the system. - id: si-4.14_gdn name: guidance prose: Wireless signals may radiate beyond organizational facilities. Organizations proactively search for unauthorized wireless connections, including the conduct of thorough scans for unauthorized wireless access points. Wireless scans are not limited to those areas within facilities containing systems but also include areas outside of facilities to verify that unauthorized wireless access points are not connected to organizational systems. - id: si-4.14_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-04(14) class: sp800-53a parts: - id: si-4.14_obj-1 name: assessment-objective props: - name: label value: SI-04(14)[01] class: sp800-53a prose: a wireless intrusion detection system is employed to identify rogue wireless devices; links: - href: '#si-4.14_smt' rel: assessment-for - id: si-4.14_obj-2 name: assessment-objective props: - name: label value: SI-04(14)[02] class: sp800-53a prose: a wireless intrusion detection system is employed to detect attack attempts on the system; links: - href: '#si-4.14_smt' rel: assessment-for - id: si-4.14_obj-3 name: assessment-objective props: - name: label value: SI-04(14)[03] class: sp800-53a prose: a wireless intrusion detection system is employed to detect potential compromises or breaches to the system. links: - href: '#si-4.14_smt' rel: assessment-for links: - href: '#si-4.14_smt' rel: assessment-for - id: si-4.14_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(14)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system protocols system audit records system security plan other relevant documents or records' - id: si-4.14_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(14)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system' - id: si-4.14_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(14)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for intrusion detection mechanisms supporting and/or implementing a wireless intrusion detection capability' - id: si-4.16 class: SP800-53-enhancement title: Correlate Monitoring Information props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SI-04(16) class: zero-padded - name: label value: SI-4(16) - name: label value: SI-04(16) class: sp800-53a - name: sort-id value: si-04.16 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-4' rel: required - href: '#au-6' rel: related parts: - id: si-4.16_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Correlate information from monitoring tools and mechanisms employed throughout the system. - id: si-4.16_gdn name: guidance prose: Correlating information from different system monitoring tools and mechanisms can provide a more comprehensive view of system activity. Correlating system monitoring tools and mechanisms that typically work in isolation—including malicious code protection software, host monitoring, and network monitoring—can provide an organization-wide monitoring view and may reveal otherwise unseen attack patterns. Understanding the capabilities and limitations of diverse monitoring tools and mechanisms and how to maximize the use of information generated by those tools and mechanisms can help organizations develop, operate, and maintain effective monitoring programs. The correlation of monitoring information is especially important during the transition from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). - id: si-4.16_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-04(16) class: sp800-53a prose: information from monitoring tools and mechanisms employed throughout the system is correlated. links: - href: '#si-4.16_smt' rel: assessment-for - id: si-4.16_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(16)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation event correlation logs or records system audit records system security plan other relevant documents or records' - id: si-4.16_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(16)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system' - id: si-4.16_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(16)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities mechanisms supporting and/or implementing the correlation of information from monitoring tools' - id: si-4.18 class: SP800-53-enhancement title: Analyze Traffic and Covert Exfiltration params: - id: si-04.18_odp props: - name: alt-identifier value: si-4.18_prm_1 - name: alt-label value: interior points within the system class: sp800-53 - name: label value: SI-04(18)_ODP class: sp800-53a label: interior points guidelines: - prose: interior points within the system where communications traffic is to be analyzed are defined; props: - name: label value: SI-04(18) class: zero-padded - name: label value: SI-4(18) - name: label value: SI-04(18) class: sp800-53a - name: sort-id value: si-04.18 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-4' rel: required parts: - id: si-4.18_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Analyze outbound communications traffic at external interfaces to the system and at the following interior points to detect covert exfiltration of information: {{ insert: param, si-04.18_odp }}.' - id: si-4.18_gdn name: guidance prose: Organization-defined interior points include subnetworks and subsystems. Covert means that can be used to exfiltrate information include steganography. - id: si-4.18_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-04(18) class: sp800-53a parts: - id: si-4.18_obj-1 name: assessment-objective props: - name: label value: SI-04(18)[01] class: sp800-53a prose: outbound communications traffic is analyzed at interfaces external to the system to detect covert exfiltration of information; links: - href: '#si-4.18_smt' rel: assessment-for - id: si-4.18_obj-2 name: assessment-objective props: - name: label value: SI-04(18)[02] class: sp800-53a prose: 'outbound communications traffic is analyzed at {{ insert: param, si-04.18_odp }} to detect covert exfiltration of information.' links: - href: '#si-4.18_smt' rel: assessment-for links: - href: '#si-4.18_smt' rel: assessment-for - id: si-4.18_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(18)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation network diagram system monitoring tools and techniques documentation system configuration settings and associated documentation system monitoring logs or records system audit records system security plan other relevant documents or records' - id: si-4.18_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(18)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system' - id: si-4.18_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(18)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities mechanisms supporting and/or implementing an analysis of outbound communications traffic' - id: si-4.19 class: SP800-53-enhancement title: Risk for Individuals params: - id: si-04.19_odp.01 props: - name: alt-identifier value: si-4.19_prm_1 - name: label value: SI-04(19)_ODP[01] class: sp800-53a label: additional monitoring guidelines: - prose: additional monitoring of individuals who have been identified as posing an increased level of risk is defined; - id: si-04.19_odp.02 props: - name: alt-identifier value: si-4.19_prm_2 - name: label value: SI-04(19)_ODP[02] class: sp800-53a label: sources guidelines: - prose: sources that identify individuals who pose an increased level of risk are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SI-04(19) class: zero-padded - name: label value: SI-4(19) - name: label value: SI-04(19) class: sp800-53a - name: sort-id value: si-04.19 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-4' rel: required parts: - id: si-4.19_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Implement {{ insert: param, si-04.19_odp.01 }} of individuals who have been identified by {{ insert: param, si-04.19_odp.02 }} as posing an increased level of risk.' - id: si-4.19_gdn name: guidance prose: Indications of increased risk from individuals can be obtained from different sources, including personnel records, intelligence agencies, law enforcement organizations, and other sources. The monitoring of individuals is coordinated with the management, legal, security, privacy, and human resource officials who conduct such monitoring. Monitoring is conducted in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. - id: si-4.19_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-04(19) class: sp800-53a prose: '{{ insert: param, si-04.19_odp.01 }} is implemented on individuals who have been identified by {{ insert: param, si-04.19_odp.02 }} as posing an increased level of risk.' links: - href: '#si-4.19_smt' rel: assessment-for - id: si-4.19_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(19)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing system monitoring system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system audit records system security plan privacy plan other relevant documents or records' - id: si-4.19_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(19)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security and privacy responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system legal counsel human resource officials organizational personnel with personnel security responsibilities' - id: si-4.19_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(19)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for system monitoring mechanisms supporting and/or implementing a system monitoring capability' - id: si-4.20 class: SP800-53-enhancement title: Privileged Users params: - id: si-04.20_odp props: - name: alt-identifier value: si-4.20_prm_1 - name: label value: SI-04(20)_ODP class: sp800-53a label: additional monitoring guidelines: - prose: additional monitoring of privileged users is defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SI-04(20) class: zero-padded - name: label value: SI-4(20) - name: label value: SI-04(20) class: sp800-53a - name: sort-id value: si-04.20 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-4' rel: required - href: '#ac-18' rel: related parts: - id: si-4.20_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Implement the following additional monitoring of privileged users: {{ insert: param, si-04.20_odp }}.' - id: si-4.20_gdn name: guidance prose: Privileged users have access to more sensitive information, including security-related information, than the general user population. Access to such information means that privileged users can potentially do greater damage to systems and organizations than non-privileged users. Therefore, implementing additional monitoring on privileged users helps to ensure that organizations can identify malicious activity at the earliest possible time and take appropriate actions. - id: si-4.20_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-04(20) class: sp800-53a prose: '{{ insert: param, si-04.20_odp }} of privileged users is implemented.' links: - href: '#si-4.20_smt' rel: assessment-for - id: si-4.20_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(20)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system monitoring logs or records system audit records system security plan other relevant documents or records' - id: si-4.20_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(20)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system' - id: si-4.20_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(20)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for system monitoring mechanisms supporting and/or implementing a system monitoring capability' - id: si-4.22 class: SP800-53-enhancement title: Unauthorized Network Services params: - id: si-04.22_odp.01 props: - name: alt-identifier value: si-4.22_prm_1 - name: label value: SI-04(22)_ODP[01] class: sp800-53a label: authorization or approval processes guidelines: - prose: authorization or approval processes for network services are defined; - id: si-04.22_odp.02 props: - name: alt-identifier value: si-4.22_prm_2 - name: label value: SI-04(22)_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - audit - 'alert {{ insert: param, si-04.22_odp.03 }}' - id: si-04.22_odp.03 props: - name: alt-identifier value: si-4.22_prm_3 - name: label value: SI-04(22)_ODP[03] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be alerted upon the detection of network services that have not been authorized or approved by authorization or approval processes is/are defined (if selected); props: - name: label value: SI-04(22) class: zero-padded - name: label value: SI-4(22) - name: label value: SI-04(22) class: sp800-53a - name: sort-id value: si-04.22 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-4' rel: required - href: '#cm-7' rel: related parts: - id: si-4.22_smt name: statement parts: - id: si-4.22_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (a) prose: 'Detect network services that have not been authorized or approved by {{ insert: param, si-04.22_odp.01 }} ; and' - id: si-4.22_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: (b) prose: '{{ insert: param, si-04.22_odp.02 }} when detected.' - id: si-4.22_gdn name: guidance prose: Unauthorized or unapproved network services include services in service-oriented architectures that lack organizational verification or validation and may therefore be unreliable or serve as malicious rogues for valid services. - id: si-4.22_obj name: assessment-objective props: - name: label value: SI-04(22) class: sp800-53a parts: - id: si-4.22_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-04(22)(a) class: sp800-53a prose: 'network services that have not been authorized or approved by {{ insert: param, si-04.22_odp.01 }} are detected;' links: - href: '#si-4.22_smt.a' rel: assessment-for - id: si-4.22_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-04(22)(b) class: sp800-53a prose: '{{ insert: param, si-04.22_odp.02 }} is/are initiated when network services that have not been authorized or approved by authorization or approval processes are detected.' links: - href: '#si-4.22_smt.b' rel: assessment-for links: - href: '#si-4.22_smt' rel: assessment-for - id: si-4.22_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(22)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation documented authorization/approval of network services notifications or alerts of unauthorized network services system monitoring logs or records system audit records system security plan other relevant documents or records' - id: si-4.22_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(22)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities system developer organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system' - id: si-4.22_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(22)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for system monitoring mechanisms supporting and/or implementing a system monitoring capability mechanisms for auditing network services mechanisms for providing alerts' - id: si-4.23 class: SP800-53-enhancement title: Host-based Devices params: - id: si-04.23_odp.01 props: - name: alt-identifier value: si-4.23_prm_2 - name: label value: SI-04(23)_ODP[01] class: sp800-53a label: host-based monitoring mechanisms guidelines: - prose: host-based monitoring mechanisms to be implemented on system components are defined; - id: si-04.23_odp.02 props: - name: alt-identifier value: si-4.23_prm_1 - name: label value: SI-04(23)_ODP[02] class: sp800-53a label: system components guidelines: - prose: system components where host-based monitoring is to be implemented are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SI-04(23) class: zero-padded - name: label value: SI-4(23) - name: label value: SI-04(23) class: sp800-53a - name: sort-id value: si-04.23 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-4' rel: required - href: '#ac-18' rel: related - href: '#ac-19' rel: related parts: - id: si-4.23_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Implement the following host-based monitoring mechanisms at {{ insert: param, si-04.23_odp.02 }}: {{ insert: param, si-04.23_odp.01 }}.' - id: si-4.23_gdn name: guidance prose: Host-based monitoring collects information about the host (or system in which it resides). System components in which host-based monitoring can be implemented include servers, notebook computers, and mobile devices. Organizations may consider employing host-based monitoring mechanisms from multiple product developers or vendors. - id: si-4.23_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-04(23) class: sp800-53a prose: '{{ insert: param, si-04.23_odp.01 }} are implemented on {{ insert: param, si-04.23_odp.02 }}.' links: - href: '#si-4.23_smt' rel: assessment-for - id: si-4.23_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(23)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation host-based monitoring mechanisms system monitoring tools and techniques documentation system configuration settings and associated documentation list of system components requiring host-based monitoring system monitoring logs or records system audit records system security plan other relevant documents or records' - id: si-4.23_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(23)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring system hosts' - id: si-4.23_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(23)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for system monitoring mechanisms supporting and/or implementing a host-based monitoring capability' - id: si-5 class: SP800-53 title: Security Alerts, Advisories, and Directives params: - id: si-05_odp.01 props: - name: alt-identifier value: si-5_prm_1 - name: label value: SI-05_ODP[01] class: sp800-53a label: external organizations constraints: - description: to include US-CERT and Cybersecurity and Infrastructure Security Agency (CISA) Directives guidelines: - prose: external organizations from whom system security alerts, advisories, and directives are to be received on an ongoing basis are defined; - id: si-05_odp.02 props: - name: alt-identifier value: si-5_prm_2 - name: label value: SI-05_ODP[02] class: sp800-53a constraints: - description: to include system security personnel and administrators with configuration/patch-management responsibilities - id: si-05_odp.03 props: - name: alt-identifier value: si-5_prm_3 - name: label value: SI-05_ODP[03] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom security alerts, advisories, and directives are to be disseminated is/are defined (if selected); - id: si-05_odp.04 props: - name: alt-identifier value: si-5_prm_4 - name: alt-label value: elements within the organization class: sp800-53 - name: label value: SI-05_ODP[04] class: sp800-53a label: elements guidelines: - prose: elements within the organization to whom security alerts, advisories, and directives are to be disseminated are defined (if selected); - id: si-05_odp.05 props: - name: alt-identifier value: si-5_prm_5 - name: label value: SI-05_ODP[05] class: sp800-53a label: external organizations guidelines: - prose: external organizations to whom security alerts, advisories, and directives are to be disseminated are defined (if selected); props: - name: label value: SI-05 class: zero-padded - name: label value: SI-5 - name: label value: SI-05 class: sp800-53a - name: sort-id value: si-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#155f941a-cba9-4afd-9ca6-5d040d697ba9' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-15 rel: related - href: '#ra-5' rel: related - href: '#si-2' rel: related parts: - id: si-5_smt name: statement parts: - id: si-5_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Receive system security alerts, advisories, and directives from {{ insert: param, si-05_odp.01 }} on an ongoing basis;' - id: si-5_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Generate internal security alerts, advisories, and directives as deemed necessary; - id: si-5_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Disseminate security alerts, advisories, and directives to: {{ insert: param, si-05_odp.02 }} ; and' - id: si-5_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: Implement security directives in accordance with established time frames, or notify the issuing organization of the degree of noncompliance. - id: si-5_gdn name: guidance prose: The Cybersecurity and Infrastructure Security Agency (CISA) generates security alerts and advisories to maintain situational awareness throughout the Federal Government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance with security directives is essential due to the critical nature of many of these directives and the potential (immediate) adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include supply chain partners, external mission or business partners, external service providers, and other peer or supporting organizations. - id: si-5_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal title: SI-5 Additional FedRAMP Requirements and Guidance props: - name: label value: 'Requirement:' prose: Service Providers must address the CISA Emergency and Binding Operational Directives applicable to their cloud service offering per FedRAMP guidance. This includes listing the applicable directives and stating compliance status. - id: si-5_obj name: assessment-objective props: - name: label value: SI-05 class: sp800-53a parts: - id: si-5_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-05a. class: sp800-53a prose: 'system security alerts, advisories, and directives are received from {{ insert: param, si-05_odp.01 }} on an ongoing basis;' links: - href: '#si-5_smt.a' rel: assessment-for - id: si-5_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-05b. class: sp800-53a prose: internal security alerts, advisories, and directives are generated as deemed necessary; links: - href: '#si-5_smt.b' rel: assessment-for - id: si-5_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-05c. class: sp800-53a prose: 'security alerts, advisories, and directives are disseminated to {{ insert: param, si-05_odp.02 }};' links: - href: '#si-5_smt.c' rel: assessment-for - id: si-5_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-05d. class: sp800-53a prose: security directives are implemented in accordance with established time frames or if the issuing organization is notified of the degree of noncompliance. links: - href: '#si-5_smt.d' rel: assessment-for links: - href: '#si-5_smt' rel: assessment-for - id: si-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-05-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing security alerts, advisories, and directives records of security alerts and advisories system security plan other relevant documents or records' - id: si-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-05-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with security alert and advisory responsibilities organizational personnel implementing, operating, maintaining, and using the system organizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated system/network administrators organizational personnel with information security responsibilities' - id: si-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-05-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives mechanisms supporting and/or implementing the definition, receipt, generation, and dissemination of security alerts, advisories, and directives mechanisms supporting and/or implementing security directives' controls: - id: si-5.1 class: SP800-53-enhancement title: Automated Alerts and Advisories params: - id: si-05.01_odp props: - name: alt-identifier value: si-5.1_prm_1 - name: label value: SI-05(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to broadcast security alert and advisory information throughout the organization are defined; props: - name: label value: SI-05(01) class: zero-padded - name: label value: SI-5(1) - name: label value: SI-05(01) class: sp800-53a - name: sort-id value: si-05.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-5' rel: required parts: - id: si-5.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Broadcast security alert and advisory information throughout the organization using {{ insert: param, si-05.01_odp }}.' - id: si-5.1_gdn name: guidance prose: The significant number of changes to organizational systems and environments of operation requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational mission and business functions. Based on information provided by security alerts and advisories, changes may be required at one or more of the three levels related to the management of risk, including the governance level, mission and business process level, and the information system level. - id: si-5.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-05(01) class: sp800-53a prose: '{{ insert: param, si-05.01_odp }} are used to broadcast security alert and advisory information throughout the organization.' links: - href: '#si-5.1_smt' rel: assessment-for - id: si-5.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-05(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing security alerts, advisories, and directives system design documentation system configuration settings and associated documentation automated mechanisms supporting the distribution of security alert and advisory information records of security alerts and advisories system audit records system security plan other relevant documents or records' - id: si-5.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-05(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with security alert and advisory responsibilities organizational personnel implementing, operating, maintaining, and using the system organizational personnel, organizational elements, and/or external organizations to whom alerts and advisories are to be disseminated system/network administrators organizational personnel with information security responsibilities' - id: si-5.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-05(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for defining, receiving, generating, and disseminating security alerts and advisories automated mechanisms supporting and/or implementing the dissemination of security alerts and advisories' - id: si-6 class: SP800-53 title: Security and Privacy Function Verification params: - id: si-6_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-06_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-06_odp.02 label: organization-defined security and privacy functions - id: si-06_odp.01 props: - name: label value: SI-06_ODP[01] class: sp800-53a label: security functions guidelines: - prose: security functions to be verified for correct operation are defined; - id: si-06_odp.02 props: - name: label value: SI-06_ODP[02] class: sp800-53a label: privacy functions guidelines: - prose: privacy functions to be verified for correct operation are defined; - id: si-06_odp.03 props: - name: alt-identifier value: si-6_prm_2 - name: label value: SI-06_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - '{{ insert: param, si-06_odp.04 }}' - upon command by user with appropriate privilege - '{{ insert: param, si-06_odp.05 }}' - id: si-06_odp.04 props: - name: alt-identifier value: si-6_prm_3 - name: label value: SI-06_ODP[04] class: sp800-53a label: system transitional states constraints: - description: to include upon system startup and/or restart guidelines: - prose: system transitional states requiring the verification of security and privacy functions are defined; (if selected) - id: si-06_odp.05 props: - name: alt-identifier value: si-6_prm_4 - name: label value: SI-06_ODP[05] class: sp800-53a label: frequency constraints: - description: at least monthly guidelines: - prose: frequency at which to verify the correct operation of security and privacy functions is defined; (if selected) - id: si-06_odp.06 props: - name: alt-identifier value: si-6_prm_5 - name: label value: SI-06_ODP[06] class: sp800-53a label: personnel or roles constraints: - description: to include system administrators and security personnel guidelines: - prose: personnel or roles to be alerted of failed security and privacy verification tests is/are defined; - id: si-06_odp.07 props: - name: alt-identifier value: si-6_prm_6 - name: label value: SI-06_ODP[07] class: sp800-53a select: how-many: one-or-more choice: - shut the system down - restart the system - '{{ insert: param, si-06_odp.08 }}' - id: si-06_odp.08 props: - name: alt-identifier value: si-6_prm_7 - name: label value: SI-06_ODP[08] class: sp800-53a label: alternative action(s) guidelines: - prose: alternative action(s) to be performed when anomalies are discovered are defined (if selected); props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SI-06 class: zero-padded - name: label value: SI-6 - name: label value: SI-06 class: sp800-53a - name: sort-id value: si-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#ca-7' rel: related - href: '#cm-4' rel: related - href: '#cm-6' rel: related - href: '#si-7' rel: related parts: - id: si-6_smt name: statement parts: - id: si-6_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Verify the correct operation of {{ insert: param, si-6_prm_1 }};' - id: si-6_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Perform the verification of the functions specified in SI-6a {{ insert: param, si-06_odp.03 }};' - id: si-6_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Alert {{ insert: param, si-06_odp.06 }} to failed security and privacy verification tests; and' - id: si-6_smt.d name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: d. prose: '{{ insert: param, si-06_odp.07 }} when anomalies are discovered.' - id: si-6_gdn name: guidance prose: Transitional states for systems include system startup, restart, shutdown, and abort. System notifications include hardware indicator lights, electronic alerts to system administrators, and messages to local computer consoles. In contrast to security function verification, privacy function verification ensures that privacy functions operate as expected and are approved by the senior agency official for privacy or that privacy attributes are applied or used as expected. - id: si-6_obj name: assessment-objective props: - name: label value: SI-06 class: sp800-53a parts: - id: si-6_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-06a. class: sp800-53a parts: - id: si-6_obj.a-1 name: assessment-objective props: - name: label value: SI-06a.[01] class: sp800-53a prose: '{{ insert: param, si-06_odp.01 }} are verified to be operating correctly;' links: - href: '#si-6_smt.a' rel: assessment-for - id: si-6_obj.a-2 name: assessment-objective props: - name: label value: SI-06a.[02] class: sp800-53a prose: '{{ insert: param, si-06_odp.02 }} are verified to be operating correctly;' links: - href: '#si-6_smt.a' rel: assessment-for links: - href: '#si-6_smt.a' rel: assessment-for - id: si-6_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-06b. class: sp800-53a parts: - id: si-6_obj.b-1 name: assessment-objective props: - name: label value: SI-06b.[01] class: sp800-53a prose: '{{ insert: param, si-06_odp.01 }} are verified {{ insert: param, si-06_odp.03 }};' links: - href: '#si-6_smt.b' rel: assessment-for - id: si-6_obj.b-2 name: assessment-objective props: - name: label value: SI-06b.[02] class: sp800-53a prose: '{{ insert: param, si-06_odp.02 }} are verified {{ insert: param, si-06_odp.03 }};' links: - href: '#si-6_smt.b' rel: assessment-for links: - href: '#si-6_smt.b' rel: assessment-for - id: si-6_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-06c. class: sp800-53a parts: - id: si-6_obj.c-1 name: assessment-objective props: - name: label value: SI-06c.[01] class: sp800-53a prose: '{{ insert: param, si-06_odp.06 }} is/are alerted to failed security verification tests;' links: - href: '#si-6_smt.c' rel: assessment-for - id: si-6_obj.c-2 name: assessment-objective props: - name: label value: SI-06c.[02] class: sp800-53a prose: '{{ insert: param, si-06_odp.06 }} is/are alerted to failed privacy verification tests;' links: - href: '#si-6_smt.c' rel: assessment-for links: - href: '#si-6_smt.c' rel: assessment-for - id: si-6_obj.d name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-06d. class: sp800-53a prose: '{{ insert: param, si-06_odp.07 }} is/are initiated when anomalies are discovered.' links: - href: '#si-6_smt.d' rel: assessment-for links: - href: '#si-6_smt' rel: assessment-for - id: si-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-06-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing security and privacy function verification system design documentation system configuration settings and associated documentation alerts/notifications of failed security verification tests list of system transition states requiring security functionality verification system audit records system security plan privacy plan other relevant documents or records' - id: si-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-06-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with security and privacy function verification responsibilities organizational personnel implementing, operating, and maintaining the system system/network administrators organizational personnel with information security and privacy responsibilities system developer' - id: si-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-06-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for security and privacy function verification mechanisms supporting and/or implementing the security and privacy function verification capability' - id: si-7 class: SP800-53 title: Software, Firmware, and Information Integrity params: - id: si-7_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07_odp.03 label: organization-defined software, firmware, and information - id: si-7_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07_odp.04 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07_odp.06 label: organization-defined actions - id: si-07_odp.01 props: - name: label value: SI-07_ODP[01] class: sp800-53a label: software guidelines: - prose: software requiring integrity verification tools to be employed to detect unauthorized changes is defined; - id: si-07_odp.02 props: - name: label value: SI-07_ODP[02] class: sp800-53a label: firmware guidelines: - prose: firmware requiring integrity verification tools to be employed to detect unauthorized changes is defined; - id: si-07_odp.03 props: - name: label value: SI-07_ODP[03] class: sp800-53a label: information guidelines: - prose: information requiring integrity verification tools to be employed to detect unauthorized changes is defined; - id: si-07_odp.04 props: - name: label value: SI-07_ODP[04] class: sp800-53a label: actions guidelines: - prose: actions to be taken when unauthorized changes to software are detected are defined; - id: si-07_odp.05 props: - name: label value: SI-07_ODP[05] class: sp800-53a label: actions guidelines: - prose: actions to be taken when unauthorized changes to firmware are detected are defined; - id: si-07_odp.06 props: - name: label value: SI-07_ODP[06] class: sp800-53a label: actions guidelines: - prose: actions to be taken when unauthorized changes to information are detected are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SI-07 class: zero-padded - name: label value: SI-7 - name: label value: SI-07 class: sp800-53a - name: sort-id value: si-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#eea3c092-42ed-4382-a6f4-1adadef01b9d' rel: reference - href: '#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1' rel: reference - href: '#a295ca19-8c75-4b4c-8800-98024732e181' rel: reference - href: '#4895b4cd-34c5-4667-bf8a-27d443c12047' rel: reference - href: '#e47ee630-9cbc-4133-880e-e013f83ccd51' rel: reference - href: '#ac-4' rel: related - href: '#cm-3' rel: related - href: '#cm-7' rel: related - href: '#cm-8' rel: related - href: '#ma-3' rel: related - href: '#ma-4' rel: related - href: '#ra-5' rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: '#sa-10' rel: related - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-28' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-37 rel: related - href: '#si-3' rel: related - href: '#sr-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-4 rel: related - href: '#sr-5' rel: related - href: '#sr-6' rel: related - href: '#sr-9' rel: related - href: '#sr-10' rel: related - href: '#sr-11' rel: related parts: - id: si-7_smt name: statement parts: - id: si-7_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Employ integrity verification tools to detect unauthorized changes to the following software, firmware, and information: {{ insert: param, si-7_prm_1 }} ; and' - id: si-7_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Take the following actions when unauthorized changes to the software, firmware, and information are detected: {{ insert: param, si-7_prm_2 }}.' - id: si-7_gdn name: guidance prose: Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity. Software includes operating systems (with key internal components, such as kernels or drivers), middleware, and applications. Firmware interfaces include Unified Extensible Firmware Interface (UEFI) and Basic Input/Output System (BIOS). Information includes personally identifiable information and metadata that contains security and privacy attributes associated with information. Integrity-checking mechanisms—including parity checks, cyclical redundancy checks, cryptographic hashes, and associated tools—can automatically monitor the integrity of systems and hosted applications. - id: si-7_obj name: assessment-objective props: - name: label value: SI-07 class: sp800-53a parts: - id: si-7_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-07a. class: sp800-53a parts: - id: si-7_obj.a-1 name: assessment-objective props: - name: label value: SI-07a.[01] class: sp800-53a prose: 'integrity verification tools are employed to detect unauthorized changes to {{ insert: param, si-07_odp.01 }};' links: - href: '#si-7_smt.a' rel: assessment-for - id: si-7_obj.a-2 name: assessment-objective props: - name: label value: SI-07a.[02] class: sp800-53a prose: 'integrity verification tools are employed to detect unauthorized changes to {{ insert: param, si-07_odp.02 }};' links: - href: '#si-7_smt.a' rel: assessment-for - id: si-7_obj.a-3 name: assessment-objective props: - name: label value: SI-07a.[03] class: sp800-53a prose: 'integrity verification tools are employed to detect unauthorized changes to {{ insert: param, si-07_odp.03 }};' links: - href: '#si-7_smt.a' rel: assessment-for links: - href: '#si-7_smt.a' rel: assessment-for - id: si-7_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-07b. class: sp800-53a parts: - id: si-7_obj.b-1 name: assessment-objective props: - name: label value: SI-07b.[01] class: sp800-53a prose: '{{ insert: param, si-07_odp.04 }} are taken when unauthorized changes to the software, are detected;' links: - href: '#si-7_smt.b' rel: assessment-for - id: si-7_obj.b-2 name: assessment-objective props: - name: label value: SI-07b.[02] class: sp800-53a prose: '{{ insert: param, si-07_odp.05 }} are taken when unauthorized changes to the firmware are detected;' links: - href: '#si-7_smt.b' rel: assessment-for - id: si-7_obj.b-3 name: assessment-objective props: - name: label value: SI-07b.[03] class: sp800-53a prose: '{{ insert: param, si-07_odp.06 }} are taken when unauthorized changes to the information are detected.' links: - href: '#si-7_smt.b' rel: assessment-for links: - href: '#si-7_smt.b' rel: assessment-for links: - href: '#si-7_smt' rel: assessment-for - id: si-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity personally identifiable information processing policy system design documentation system configuration settings and associated documentation integrity verification tools and associated documentation records generated or triggered by integrity verification tools regarding unauthorized software, firmware, and information changes system audit records system security plan privacy plan other relevant documents or records' - id: si-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security and privacy responsibilities system/network administrators' - id: si-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07-Test class: sp800-53a parts: - name: assessment-objects prose: Software, firmware, and information integrity verification tools controls: - id: si-7.1 class: SP800-53-enhancement title: Integrity Checks params: - id: si-7.1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.09 label: organization-defined software, firmware, and information - id: si-7.1_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.06 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.10 select: how-many: one-or-more choice: - at startup - 'at {{ insert: param, si-7.1_prm_3 }}' - '{{ insert: param, si-7.1_prm_4 }}' - id: si-7.1_prm_3 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.07 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.11 label: organization-defined transitional states or security-relevant events - id: si-7.1_prm_4 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.04 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.08 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.12 label: organization-defined frequency - id: si-07.01_odp.01 props: - name: label value: SI-07(01)_ODP[01] class: sp800-53a label: software guidelines: - prose: software on which an integrity check is to be performed is defined; - id: si-07.01_odp.02 props: - name: label value: SI-07(01)_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - at startup - 'at {{ insert: param, si-07.01_odp.03 }}' - '{{ insert: param, si-07.01_odp.04 }}' - id: si-07.01_odp.03 props: - name: label value: SI-07(01)_ODP[03] class: sp800-53a label: transitional states or security-relevant events constraints: - description: selection to include security relevant event guidelines: - prose: transitional states or security-relevant events requiring integrity checks (on software) are defined (if selected); - id: si-07.01_odp.04 props: - name: label value: SI-07(01)_ODP[04] class: sp800-53a label: frequency constraints: - description: at least monthly guidelines: - prose: frequency with which to perform an integrity check (on software) is defined (if selected); - id: si-07.01_odp.05 props: - name: label value: SI-07(01)_ODP[05] class: sp800-53a label: firmware guidelines: - prose: firmware on which an integrity check is to be performed is defined; - id: si-07.01_odp.06 props: - name: label value: SI-07(01)_ODP[06] class: sp800-53a select: how-many: one-or-more choice: - at startup - 'at {{ insert: param, si-07.01_odp.07 }}' - '{{ insert: param, si-07.01_odp.08 }}' - id: si-07.01_odp.07 props: - name: label value: SI-07(01)_ODP[07] class: sp800-53a label: transitional states or security-relevant events constraints: - description: selection to include security relevant event guidelines: - prose: transitional states or security-relevant events requiring integrity checks (on firmware) are defined (if selected); - id: si-07.01_odp.08 props: - name: label value: SI-07(01)_ODP[08] class: sp800-53a label: frequency constraints: - description: at least monthly guidelines: - prose: frequency with which to perform an integrity check (on firmware) is defined (if selected); - id: si-07.01_odp.09 props: - name: label value: SI-07(01)_ODP[09] class: sp800-53a label: information guidelines: - prose: information on which an integrity check is to be performed is defined; - id: si-07.01_odp.10 props: - name: label value: SI-07(01)_ODP[10] class: sp800-53a select: how-many: one-or-more choice: - at startup - 'at {{ insert: param, si-07.01_odp.11 }}' - '{{ insert: param, si-07.01_odp.12 }}' - id: si-07.01_odp.11 props: - name: label value: SI-07(01)_ODP[11] class: sp800-53a label: transitional states or security-relevant events constraints: - description: selection to include security relevant event guidelines: - prose: transitional states or security-relevant events requiring integrity checks (of information) are defined (if selected); - id: si-07.01_odp.12 props: - name: label value: SI-07(01)_ODP[12] class: sp800-53a label: frequency constraints: - description: at least monthly guidelines: - prose: frequency with which to perform an integrity check (of information) is defined (if selected); props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SI-07(01) class: zero-padded - name: label value: SI-7(1) - name: label value: SI-07(01) class: sp800-53a - name: sort-id value: si-07.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-7' rel: required parts: - id: si-7.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Perform an integrity check of {{ insert: param, si-7.1_prm_1 }} {{ insert: param, si-7.1_prm_2 }}.' - id: si-7.1_gdn name: guidance prose: Security-relevant events include the identification of new threats to which organizational systems are susceptible and the installation of new hardware, software, or firmware. Transitional states include system startup, restart, shutdown, and abort. - id: si-7.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-07(01) class: sp800-53a parts: - id: si-7.1_obj-1 name: assessment-objective props: - name: label value: SI-07(01)[01] class: sp800-53a prose: 'an integrity check of {{ insert: param, si-07.01_odp.01 }} is performed {{ insert: param, si-07.01_odp.02 }};' links: - href: '#si-7.1_smt' rel: assessment-for - id: si-7.1_obj-2 name: assessment-objective props: - name: label value: SI-07(01)[02] class: sp800-53a prose: 'an integrity check of {{ insert: param, si-07.01_odp.05 }} is performed {{ insert: param, si-07.01_odp.06 }};' links: - href: '#si-7.1_smt' rel: assessment-for - id: si-7.1_obj-3 name: assessment-objective props: - name: label value: SI-07(01)[03] class: sp800-53a prose: 'an integrity check of {{ insert: param, si-07.01_odp.09 }} is performed {{ insert: param, si-07.01_odp.10 }}.' links: - href: '#si-7.1_smt' rel: assessment-for links: - href: '#si-7.1_smt' rel: assessment-for - id: si-7.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity testing system design documentation system configuration settings and associated documentation integrity verification tools and associated documentation records of integrity scans system security plan other relevant documents or records' - id: si-7.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security responsibilities system/network administrators system developer' - id: si-7.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Software, firmware, and information integrity verification tools - id: si-7.2 class: SP800-53-enhancement title: Automated Notifications of Integrity Violations params: - id: si-07.02_odp props: - name: alt-identifier value: si-7.2_prm_1 - name: label value: SI-07(02)_ODP class: sp800-53a label: personnel or roles constraints: - description: to include the ISSO and/or similar role within the organization guidelines: - prose: personnel or roles to whom notification is to be provided upon discovering discrepancies during integrity verification is/are defined; props: - name: label value: SI-07(02) class: zero-padded - name: label value: SI-7(2) - name: label value: SI-07(02) class: sp800-53a - name: sort-id value: si-07.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-7' rel: required parts: - id: si-7.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Employ automated tools that provide notification to {{ insert: param, si-07.02_odp }} upon discovering discrepancies during integrity verification.' - id: si-7.2_gdn name: guidance prose: The employment of automated tools to report system and information integrity violations and to notify organizational personnel in a timely matter is essential to effective risk response. Personnel with an interest in system and information integrity violations include mission and business owners, system owners, senior agency information security official, senior agency official for privacy, system administrators, software developers, systems integrators, information security officers, and privacy officers. - id: si-7.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-07(02) class: sp800-53a prose: 'automated tools that provide notification to {{ insert: param, si-07.02_odp }} upon discovering discrepancies during integrity verification are employed.' links: - href: '#si-7.2_smt' rel: assessment-for - id: si-7.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity personally identifiable information processing policy system design documentation system configuration settings and associated documentation integrity verification tools and associated documentation records of integrity scans automated tools supporting alerts and notifications for integrity discrepancies notifications provided upon discovering discrepancies during integrity verifications system audit records system security plan privacy plan other relevant documents or records' - id: si-7.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security and privacy responsibilities system administrators software developers' - id: si-7.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Software, firmware, and information integrity verification tools mechanisms providing integrity discrepancy notifications' - id: si-7.5 class: SP800-53-enhancement title: Automated Response to Integrity Violations params: - id: si-07.05_odp.01 props: - name: alt-identifier value: si-7.5_prm_1 - name: label value: SI-07(05)_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - shut down the system - restart the system - 'implement {{ insert: param, si-07.05_odp.02 }}' - id: si-07.05_odp.02 props: - name: alt-identifier value: si-7.5_prm_2 - name: label value: SI-07(05)_ODP[02] class: sp800-53a label: controls guidelines: - prose: controls to be implemented automatically when integrity violations are discovered are defined (if selected); props: - name: label value: SI-07(05) class: zero-padded - name: label value: SI-7(5) - name: label value: SI-07(05) class: sp800-53a - name: sort-id value: si-07.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-7' rel: required parts: - id: si-7.5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Automatically {{ insert: param, si-07.05_odp.01 }} when integrity violations are discovered.' - id: si-7.5_gdn name: guidance prose: Organizations may define different integrity-checking responses by type of information, specific information, or a combination of both. Types of information include firmware, software, and user data. Specific information includes boot firmware for certain types of machines. The automatic implementation of controls within organizational systems includes reversing the changes, halting the system, or triggering audit alerts when unauthorized modifications to critical security files occur. - id: si-7.5_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-07(05) class: sp800-53a prose: '{{ insert: param, si-07.05_odp.01 }} are automatically performed when integrity violations are discovered.' links: - href: '#si-7.5_smt' rel: assessment-for - id: si-7.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity system design documentation system configuration settings and associated documentation integrity verification tools and associated documentation records of integrity scans records of integrity checks and responses to integrity violations audit records system security plan other relevant documents or records' - id: si-7.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security responsibilities system/network administrators system developer' - id: si-7.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(05)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Software, firmware, and information integrity verification tools mechanisms providing an automated response to integrity violations mechanisms supporting and/or implementing security safeguards to be implemented when integrity violations are discovered' - id: si-7.7 class: SP800-53-enhancement title: Integration of Detection and Response params: - id: si-07.07_odp props: - name: alt-identifier value: si-7.7_prm_1 - name: alt-label value: security-relevant changes to the system class: sp800-53 - name: label value: SI-07(07)_ODP class: sp800-53a label: changes guidelines: - prose: security-relevant changes to the system are defined; props: - name: label value: SI-07(07) class: zero-padded - name: label value: SI-7(7) - name: label value: SI-07(07) class: sp800-53a - name: sort-id value: si-07.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-7' rel: required - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#ir-4' rel: related - href: '#ir-5' rel: related - href: '#si-4' rel: related parts: - id: si-7.7_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Incorporate the detection of the following unauthorized changes into the organizational incident response capability: {{ insert: param, si-07.07_odp }}.' - id: si-7.7_gdn name: guidance prose: Integrating detection and response helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important for being able to identify and discern adversary actions over an extended time period and for possible legal actions. Security-relevant changes include unauthorized changes to established configuration settings or the unauthorized elevation of system privileges. - id: si-7.7_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-07(07) class: sp800-53a prose: 'the detection of {{ insert: param, si-07.07_odp }} are incorporated into the organizational incident response capability.' links: - href: '#si-7.7_smt' rel: assessment-for - id: si-7.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity procedures addressing incident response system design documentation system configuration settings and associated documentation incident response records audit records system security plan other relevant documents or records' - id: si-7.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security responsibilities organizational personnel with incident response responsibilities' - id: si-7.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(07)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for incorporating the detection of unauthorized security-relevant changes into the incident response capability software, firmware, and information integrity verification tools mechanisms supporting and/or implementing the incorporation of detection of unauthorized security-relevant changes into the incident response capability' - id: si-7.15 class: SP800-53-enhancement title: Code Authentication params: - id: si-07.15_odp props: - name: alt-identifier value: si-7.15_prm_1 - name: label value: SI-07(15)_ODP class: sp800-53a label: software or firmware components constraints: - description: to include all software and firmware inside the boundary guidelines: - prose: software or firmware components to be authenticated by cryptographic mechanisms prior to installation are defined; props: - name: label value: SI-07(15) class: zero-padded - name: label value: SI-7(15) - name: label value: SI-07(15) class: sp800-53a - name: sort-id value: si-07.15 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#si-7' rel: required - href: '#cm-5' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: si-7.15_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Implement cryptographic mechanisms to authenticate the following software or firmware components prior to installation: {{ insert: param, si-07.15_odp }}.' - id: si-7.15_gdn name: guidance prose: Cryptographic authentication includes verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code. Organizations that employ cryptographic mechanisms also consider cryptographic key management solutions. - id: si-7.15_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-07(15) class: sp800-53a prose: 'cryptographic mechanisms are implemented to authenticate {{ insert: param, si-07.15_odp }} prior to installation.' links: - href: '#si-7.15_smt' rel: assessment-for - id: si-7.15_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(15)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity system design documentation system configuration settings and associated documentation cryptographic mechanisms and associated documentation system audit records system security plan other relevant documents or records' - id: si-7.15_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(15)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security responsibilities system/network administrators system developer' - id: si-7.15_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(15)-Test class: sp800-53a parts: - name: assessment-objects prose: Cryptographic mechanisms authenticating software and firmware prior to installation - id: si-8 class: SP800-53 title: Spam Protection props: - name: label value: SI-08 class: zero-padded - name: label value: SI-8 - name: label value: SI-08 class: sp800-53a - name: sort-id value: si-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#314e33cb-3681-4b50-a2a2-3fae9604accd' rel: reference - href: '#1c71b420-2bd9-4e52-9fc8-390f58b85b59' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pl-9 rel: related - href: '#sc-5' rel: related - href: '#sc-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-38 rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related parts: - id: si-8_smt name: statement parts: - id: si-8_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Employ spam protection mechanisms at system entry and exit points to detect and act on unsolicited messages; and - id: si-8_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: Update spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures. - id: si-8_gdn name: guidance prose: System entry and exit points include firewalls, remote-access servers, electronic mail servers, web servers, proxy servers, workstations, notebook computers, and mobile devices. Spam can be transported by different means, including email, email attachments, and web accesses. Spam protection mechanisms include signature definitions. - id: si-8_fr name: item ns: http://fedramp.gov/ns/oscal title: SI-8 Additional FedRAMP Requirements and Guidance parts: - id: si-8_fr_gdn.1 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'When CSO sends email on behalf of the government as part of the business offering, Control Description should include implementation of Domain-based Message Authentication, Reporting \& Conformance (DMARC) on the sending domain for outgoing messages as described in DHS Binding Operational Directive (BOD) 18-01. https://cyber.dhs.gov/bod/18-01/' - id: si-8_fr_gdn.2 name: guidance ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Guidance:' prose: 'CSPs should confirm DMARC configuration (where appropriate) to ensure that policy=reject and the rua parameter includes reports@dmarc.cyber.dhs.gov. DMARC compliance should be documented in the SI-08 control implementation solution description, and list the FROM: domain(s) that will be seen by email recipients.' - id: si-8_obj name: assessment-objective props: - name: label value: SI-08 class: sp800-53a parts: - id: si-8_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-08a. class: sp800-53a parts: - id: si-8_obj.a-1 name: assessment-objective props: - name: label value: SI-08a.[01] class: sp800-53a prose: spam protection mechanisms are employed at system entry points to detect unsolicited messages; links: - href: '#si-8_smt.a' rel: assessment-for - id: si-8_obj.a-2 name: assessment-objective props: - name: label value: SI-08a.[02] class: sp800-53a prose: spam protection mechanisms are employed at system exit points to detect unsolicited messages; links: - href: '#si-8_smt.a' rel: assessment-for - id: si-8_obj.a-3 name: assessment-objective props: - name: label value: SI-08a.[03] class: sp800-53a prose: spam protection mechanisms are employed at system entry points to act on unsolicited messages; links: - href: '#si-8_smt.a' rel: assessment-for - id: si-8_obj.a-4 name: assessment-objective props: - name: label value: SI-08a.[04] class: sp800-53a prose: spam protection mechanisms are employed at system exit points to act on unsolicited messages; links: - href: '#si-8_smt.a' rel: assessment-for links: - href: '#si-8_smt.a' rel: assessment-for - id: si-8_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-08b. class: sp800-53a prose: spam protection mechanisms are updated when new releases are available in accordance with organizational configuration management policies and procedures. links: - href: '#si-8_smt.b' rel: assessment-for links: - href: '#si-8_smt' rel: assessment-for - id: si-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-08-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures configuration management policies and procedures (CM-01) procedures addressing spam protection spam protection mechanisms records of spam protection updates system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: si-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-08-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel responsible for spam protection organizational personnel with information security responsibilities system/network administrators system developer' - id: si-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-08-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for implementing spam protection mechanisms supporting and/or implementing spam protection' controls: - id: si-8.2 class: SP800-53-enhancement title: Automatic Updates params: - id: si-08.02_odp props: - name: alt-identifier value: si-8.2_prm_1 - name: label value: SI-08(02)_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency at which to automatically update spam protection mechanisms is defined; props: - name: label value: SI-08(02) class: zero-padded - name: label value: SI-8(2) - name: label value: SI-08(02) class: sp800-53a - name: sort-id value: si-08.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#si-8' rel: required parts: - id: si-8.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Automatically update spam protection mechanisms {{ insert: param, si-08.02_odp }}.' - id: si-8.2_gdn name: guidance prose: Using automated mechanisms to update spam protection mechanisms helps to ensure that updates occur on a regular basis and provide the latest content and protection capabilities. - id: si-8.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SI-08(02) class: sp800-53a prose: 'spam protection mechanisms are automatically updated {{ insert: param, si-08.02_odp }}.' links: - href: '#si-8.2_smt' rel: assessment-for - id: si-8.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-08(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing spam protection spam protection mechanisms records of spam protection updates system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: si-8.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-08(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel responsible for spam protection organizational personnel with information security responsibilities system/network administrators system developer' - id: si-8.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-08(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for spam protection mechanisms supporting and/or implementing automatic updates to spam protection mechanisms' - id: si-10 class: SP800-53 title: Information Input Validation params: - id: si-10_odp props: - name: alt-identifier value: si-10_prm_1 - name: alt-identifier value: si-10.1_prm_1 - name: alt-label value: information inputs to the system class: sp800-53 - name: label value: SI-10_ODP class: sp800-53a label: information inputs guidelines: - prose: information inputs to the system requiring validity checks are defined; props: - name: CORE ns: http://fedramp.gov/ns/oscal value: 'true' - name: label value: SI-10 class: zero-padded - name: label value: SI-10 - name: label value: SI-10 class: sp800-53a - name: sort-id value: si-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference parts: - id: si-10_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Check the validity of the following information inputs: {{ insert: param, si-10_odp }}.' - id: si-10_gdn name: guidance prose: Checking the valid syntax and semantics of system inputs—including character set, length, numerical range, and acceptable values—verifies that inputs match specified definitions for format and content. For example, if the organization specifies that numerical values between 1-100 are the only acceptable inputs for a field in a given application, inputs of "387," "abc," or "%K%" are invalid inputs and are not accepted as input to the system. Valid inputs are likely to vary from field to field within a software application. Applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the corrupted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing them to interpreters prevents the content from being unintentionally interpreted as commands. Input validation ensures accurate and correct inputs and prevents attacks such as cross-site scripting and a variety of injection attacks. - id: si-10_fr name: item ns: http://fedramp.gov/ns/oscal title: SI-10 Additional FedRAMP Requirements and Guidance parts: - id: si-10_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: Validate all information inputs and document any exceptions - id: si-10_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-10 class: sp800-53a prose: 'the validity of the {{ insert: param, si-10_odp }} is checked.' links: - href: '#si-10_smt' rel: assessment-for - id: si-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-10-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures access control policy and procedures separation of duties policy and procedures procedures addressing information input validation documentation for automated tools and applications to verify the validity of information list of information inputs requiring validity checks system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records' - id: si-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-10-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel responsible for information input validation organizational personnel with information security responsibilities system/network administrators system developer' - id: si-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-10-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing validity checks on information inputs - id: si-11 class: SP800-53 title: Error Handling params: - id: si-11_odp props: - name: alt-identifier value: si-11_prm_1 - name: label value: SI-11_ODP class: sp800-53a label: personnel or roles constraints: - description: to include the ISSO and/or similar role within the organization guidelines: - prose: personnel or roles to whom error messages are to be revealed is/are defined; props: - name: label value: SI-11 class: zero-padded - name: label value: SI-11 - name: label value: SI-11 class: sp800-53a - name: sort-id value: si-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-2' rel: related - href: '#au-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-31 rel: related - href: '#si-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-15 rel: related parts: - id: si-11_smt name: statement parts: - id: si-11_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Generate error messages that provide information necessary for corrective actions without revealing information that could be exploited; and - id: si-11_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Reveal error messages only to {{ insert: param, si-11_odp }}.' - id: si-11_gdn name: guidance prose: Organizations consider the structure and content of error messages. The extent to which systems can handle error conditions is guided and informed by organizational policy and operational requirements. Exploitable information includes stack traces and implementation details; erroneous logon attempts with passwords mistakenly entered as the username; mission or business information that can be derived from, if not stated explicitly by, the information recorded; and personally identifiable information, such as account numbers, social security numbers, and credit card numbers. Error messages may also provide a covert channel for transmitting information. - id: si-11_obj name: assessment-objective props: - name: label value: SI-11 class: sp800-53a parts: - id: si-11_obj.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-11a. class: sp800-53a prose: error messages that provide the information necessary for corrective actions are generated without revealing information that could be exploited; links: - href: '#si-11_smt.a' rel: assessment-for - id: si-11_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-11b. class: sp800-53a prose: 'error messages are revealed only to {{ insert: param, si-11_odp }}.' links: - href: '#si-11_smt.b' rel: assessment-for links: - href: '#si-11_smt' rel: assessment-for - id: si-11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-11-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing system error handling system design documentation system configuration settings and associated documentation documentation providing the structure and content of error messages system audit records system security plan other relevant documents or records' - id: si-11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-11-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel responsible for information input validation organizational personnel with information security responsibilities system/network administrators system developer' - id: si-11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-11-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for error handling automated mechanisms supporting and/or implementing error handling automated mechanisms supporting and/or implementing the management of error messages' - id: si-12 class: SP800-53 title: Information Management and Retention props: - name: label value: SI-12 class: zero-padded - name: label value: SI-12 - name: label value: SI-12 class: sp800-53a - name: sort-id value: si-12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#e922fc50-b1f9-469f-92ef-ed7d9803611c' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-16 rel: related - href: '#au-5' rel: related - href: '#au-11' rel: related - href: '#ca-2' rel: related - href: '#ca-3' rel: related - href: '#ca-5' rel: related - href: '#ca-6' rel: related - href: '#ca-7' rel: related - href: '#ca-9' rel: related - href: '#cm-5' rel: related - href: '#cm-9' rel: related - href: '#cp-2' rel: related - href: '#ir-8' rel: related - href: '#mp-2' rel: related - href: '#mp-3' rel: related - href: '#mp-4' rel: related - href: '#mp-6' rel: related - href: '#pl-2' rel: related - href: '#pl-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-4 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-8 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: '#ps-2' rel: related - href: '#ps-6' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-2 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-3 rel: related - href: '#ra-2' rel: related - href: '#ra-3' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sr-2' rel: related parts: - id: si-12_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Manage and retain information within the system and information output from the system in accordance with applicable laws, executive orders, directives, regulations, policies, standards, guidelines and operational requirements. - id: si-12_gdn name: guidance prose: 'Information management and retention requirements cover the full life cycle of information, in some cases extending beyond system disposal. Information to be retained may also include policies, procedures, plans, reports, data output from control implementation, and other types of administrative information. The National Archives and Records Administration (NARA) provides federal policy and guidance on records retention and schedules. If organizations have a records management office, consider coordinating with records management personnel. Records produced from the output of implemented controls that may require management and retention include, but are not limited to: All XX-1, [AC-6(9)](#ac-6.9), [AT-4](#at-4), [AU-12](#au-12), [CA-2](#ca-2), [CA-3](#ca-3), [CA-5](#ca-5), [CA-6](#ca-6), [CA-7](#ca-7), [CA-8](#ca-8), [CA-9](#ca-9), [CM-2](#cm-2), [CM-3](#cm-3), [CM-4](#cm-4), [CM-6](#cm-6), [CM-8](#cm-8), [CM-9](#cm-9), [CM-12](#cm-12), [CM-13](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-13), [CP-2](#cp-2), [IR-6](#ir-6), [IR-8](#ir-8), [MA-2](#ma-2), [MA-4](#ma-4), [PE-2](#pe-2), [PE-8](#pe-8), [PE-16](#pe-16), [PE-17](#pe-17), [PL-2](#pl-2), [PL-4](#pl-4), [PL-7](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pl-7), [PL-8](#pl-8), [PM-5](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-5), [PM-8](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-8), [PM-9](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9), [PM-18](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-18), [PM-21](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-21), [PM-27](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-27), [PM-28](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-28), [PM-30](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-30), [PM-31](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-31), [PS-2](#ps-2), [PS-6](#ps-6), [PS-7](#ps-7), [PT-2](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-2), [PT-3](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-3), [PT-7](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pt-7), [RA-2](#ra-2), [RA-3](#ra-3), [RA-5](#ra-5), [RA-8](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ra-8), [SA-4](#sa-4), [SA-5](#sa-5), [SA-8](#sa-8), [SA-10](#sa-10), [SI-4](#si-4), [SR-2](#sr-2), [SR-4](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-4), [SR-8](#sr-8).' - id: si-12_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-12 class: sp800-53a parts: - id: si-12_obj-1 name: assessment-objective props: - name: label value: SI-12[01] class: sp800-53a prose: information within the system is managed in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements; links: - href: '#si-12_smt' rel: assessment-for - id: si-12_obj-2 name: assessment-objective props: - name: label value: SI-12[02] class: sp800-53a prose: information within the system is retained in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements; links: - href: '#si-12_smt' rel: assessment-for - id: si-12_obj-3 name: assessment-objective props: - name: label value: SI-12[03] class: sp800-53a prose: information output from the system is managed in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements; links: - href: '#si-12_smt' rel: assessment-for - id: si-12_obj-4 name: assessment-objective props: - name: label value: SI-12[04] class: sp800-53a prose: information output from the system is retained in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements. links: - href: '#si-12_smt' rel: assessment-for links: - href: '#si-12_smt' rel: assessment-for - id: si-12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-12-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures personally identifiable information processing policy records retention and disposition policy records retention and disposition procedures federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information management and retention media protection policy media protection procedures audit findings system security plan privacy plan privacy program plan personally identifiable information inventory privacy impact assessment privacy risk assessment documentation other relevant documents or records' - id: si-12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-12-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with information and records management, retention, and disposition responsibilities organizational personnel with information security and privacy responsibilities network administrators' - id: si-12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-12-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for information management, retention, and disposition automated mechanisms supporting and/or implementing information management, retention, and disposition' - id: si-16 class: SP800-53 title: Memory Protection params: - id: si-16_odp props: - name: alt-identifier value: si-16_prm_1 - name: label value: SI-16_ODP class: sp800-53a label: controls guidelines: - prose: controls to be implemented to protect the system memory from unauthorized code execution are defined; props: - name: label value: SI-16 class: zero-padded - name: label value: SI-16 - name: label value: SI-16 class: sp800-53a - name: sort-id value: si-16 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-25 rel: related - href: '#sc-3' rel: related - href: '#si-7' rel: related parts: - id: si-16_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Implement the following controls to protect the system memory from unauthorized code execution: {{ insert: param, si-16_odp }}.' - id: si-16_gdn name: guidance prose: Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Controls employed to protect memory include data execution prevention and address space layout randomization. Data execution prevention controls can either be hardware-enforced or software-enforced with hardware enforcement providing the greater strength of mechanism. - id: si-16_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SI-16 class: sp800-53a prose: '{{ insert: param, si-16_odp }} are implemented to protect the system memory from unauthorized code execution.' links: - href: '#si-16_smt' rel: assessment-for - id: si-16_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-16-Examine class: sp800-53a parts: - name: assessment-objects prose: 'System and information integrity policy system and information integrity procedures procedures addressing memory protection for the system system design documentation system configuration settings and associated documentation list of security safeguards protecting system memory from unauthorized code execution system audit records system security plan other relevant documents or records' - id: si-16_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-16-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel responsible for memory protection organizational personnel with information security responsibilities system/network administrators system developer' - id: si-16_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-16-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms supporting and/or implementing safeguards to protect the system memory from unauthorized code execution - id: sr class: family title: Supply Chain Risk Management controls: - id: sr-1 class: SP800-53 title: Policy and Procedures params: - id: sr-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sr-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sr-01_odp.02 label: organization-defined personnel or roles - id: sr-01_odp.01 props: - name: label value: SR-01_ODP[01] class: sp800-53a label: personnel or roles constraints: - description: to include chief privacy and ISSO and/or similar role or designees guidelines: - prose: personnel or roles to whom supply chain risk management policy is to be disseminated to is/are defined; - id: sr-01_odp.02 props: - name: label value: SR-01_ODP[02] class: sp800-53a label: personnel or roles constraints: - description: to include chief privacy and ISSO and/or similar role or designees guidelines: - prose: personnel or roles to whom supply chain risk management procedures are disseminated to is/are defined; - id: sr-01_odp.03 props: - name: alt-identifier value: sr-1_prm_2 - name: label value: SR-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: sr-01_odp.04 props: - name: alt-identifier value: sr-1_prm_3 - name: label value: SR-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures is defined; - id: sr-01_odp.05 props: - name: alt-identifier value: sr-1_prm_4 - name: label value: SR-01_ODP[05] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current supply chain risk management policy is reviewed and updated is defined; - id: sr-01_odp.06 props: - name: alt-identifier value: sr-1_prm_5 - name: label value: SR-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that require the current supply chain risk management policy to be reviewed and updated are defined; - id: sr-01_odp.07 props: - name: alt-identifier value: sr-1_prm_6 - name: label value: SR-01_ODP[07] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which the current supply chain risk management procedure is reviewed and updated is defined; - id: sr-01_odp.08 props: - name: alt-identifier value: sr-1_prm_7 - name: label value: SR-01_ODP[08] class: sp800-53a label: events constraints: - description: significant changes guidelines: - prose: events that require the supply chain risk management procedures to be reviewed and updated are defined; props: - name: label value: SR-01 class: zero-padded - name: label value: SR-1 - name: label value: SR-01 class: sp800-53a - name: sort-id value: sr-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#4ff10ed3-d8fe-4246-99e3-443045e27482' rel: reference - href: '#0f963c17-ab5a-432a-a867-91eac550309b' rel: reference - href: '#21caa535-1154-4369-ba7b-32c309fee0f7' rel: reference - href: '#031cc4b7-9adf-4835-98f1-f1ca493519cf' rel: reference - href: '#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f' rel: reference - href: '#e8e84963-14fc-4c3a-be05-b412a5d37cd2' rel: reference - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-30 rel: related - href: '#ps-8' rel: related - href: '#si-12' rel: related parts: - id: sr-1_smt name: statement parts: - id: sr-1_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, a policy that addresses Supply Chain Risk Management MUST be associated with SR-1 part a. class: policy - name: required-attachment ns: http://fedramp.gov/ns/oscal value: In a FedRAMP SSP, at least one procedure that addresses Supply Chain Risk Management MUST be associated with SR-1 part a. class: procedure - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, sr-1_prm_1 }}:' parts: - id: sr-1_smt.a.1 name: item props: - name: label value: '1.' prose: '{{ insert: param, sr-01_odp.03 }} supply chain risk management policy that:' parts: - id: sr-1_smt.a.1.a name: item props: - name: label value: (a) prose: Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and - id: sr-1_smt.a.1.b name: item props: - name: label value: (b) prose: Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and - id: sr-1_smt.a.2 name: item props: - name: label value: '2.' prose: Procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls; - id: sr-1_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Designate an {{ insert: param, sr-01_odp.04 }} to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures; and' - id: sr-1_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. remarks: This response must address all control sub-statement requirements. - name: label value: c. prose: 'Review and update the current supply chain risk management:' parts: - id: sr-1_smt.c.1 name: item props: - name: label value: '1.' prose: 'Policy {{ insert: param, sr-01_odp.05 }} and following {{ insert: param, sr-01_odp.06 }} ; and' - id: sr-1_smt.c.2 name: item props: - name: label value: '2.' prose: 'Procedures {{ insert: param, sr-01_odp.07 }} and following {{ insert: param, sr-01_odp.08 }}.' - id: sr-1_gdn name: guidance prose: Supply chain risk management policy and procedures address the controls in the SR family as well as supply chain-related controls in other families that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of supply chain risk management policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to supply chain risk management policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure. - id: sr-1_obj name: assessment-objective props: - name: label value: SR-01 class: sp800-53a parts: - id: sr-1_obj.a name: assessment-objective props: - name: label value: SR-01a. class: sp800-53a parts: - id: sr-1_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-01a.[01] class: sp800-53a prose: a supply chain risk management policy is developed and documented; links: - href: '#sr-1_smt.a' rel: assessment-for - id: sr-1_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-01a.[02] class: sp800-53a prose: 'the supply chain risk management policy is disseminated to {{ insert: param, sr-01_odp.01 }};' links: - href: '#sr-1_smt.a' rel: assessment-for - id: sr-1_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SR-01a.[03] class: sp800-53a prose: supply chain risk management procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls are developed and documented; links: - href: '#sr-1_smt.a' rel: assessment-for - id: sr-1_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SR-01a.[04] class: sp800-53a prose: 'the supply chain risk management procedures are disseminated to {{ insert: param, sr-01_odp.02 }}.' links: - href: '#sr-1_smt.a' rel: assessment-for - id: sr-1_obj.a.1 name: assessment-objective props: - name: label value: SR-01a.01 class: sp800-53a parts: - id: sr-1_obj.a.1.a name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SR-01a.01(a) class: sp800-53a parts: - id: sr-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: SR-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses purpose;' links: - href: '#sr-1_smt.a.1.a' rel: assessment-for - id: sr-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: SR-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses scope;' links: - href: '#sr-1_smt.a.1.a' rel: assessment-for - id: sr-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: SR-01a.01(a)[03] class: sp800-53a prose: '{{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses roles;' links: - href: '#sr-1_smt.a.1.a' rel: assessment-for - id: sr-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: SR-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses responsibilities;' links: - href: '#sr-1_smt.a.1.a' rel: assessment-for - id: sr-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: SR-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses management commitment;' links: - href: '#sr-1_smt.a.1.a' rel: assessment-for - id: sr-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: SR-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses coordination among organizational entities;' links: - href: '#sr-1_smt.a.1.a' rel: assessment-for - id: sr-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: SR-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses compliance.' links: - href: '#sr-1_smt.a.1.a' rel: assessment-for links: - href: '#sr-1_smt.a.1.a' rel: assessment-for - id: sr-1_obj.a.1.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SR-01a.01(b) class: sp800-53a prose: 'the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;' links: - href: '#sr-1_smt.a.1.b' rel: assessment-for links: - href: '#sr-1_smt.a.1' rel: assessment-for links: - href: '#sr-1_smt.a' rel: assessment-for - id: sr-1_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-01b. class: sp800-53a prose: 'the {{ insert: param, sr-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures;' links: - href: '#sr-1_smt.b' rel: assessment-for - id: sr-1_obj.c name: assessment-objective props: - name: label value: SR-01c. class: sp800-53a parts: - id: sr-1_obj.c.1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-01c.01 class: sp800-53a parts: - id: sr-1_obj.c.1-1 name: assessment-objective props: - name: label value: SR-01c.01[01] class: sp800-53a prose: 'the current supply chain risk management policy is reviewed and updated {{ insert: param, sr-01_odp.05 }};' links: - href: '#sr-1_smt.c.1' rel: assessment-for - id: sr-1_obj.c.1-2 name: assessment-objective props: - name: label value: SR-01c.01[02] class: sp800-53a prose: 'the current supply chain risk management policy is reviewed and updated following {{ insert: param, sr-01_odp.06 }};' links: - href: '#sr-1_smt.c.1' rel: assessment-for links: - href: '#sr-1_smt.c.1' rel: assessment-for - id: sr-1_obj.c.2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-01c.02 class: sp800-53a parts: - id: sr-1_obj.c.2-1 name: assessment-objective props: - name: label value: SR-01c.02[01] class: sp800-53a prose: 'the current supply chain risk management procedures are reviewed and updated {{ insert: param, sr-01_odp.07 }};' links: - href: '#sr-1_smt.c.2' rel: assessment-for - id: sr-1_obj.c.2-2 name: assessment-objective props: - name: label value: SR-01c.02[02] class: sp800-53a prose: 'the current supply chain risk management procedures are reviewed and updated following {{ insert: param, sr-01_odp.08 }}.' links: - href: '#sr-1_smt.c.2' rel: assessment-for links: - href: '#sr-1_smt.c.2' rel: assessment-for links: - href: '#sr-1_smt.c' rel: assessment-for links: - href: '#sr-1_smt' rel: assessment-for - id: sr-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-01-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Supply chain risk management policy supply chain risk management procedures system security plan privacy plan other relevant documents or records' - id: sr-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-01-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with supply chain risk management responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with acquisition responsibilities organizational personnel with enterprise risk management responsibilities' - id: sr-2 class: SP800-53 title: Supply Chain Risk Management Plan params: - id: sr-02_odp.01 props: - name: alt-identifier value: sr-2_prm_1 - name: label value: SR-02_ODP[01] class: sp800-53a label: systems, system components, or system services guidelines: - prose: systems, system components, or system services for which a supply chain risk management plan is developed are defined; - id: sr-02_odp.02 props: - name: alt-identifier value: sr-2_prm_2 - name: label value: SR-02_ODP[02] class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which to review and update the supply chain risk management plan is defined; props: - name: label value: SR-02 class: zero-padded - name: label value: SR-2 - name: label value: SR-02 class: sp800-53a - name: sort-id value: sr-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#4ff10ed3-d8fe-4246-99e3-443045e27482' rel: reference - href: '#0f963c17-ab5a-432a-a867-91eac550309b' rel: reference - href: '#21caa535-1154-4369-ba7b-32c309fee0f7' rel: reference - href: '#031cc4b7-9adf-4835-98f1-f1ca493519cf' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#e8e84963-14fc-4c3a-be05-b412a5d37cd2' rel: reference - href: '#276bd50a-7e58-48e5-a405-8c8cb91d7a5f' rel: reference - href: '#e24b06cc-9129-4998-a76a-65c3d7a576ba' rel: reference - href: '#38ff38f0-1366-4f50-a4c9-26a39aacee16' rel: reference - href: '#ca-2' rel: related - href: '#cp-4' rel: related - href: '#ir-4' rel: related - href: '#ma-2' rel: related - href: '#ma-6' rel: related - href: '#pe-16' rel: related - href: '#pl-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-9 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-30 rel: related - href: '#ra-3' rel: related - href: '#ra-7' rel: related - href: '#sa-8' rel: related - href: '#si-4' rel: related parts: - id: sr-2_smt name: statement parts: - id: sr-2_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Develop a plan for managing supply chain risks associated with the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of the following systems, system components or system services: {{ insert: param, sr-02_odp.01 }};' - id: sr-2_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Review and update the supply chain risk management plan {{ insert: param, sr-02_odp.02 }} or as required, to address threat, organizational or environmental changes; and' - id: sr-2_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: Protect the supply chain risk management plan from unauthorized disclosure and modification. - id: sr-2_gdn name: guidance prose: 'The dependence on products, systems, and services from external providers, as well as the nature of the relationships with those providers, present an increasing level of risk to an organization. Threat actions that may increase security or privacy risks include unauthorized production, the insertion or use of counterfeits, tampering, theft, insertion of malicious software and hardware, and poor manufacturing and development practices in the supply chain. Supply chain risks can be endemic or systemic within a system element or component, a system, an organization, a sector, or the Nation. Managing supply chain risk is a complex, multifaceted undertaking that requires a coordinated effort across an organization to build trust relationships and communicate with internal and external stakeholders. Supply chain risk management (SCRM) activities include identifying and assessing risks, determining appropriate risk response actions, developing SCRM plans to document response actions, and monitoring performance against plans. The SCRM plan (at the system-level) is implementation specific, providing policy implementation, requirements, constraints and implications. It can either be stand-alone, or incorporated into system security and privacy plans. The SCRM plan addresses managing, implementation, and monitoring of SCRM controls and the development/sustainment of systems across the SDLC to support mission and business functions. Because supply chains can differ significantly across and within organizations, SCRM plans are tailored to the individual program, organizational, and operational contexts. Tailored SCRM plans provide the basis for determining whether a technology, service, system component, or system is fit for purpose, and as such, the controls need to be tailored accordingly. Tailored SCRM plans help organizations focus their resources on the most critical mission and business functions based on mission and business requirements and their risk environment. Supply chain risk management plans include an expression of the supply chain risk tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the plan, a description of and justification for supply chain risk mitigation measures taken, and associated roles and responsibilities. Finally, supply chain risk management plans address requirements for developing trustworthy, secure, privacy-protective, and resilient system components and systems, including the application of the security design principles implemented as part of life cycle-based systems security engineering processes (see [SA-8](#sa-8)).' - id: sr-2_obj name: assessment-objective props: - name: label value: SR-02 class: sp800-53a parts: - id: sr-2_obj.a name: assessment-objective props: - name: label value: SR-02a. class: sp800-53a parts: - id: sr-2_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-02a.[01] class: sp800-53a prose: a plan for managing supply chain risks is developed; links: - href: '#sr-2_smt.a' rel: assessment-for - id: sr-2_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SR-02a.[02] class: sp800-53a prose: 'the supply chain risk management plan addresses risks associated with the research and development of {{ insert: param, sr-02_odp.01 }};' links: - href: '#sr-2_smt.a' rel: assessment-for - id: sr-2_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SR-02a.[03] class: sp800-53a prose: 'the supply chain risk management plan addresses risks associated with the design of {{ insert: param, sr-02_odp.01 }};' links: - href: '#sr-2_smt.a' rel: assessment-for - id: sr-2_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SR-02a.[04] class: sp800-53a prose: 'the supply chain risk management plan addresses risks associated with the manufacturing of {{ insert: param, sr-02_odp.01 }};' links: - href: '#sr-2_smt.a' rel: assessment-for - id: sr-2_obj.a-5 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SR-02a.[05] class: sp800-53a prose: 'the supply chain risk management plan addresses risks associated with the acquisition of {{ insert: param, sr-02_odp.01 }};' links: - href: '#sr-2_smt.a' rel: assessment-for - id: sr-2_obj.a-6 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SR-02a.[06] class: sp800-53a prose: 'the supply chain risk management plan addresses risks associated with the delivery of {{ insert: param, sr-02_odp.01 }};' links: - href: '#sr-2_smt.a' rel: assessment-for - id: sr-2_obj.a-7 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SR-02a.[07] class: sp800-53a prose: 'the supply chain risk management plan addresses risks associated with the integration of {{ insert: param, sr-02_odp.01 }};' links: - href: '#sr-2_smt.a' rel: assessment-for - id: sr-2_obj.a-8 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SR-02a.[08] class: sp800-53a prose: 'the supply chain risk management plan addresses risks associated with the operation and maintenance of {{ insert: param, sr-02_odp.01 }};' links: - href: '#sr-2_smt.a' rel: assessment-for - id: sr-2_obj.a-9 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: label value: SR-02a.[09] class: sp800-53a prose: 'the supply chain risk management plan addresses risks associated with the disposal of {{ insert: param, sr-02_odp.01 }};' links: - href: '#sr-2_smt.a' rel: assessment-for links: - href: '#sr-2_smt.a' rel: assessment-for - id: sr-2_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-02b. class: sp800-53a prose: 'the supply chain risk management plan is reviewed and updated {{ insert: param, sr-02_odp.02 }} or as required to address threat, organizational, or environmental changes;' links: - href: '#sr-2_smt.b' rel: assessment-for - id: sr-2_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SR-02c. class: sp800-53a parts: - id: sr-2_obj.c-1 name: assessment-objective props: - name: label value: SR-02c.[01] class: sp800-53a prose: the supply chain risk management plan is protected from unauthorized disclosure; links: - href: '#sr-2_smt.c' rel: assessment-for - id: sr-2_obj.c-2 name: assessment-objective props: - name: label value: SR-02c.[02] class: sp800-53a prose: the supply chain risk management plan is protected from unauthorized modification. links: - href: '#sr-2_smt.c' rel: assessment-for links: - href: '#sr-2_smt.c' rel: assessment-for links: - href: '#sr-2_smt' rel: assessment-for - id: sr-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-02-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Supply chain risk management policy supply chain risk management procedures supply chain risk management plan system and services acquisition policy system and services acquisition procedures procedures addressing supply chain protection procedures for protecting the supply chain risk management plan from unauthorized disclosure and modification system development life cycle procedures procedures addressing the integration of information security and privacy requirements into the acquisition process acquisition documentation service level agreements acquisition contracts for the system, system component, or system service list of supply chain threats list of safeguards to be taken against supply chain threats system life cycle documentation inter-organizational agreements and procedures system security plan privacy plan privacy program plan other relevant documents or records' - id: sr-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-02-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with acquisition responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with supply chain risk management responsibilities' - id: sr-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-02-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for defining and documenting the system development life cycle (SDLC) organizational processes for identifying SDLC roles and responsibilities organizational processes for integrating supply chain risk management into the SDLC mechanisms supporting and/or implementing the SDLC' controls: - id: sr-2.1 class: SP800-53-enhancement title: Establish SCRM Team params: - id: sr-02.01_odp.01 props: - name: alt-identifier value: sr-2.1_prm_1 - name: alt-label value: personnel, roles, and responsibilities class: sp800-53 - name: label value: SR-02(01)_ODP[01] class: sp800-53a label: personnel, roles and responsibilities guidelines: - prose: the personnel, roles, and responsibilities of the supply chain risk management team are defined; - id: sr-02.01_odp.02 props: - name: alt-identifier value: sr-2.1_prm_2 - name: label value: SR-02(01)_ODP[02] class: sp800-53a label: supply chain risk management activities guidelines: - prose: supply chain risk management activities are defined; props: - name: label value: SR-02(01) class: zero-padded - name: label value: SR-2(1) - name: label value: SR-02(01) class: sp800-53a - name: sort-id value: sr-02.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#sr-2' rel: required parts: - id: sr-2.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Establish a supply chain risk management team consisting of {{ insert: param, sr-02.01_odp.01 }} to lead and support the following SCRM activities: {{ insert: param, sr-02.01_odp.02 }}.' - id: sr-2.1_gdn name: guidance prose: To implement supply chain risk management plans, organizations establish a coordinated, team-based approach to identify and assess supply chain risks and manage these risks by using programmatic and technical mitigation techniques. The team approach enables organizations to conduct an analysis of their supply chain, communicate with internal and external partners or stakeholders, and gain broad consensus regarding the appropriate resources for SCRM. The SCRM team consists of organizational personnel with diverse roles and responsibilities for leading and supporting SCRM activities, including risk executive, information technology, contracting, information security, privacy, mission or business, legal, supply chain and logistics, acquisition, business continuity, and other relevant functions. Members of the SCRM team are involved in various aspects of the SDLC and, collectively, have an awareness of and provide expertise in acquisition processes, legal practices, vulnerabilities, threats, and attack vectors, as well as an understanding of the technical aspects and dependencies of systems. The SCRM team can be an extension of the security and privacy risk management processes or be included as part of an organizational risk management team. - id: sr-2.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-02(01) class: sp800-53a prose: 'a supply chain risk management team consisting of {{ insert: param, sr-02.01_odp.01 }} is established to lead and support {{ insert: param, sr-02.01_odp.02 }}.' links: - href: '#sr-2.1_smt' rel: assessment-for - id: sr-2.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-02(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Supply chain risk management policy supply chain risk management procedures supply chain risk management team charter documentation supply chain risk management strategy supply chain risk management implementation plan procedures addressing supply chain protection system security plan privacy plan other relevant documents or records' - id: sr-2.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-02(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with acquisition responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with supply chain risk management responsibilities organizational personnel with enterprise risk management responsibilities legal counsel organizational personnel with business continuity responsibilities' - id: sr-3 class: SP800-53 title: Supply Chain Controls and Processes params: - id: sr-03_odp.01 props: - name: alt-identifier value: sr-3_prm_1 - name: label value: SR-03_ODP[01] class: sp800-53a label: system or system component guidelines: - prose: the system or system component requiring a process or processes to identify and address weaknesses or deficiencies is defined; - id: sr-03_odp.02 props: - name: alt-identifier value: sr-3_prm_2 - name: label value: SR-03_ODP[02] class: sp800-53a label: supply chain personnel guidelines: - prose: supply chain personnel with whom to coordinate the process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes is/are defined; - id: sr-03_odp.03 props: - name: alt-identifier value: sr-3_prm_3 - name: label value: SR-03_ODP[03] class: sp800-53a label: supply chain controls guidelines: - prose: supply chain controls employed to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events are defined; - id: sr-03_odp.04 props: - name: alt-identifier value: sr-3_prm_4 - name: label value: SR-03_ODP[04] class: sp800-53a select: how-many: one-or-more choice: - security and privacy plans - supply chain risk management plan - '{{ insert: param, sr-03_odp.05 }}' - id: sr-03_odp.05 props: - name: alt-identifier value: sr-3_prm_5 - name: label value: SR-03_ODP[05] class: sp800-53a label: document guidelines: - prose: the document identifying the selected and implemented supply chain processes and controls is defined (if selected); props: - name: label value: SR-03 class: zero-padded - name: label value: SR-3 - name: label value: SR-03 class: sp800-53a - name: sort-id value: sr-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#4ff10ed3-d8fe-4246-99e3-443045e27482' rel: reference - href: '#0f963c17-ab5a-432a-a867-91eac550309b' rel: reference - href: '#21caa535-1154-4369-ba7b-32c309fee0f7' rel: reference - href: '#15a95e24-65b6-4686-bc18-90855a10457d' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#e8e84963-14fc-4c3a-be05-b412a5d37cd2' rel: reference - href: '#e24b06cc-9129-4998-a76a-65c3d7a576ba' rel: reference - href: '#ca-2' rel: related - href: '#ma-2' rel: related - href: '#ma-6' rel: related - href: '#pe-3' rel: related - href: '#pe-16' rel: related - href: '#pl-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-30 rel: related - href: '#sa-2' rel: related - href: '#sa-3' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: '#sa-10' rel: related - href: '#sa-15' rel: related - href: '#sc-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-29 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-30 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-38 rel: related - href: '#si-7' rel: related - href: '#sr-6' rel: related - href: '#sr-9' rel: related - href: '#sr-11' rel: related parts: - id: sr-3_smt name: statement parts: - id: sr-3_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: 'Establish a process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of {{ insert: param, sr-03_odp.01 }} in coordination with {{ insert: param, sr-03_odp.02 }};' - id: sr-3_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Employ the following controls to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events: {{ insert: param, sr-03_odp.03 }} ; and' - id: sr-3_smt.c name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: c. prose: 'Document the selected and implemented supply chain processes and controls in {{ insert: param, sr-03_odp.04 }}.' - id: sr-3_gdn name: guidance prose: Supply chain elements include organizations, entities, or tools employed for the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of systems and system components. Supply chain processes include hardware, software, and firmware development processes; shipping and handling procedures; personnel security and physical security programs; configuration management tools, techniques, and measures to maintain provenance; or other programs, processes, or procedures associated with the development, acquisition, maintenance and disposal of systems and system components. Supply chain elements and processes may be provided by organizations, system integrators, or external providers. Weaknesses or deficiencies in supply chain elements or processes represent potential vulnerabilities that can be exploited by adversaries to cause harm to the organization and affect its ability to carry out its core missions or business functions. Supply chain personnel are individuals with roles and responsibilities in the supply chain. - id: sr-3_fr name: item ns: http://fedramp.gov/ns/oscal title: SR-3 Additional FedRAMP Requirements and Guidance parts: - id: sr-3_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: CSO must document and maintain the supply chain custody, including replacement devices, to ensure the integrity of the devices before being introduced to the boundary. - id: sr-3_obj name: assessment-objective props: - name: label value: SR-03 class: sp800-53a parts: - id: sr-3_obj.a name: assessment-objective props: - name: label value: SR-03a. class: sp800-53a parts: - id: sr-3_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-03a.[01] class: sp800-53a prose: 'a process or processes is/are established to identify and address weaknesses or deficiencies in the supply chain elements and processes of {{ insert: param, sr-03_odp.01 }};' links: - href: '#sr-3_smt.a' rel: assessment-for - id: sr-3_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-03a.[02] class: sp800-53a prose: 'the process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of {{ insert: param, sr-03_odp.01 }} is/are coordinated with {{ insert: param, sr-03_odp.02 }};' links: - href: '#sr-3_smt.a' rel: assessment-for links: - href: '#sr-3_smt.a' rel: assessment-for - id: sr-3_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SR-03b. class: sp800-53a prose: '{{ insert: param, sr-03_odp.03 }} are employed to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events;' links: - href: '#sr-3_smt.b' rel: assessment-for - id: sr-3_obj.c name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SR-03c. class: sp800-53a prose: 'the selected and implemented supply chain processes and controls are documented in {{ insert: param, sr-03_odp.04 }}.' links: - href: '#sr-3_smt.c' rel: assessment-for links: - href: '#sr-3_smt' rel: assessment-for - id: sr-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-03-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Supply chain risk management policy supply chain risk management procedures supply chain risk management strategy supply chain risk management plan systems and critical system components inventory documentation system and services acquisition policy system and services acquisition procedures procedures addressing the integration of information security and privacy requirements into the acquisition process solicitation documentation acquisition documentation (including purchase orders) service level agreements acquisition contracts for systems or services risk register documentation system security plan privacy plan other relevant documents or records' - id: sr-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-03-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with acquisition responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with supply chain risk management responsibilities' - id: sr-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-03-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for identifying and addressing supply chain element and process deficiencies - id: sr-5 class: SP800-53 title: Acquisition Strategies, Tools, and Methods params: - id: sr-05_odp props: - name: alt-identifier value: sr-5_prm_1 - name: alt-label value: acquisition strategies, contract tools, and procurement methods class: sp800-53 - name: label value: SR-05_ODP class: sp800-53a label: strategies, tools, and methods guidelines: - prose: acquisition strategies, contract tools, and procurement methods to protect against, identify, and mitigate supply chain risks are defined; props: - name: label value: SR-05 class: zero-padded - name: label value: SR-5 - name: label value: SR-05 class: sp800-53a - name: sort-id value: sr-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#4ff10ed3-d8fe-4246-99e3-443045e27482' rel: reference - href: '#0f963c17-ab5a-432a-a867-91eac550309b' rel: reference - href: '#21caa535-1154-4369-ba7b-32c309fee0f7' rel: reference - href: '#863caf2a-978a-4260-9e8d-4a8929bce40c' rel: reference - href: '#15a95e24-65b6-4686-bc18-90855a10457d' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#e8e84963-14fc-4c3a-be05-b412a5d37cd2' rel: reference - href: '#e24b06cc-9129-4998-a76a-65c3d7a576ba' rel: reference - href: '#38ff38f0-1366-4f50-a4c9-26a39aacee16' rel: reference - href: '#at-3' rel: related - href: '#sa-2' rel: related - href: '#sa-3' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: '#sa-10' rel: related - href: '#sa-15' rel: related - href: '#sr-6' rel: related - href: '#sr-9' rel: related - href: '#sr-10' rel: related - href: '#sr-11' rel: related parts: - id: sr-5_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Employ the following acquisition strategies, contract tools, and procurement methods to protect against, identify, and mitigate supply chain risks: {{ insert: param, sr-05_odp }}.' - id: sr-5_gdn name: guidance prose: The use of the acquisition process provides an important vehicle to protect the supply chain. There are many useful tools and techniques available, including obscuring the end use of a system or system component, using blind or filtered buys, requiring tamper-evident packaging, or using trusted or controlled distribution. The results from a supply chain risk assessment can guide and inform the strategies, tools, and methods that are most applicable to the situation. Tools and techniques may provide protections against unauthorized production, theft, tampering, insertion of counterfeits, insertion of malicious software or backdoors, and poor development practices throughout the system development life cycle. Organizations also consider providing incentives for suppliers who implement controls, promote transparency into their processes and security and privacy practices, provide contract language that addresses the prohibition of tainted or counterfeit components, and restrict purchases from untrustworthy suppliers. Organizations consider providing training, education, and awareness programs for personnel regarding supply chain risk, available mitigation strategies, and when the programs should be employed. Methods for reviewing and protecting development plans, documentation, and evidence are commensurate with the security and privacy requirements of the organization. Contracts may specify documentation protection requirements. - id: sr-5_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SR-05 class: sp800-53a parts: - id: sr-5_obj-1 name: assessment-objective props: - name: label value: SR-05[01] class: sp800-53a prose: '{{ insert: param, sr-05_odp }} are employed to protect against supply chain risks;' links: - href: '#sr-5_smt' rel: assessment-for - id: sr-5_obj-2 name: assessment-objective props: - name: label value: SR-05[02] class: sp800-53a prose: '{{ insert: param, sr-05_odp }} are employed to identify supply chain risks;' links: - href: '#sr-5_smt' rel: assessment-for - id: sr-5_obj-3 name: assessment-objective props: - name: label value: SR-05[03] class: sp800-53a prose: '{{ insert: param, sr-05_odp }} are employed to mitigate supply chain risks.' links: - href: '#sr-5_smt' rel: assessment-for links: - href: '#sr-5_smt' rel: assessment-for - id: sr-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-05-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Supply chain risk management policy supply chain risk management procedures supply chain risk management plan system and services acquisition policy system and services acquisition procedures procedures addressing supply chain protection procedures addressing the integration of information security and privacy requirements into the acquisition process solicitation documentation acquisition documentation (including purchase orders) service level agreements acquisition contracts for systems, system components, or services documentation of training, education, and awareness programs for personnel regarding supply chain risk system security plan privacy plan other relevant documents or records' - id: sr-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-05-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with acquisition responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with supply chain risk management responsibilities' - id: sr-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-05-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods mechanisms supporting and/or implementing the definition and employment of tailored acquisition strategies, contract tools, and procurement methods' - id: sr-6 class: SP800-53 title: Supplier Assessments and Reviews params: - id: sr-06_odp props: - name: alt-identifier value: sr-6_prm_1 - name: label value: SR-06_ODP class: sp800-53a label: frequency constraints: - description: at least annually guidelines: - prose: the frequency at which to assess and review the supply chain-related risks associated with suppliers or contractors and the systems, system components, or system services they provide is defined; props: - name: label value: SR-06 class: zero-padded - name: label value: SR-6 - name: label value: SR-06 class: sp800-53a - name: sort-id value: sr-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#4ff10ed3-d8fe-4246-99e3-443045e27482' rel: reference - href: '#0f963c17-ab5a-432a-a867-91eac550309b' rel: reference - href: '#21caa535-1154-4369-ba7b-32c309fee0f7' rel: reference - href: '#863caf2a-978a-4260-9e8d-4a8929bce40c' rel: reference - href: '#15a95e24-65b6-4686-bc18-90855a10457d' rel: reference - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#eea3c092-42ed-4382-a6f4-1adadef01b9d' rel: reference - href: '#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1' rel: reference - href: '#a295ca19-8c75-4b4c-8800-98024732e181' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#e8e84963-14fc-4c3a-be05-b412a5d37cd2' rel: reference - href: '#e24b06cc-9129-4998-a76a-65c3d7a576ba' rel: reference - href: '#38ff38f0-1366-4f50-a4c9-26a39aacee16' rel: reference - href: '#sr-3' rel: related - href: '#sr-5' rel: related parts: - id: sr-6_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Assess and review the supply chain-related risks associated with suppliers or contractors and the system, system component, or system service they provide {{ insert: param, sr-06_odp }}.' - id: sr-6_gdn name: guidance prose: An assessment and review of supplier risk includes security and supply chain risk management processes, foreign ownership, control or influence (FOCI), and the ability of the supplier to effectively assess subordinate second-tier and third-tier suppliers and contractors. The reviews may be conducted by the organization or by an independent third party. The reviews consider documented processes, documented controls, all-source intelligence, and publicly available information related to the supplier or contractor. Organizations can use open-source information to monitor for indications of stolen information, poor development and quality control practices, information spillage, or counterfeits. In some cases, it may be appropriate or required to share assessment and review results with other organizations in accordance with any applicable rules, policies, or inter-organizational agreements or contracts. - id: sr-6_fr name: item ns: http://fedramp.gov/ns/oscal title: SR-6 Additional FedRAMP Requirements and Guidance parts: - id: sr-6_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: CSOs must ensure that their supply chain vendors build and test their systems in alignment with NIST SP 800-171 or a commensurate security and compliance framework. CSOs must ensure that vendors are compliant with physical facility access and logical access controls to supplied products. - id: sr-6_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: TEST class: fedramp - name: label value: SR-06 class: sp800-53a prose: 'the supply chain-related risks associated with suppliers or contractors and the systems, system components, or system services they provide are assessed and reviewed {{ insert: param, sr-06_odp }}.' links: - href: '#sr-6_smt' rel: assessment-for - id: sr-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-06-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Supply chain risk management policy and procedures supply chain risk management strategy supply chain risk management plan system and services acquisition policy procedures addressing supply chain protection procedures addressing the integration of information security requirements into the acquisition process records of supplier due diligence reviews system security plan other relevant documents or records' - id: sr-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-06-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and services acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain protection responsibilities' - id: sr-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-06-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for conducting supplier reviews mechanisms supporting and/or implementing supplier reviews' - id: sr-8 class: SP800-53 title: Notification Agreements params: - id: sr-08_odp.01 props: - name: alt-identifier value: sr-8_prm_1 - name: label value: SR-08_ODP[01] class: sp800-53a constraints: - description: notification of supply chain compromises and results of assessment or audits - id: sr-08_odp.02 props: - name: alt-identifier value: sr-8_prm_2 - name: alt-label value: information class: sp800-53 - name: label value: SR-08_ODP[02] class: sp800-53a label: results of assessments or audits guidelines: - prose: information for which agreements and procedures are to be established are defined (if selected); props: - name: label value: SR-08 class: zero-padded - name: label value: SR-8 - name: label value: SR-08 class: sp800-53a - name: sort-id value: sr-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#4ff10ed3-d8fe-4246-99e3-443045e27482' rel: reference - href: '#0f963c17-ab5a-432a-a867-91eac550309b' rel: reference - href: '#21caa535-1154-4369-ba7b-32c309fee0f7' rel: reference - href: '#863caf2a-978a-4260-9e8d-4a8929bce40c' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#e8e84963-14fc-4c3a-be05-b412a5d37cd2' rel: reference - href: '#e24b06cc-9129-4998-a76a-65c3d7a576ba' rel: reference - href: '#ir-4' rel: related - href: '#ir-6' rel: related - href: '#ir-8' rel: related parts: - id: sr-8_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Establish agreements and procedures with entities involved in the supply chain for the system, system component, or system service for the {{ insert: param, sr-08_odp.01 }}.' - id: sr-8_gdn name: guidance prose: The establishment of agreements and procedures facilitates communications among supply chain entities. Early notification of compromises and potential compromises in the supply chain that can potentially adversely affect or have adversely affected organizational systems or system components is essential for organizations to effectively respond to such incidents. The results of assessments or audits may include open-source information that contributed to a decision or result and could be used to help the supply chain entity resolve a concern or improve its processes. - id: sr-8_fr name: item ns: http://fedramp.gov/ns/oscal title: SR-8 Additional FedRAMP Requirements and Guidance parts: - id: sr-8_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: CSOs must ensure and document how they receive notifications from their supply chain vendor of newly discovered vulnerabilities including zero-day vulnerabilities. - id: sr-8_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-08 class: sp800-53a prose: 'agreements and procedures are established with entities involved in the supply chain for the system, system components, or system service for {{ insert: param, sr-08_odp.01 }}.' links: - href: '#sr-8_smt' rel: assessment-for - id: sr-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-08-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Supply chain risk management policy and procedures supply chain risk management plan system and services acquisition policy procedures addressing supply chain protection acquisition documentation service level agreements acquisition contracts for the system, system component, or system service inter-organizational agreements and procedures system security plan other relevant documents or records' - id: sr-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-08-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities' - id: sr-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-08-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities - id: sr-9 class: SP800-53 title: Tamper Resistance and Detection props: - name: label value: SR-09 class: zero-padded - name: label value: SR-9 - name: label value: SR-09 class: sp800-53a - name: sort-id value: sr-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#15a95e24-65b6-4686-bc18-90855a10457d' rel: reference - href: '#pe-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-30 rel: related - href: '#sa-15' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related - href: '#sr-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-4 rel: related - href: '#sr-5' rel: related - href: '#sr-10' rel: related - href: '#sr-11' rel: related parts: - id: sr-9_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Implement a tamper protection program for the system, system component, or system service. - id: sr-9_gdn name: guidance prose: Anti-tamper technologies, tools, and techniques provide a level of protection for systems, system components, and services against many threats, including reverse engineering, modification, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting systems and components during distribution and when in use. - id: sr-9_fr name: item ns: http://fedramp.gov/ns/oscal title: SR-9 Additional FedRAMP Requirements and Guidance parts: - id: sr-9_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: CSOs must ensure vendors provide authenticity of software and patches supplied to the service provider including documenting the safeguards in place. - id: sr-9_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-09 class: sp800-53a prose: a tamper protection program is implemented for the system, system component, or system service. links: - href: '#sr-9_smt' rel: assessment-for - id: sr-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-09-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Supply chain risk management policy and procedures supply chain risk management plan system and services acquisition policy procedures addressing supply chain protection procedures addressing tamper resistance and detection tamper protection program documentation tamper protection tools and techniques documentation tamper resistance and detection tools and techniques documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system security plan other relevant documents or records' - id: sr-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-09-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with tamper protection program responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities' - id: sr-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-09-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for the implementation of the tamper protection program mechanisms supporting and/or implementing the tamper protection program' controls: - id: sr-9.1 class: SP800-53-enhancement title: Multiple Stages of System Development Life Cycle props: - name: label value: SR-09(01) class: zero-padded - name: label value: SR-9(1) - name: label value: SR-09(01) class: sp800-53a - name: sort-id value: sr-09.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#sr-9' rel: required - href: '#sa-3' rel: related parts: - id: sr-9.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: Employ anti-tamper technologies, tools, and techniques throughout the system development life cycle. - id: sr-9.1_gdn name: guidance prose: The system development life cycle includes research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal. Organizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations use obfuscation and self-checking to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. The customization of systems and system components can make substitutions easier to detect and therefore limit damage. - id: sr-9.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-09(01) class: sp800-53a prose: anti-tamper technologies, tools, and techniques are employed throughout the system development life cycle. links: - href: '#sr-9.1_smt' rel: assessment-for - id: sr-9.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-09(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Supply chain risk management policy and procedures supply chain risk management plan system and services acquisition policy procedures addressing tamper resistance and detection tamper protection program documentation tamper protection tools and techniques documentation tamper resistance and detection tools (technologies) and techniques documentation system development life cycle documentation procedures addressing supply chain protection system development life cycle procedures acquisition documentation service level agreements acquisition contracts for the system, system component, or system service inter-organizational agreements and procedures system security plan other relevant documents or records' - id: sr-9.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-09(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and services acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities organizational personnel with SDLC responsibilities' - id: sr-9.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-09(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for employing anti-tamper technologies mechanisms supporting and/or implementing anti-tamper technologies' - id: sr-10 class: SP800-53 title: Inspection of Systems or Components params: - id: sr-10_odp.01 props: - name: alt-identifier value: sr-10_prm_4 - name: label value: SR-10_ODP[01] class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that require inspection are defined; - id: sr-10_odp.02 props: - name: alt-identifier value: sr-10_prm_1 - name: label value: SR-10_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - at random - 'at {{ insert: param, sr-10_odp.03 }}' - 'upon {{ insert: param, sr-10_odp.04 }}' - id: sr-10_odp.03 props: - name: alt-identifier value: sr-10_prm_2 - name: label value: SR-10_ODP[03] class: sp800-53a label: frequency guidelines: - prose: frequency at which to inspect systems or system components is defined (if selected); - id: sr-10_odp.04 props: - name: alt-identifier value: sr-10_prm_3 - name: label value: SR-10_ODP[04] class: sp800-53a label: indications of need for inspection guidelines: - prose: indications of the need for an inspection of systems or system components are defined (if selected); props: - name: label value: SR-10 class: zero-padded - name: label value: SR-10 - name: label value: SR-10 class: sp800-53a - name: sort-id value: sr-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#15a95e24-65b6-4686-bc18-90855a10457d' rel: reference - href: '#at-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pm-30 rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related - href: '#sr-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-4 rel: related - href: '#sr-5' rel: related - href: '#sr-9' rel: related - href: '#sr-11' rel: related parts: - id: sr-10_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Inspect the following systems or system components {{ insert: param, sr-10_odp.02 }} to detect tampering: {{ insert: param, sr-10_odp.01 }}.' - id: sr-10_gdn name: guidance prose: The inspection of systems or systems components for tamper resistance and detection addresses physical and logical tampering and is applied to systems and system components removed from organization-controlled areas. Indications of a need for inspection include changes in packaging, specifications, factory location, or entity in which the part is purchased, and when individuals return from travel to high-risk locations. - id: sr-10_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-10 class: sp800-53a prose: '{{ insert: param, sr-10_odp.01 }} are inspected {{ insert: param, sr-10_odp.02 }} to detect tampering.' links: - href: '#sr-10_smt' rel: assessment-for - id: sr-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-10-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Supply chain risk management policy and procedures supply chain risk management plan system and services acquisition policy records of random inspections inspection reports/results assessment reports/results acquisition documentation service level agreements acquisition contracts for the system, system component, or system service inter-organizational agreements and procedures system security plan other relevant documents or records' - id: sr-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-10-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and services acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities' - id: sr-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-10-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities organizational processes to inspect for tampering' - id: sr-11 class: SP800-53 title: Component Authenticity params: - id: sr-11_odp.01 props: - name: alt-identifier value: sr-11_prm_1 - name: label value: SR-11_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - source of counterfeit component - '{{ insert: param, sr-11_odp.02 }}' - '{{ insert: param, sr-11_odp.03 }}' - id: sr-11_odp.02 props: - name: alt-identifier value: sr-11_prm_2 - name: label value: SR-11_ODP[02] class: sp800-53a label: external reporting organizations guidelines: - prose: external reporting organizations to whom counterfeit system components are to be reported is/are defined (if selected); - id: sr-11_odp.03 props: - name: alt-identifier value: sr-11_prm_3 - name: label value: SR-11_ODP[03] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom counterfeit system components are to be reported is/are defined (if selected); props: - name: label value: SR-11 class: zero-padded - name: label value: SR-11 - name: label value: SR-11 class: sp800-53a - name: sort-id value: sr-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#15a95e24-65b6-4686-bc18-90855a10457d' rel: reference - href: '#pe-3' rel: related - href: '#sa-4' rel: related - href: '#si-7' rel: related - href: '#sr-9' rel: related - href: '#sr-10' rel: related parts: - id: sr-11_smt name: statement parts: - id: sr-11_smt.a name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: a. prose: Develop and implement anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the system; and - id: sr-11_smt.b name: item props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: label value: b. prose: 'Report counterfeit system components to {{ insert: param, sr-11_odp.01 }}.' - id: sr-11_gdn name: guidance prose: Sources of counterfeit components include manufacturers, developers, vendors, and contractors. Anti-counterfeiting policies and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include CISA. - id: sr-11_fr name: item ns: http://fedramp.gov/ns/oscal title: SR-11 Additional FedRAMP Requirements and Guidance parts: - id: sr-11_fr_smt.1 name: item ns: http://fedramp.gov/ns/oscal props: - name: label value: 'Requirement:' prose: CSOs must ensure that their supply chain vendors provide authenticity of software and patches and the vendor must have a plan to protect the development pipeline. - id: sr-11_obj name: assessment-objective props: - name: label value: SR-11 class: sp800-53a parts: - id: sr-11_obj.a name: assessment-objective props: - name: label value: SR-11a. class: sp800-53a parts: - id: sr-11_obj.a-1 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-11a.[01] class: sp800-53a prose: an anti-counterfeit policy is developed and implemented; links: - href: '#sr-11_smt.a' rel: assessment-for - id: sr-11_obj.a-2 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-11a.[02] class: sp800-53a prose: anti-counterfeit procedures are developed and implemented; links: - href: '#sr-11_smt.a' rel: assessment-for - id: sr-11_obj.a-3 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-11a.[03] class: sp800-53a prose: the anti-counterfeit procedures include the means to detect counterfeit components entering the system; links: - href: '#sr-11_smt.a' rel: assessment-for - id: sr-11_obj.a-4 name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-11a.[04] class: sp800-53a prose: the anti-counterfeit procedures include the means to prevent counterfeit components from entering the system; links: - href: '#sr-11_smt.a' rel: assessment-for links: - href: '#sr-11_smt.a' rel: assessment-for - id: sr-11_obj.b name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-11b. class: sp800-53a prose: 'counterfeit system components are reported to {{ insert: param, sr-11_odp.01 }}.' links: - href: '#sr-11_smt.b' rel: assessment-for links: - href: '#sr-11_smt' rel: assessment-for - id: sr-11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-11-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Supply chain risk management policy and procedures supply chain risk management plan system and services acquisition policy anti-counterfeit plan anti-counterfeit policy and procedures media disposal policy media protection policy incident response policy reports notifying developers, manufacturers, vendors, contractors, and/or external reporting organizations of counterfeit system components acquisition documentation service level agreements acquisition contracts for the system, system component, or system service inter-organizational agreements and procedures records of reported counterfeit system components system security plan other relevant documents or records' - id: sr-11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-11-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities organizational personnel with responsibilities for anti-counterfeit policies, procedures, and reporting' - id: sr-11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-11-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for counterfeit prevention, detection, and reporting mechanisms supporting and/or implementing anti-counterfeit detection, prevention, and reporting' controls: - id: sr-11.1 class: SP800-53-enhancement title: Anti-counterfeit Training params: - id: sr-11.01_odp props: - name: alt-identifier value: sr-11.1_prm_1 - name: label value: SR-11(01)_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles requiring training to detect counterfeit system components (including hardware, software, and firmware) is/are defined; props: - name: label value: SR-11(01) class: zero-padded - name: label value: SR-11(1) - name: label value: SR-11(01) class: sp800-53a - name: sort-id value: sr-11.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#sr-11' rel: required - href: '#at-3' rel: related parts: - id: sr-11.1_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Train {{ insert: param, sr-11.01_odp }} to detect counterfeit system components (including hardware, software, and firmware).' - id: sr-11.1_gdn name: guidance prose: None. - id: sr-11.1_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-11(01) class: sp800-53a prose: '{{ insert: param, sr-11.01_odp }} are trained to detect counterfeit system components (including hardware, software, and firmware).' links: - href: '#sr-11.1_smt' rel: assessment-for - id: sr-11.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-11(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Supply chain risk management policy and procedures supply chain risk management plan system and services acquisition policy anti-counterfeit plan anti-counterfeit policy and procedures media disposal policy media protection policy incident response policy training materials addressing counterfeit system components training records on the detection and prevention of counterfeit components entering the system system security plan other relevant documents or records' - id: sr-11.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-11(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities organizational personnel with responsibilities for anti-counterfeit policies, procedures, and training' - id: sr-11.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-11(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for anti-counterfeit training - id: sr-11.2 class: SP800-53-enhancement title: Configuration Control for Component Service and Repair params: - id: sr-11.02_odp props: - name: alt-identifier value: sr-11.2_prm_1 - name: label value: SR-11(02)_ODP class: sp800-53a label: system components constraints: - description: all guidelines: - prose: system components requiring configuration control are defined; props: - name: label value: SR-11(02) class: zero-padded - name: label value: SR-11(2) - name: label value: SR-11(02) class: sp800-53a - name: sort-id value: sr-11.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#sr-11' rel: required - href: '#cm-3' rel: related - href: '#ma-2' rel: related - href: '#ma-4' rel: related - href: '#sa-10' rel: related parts: - id: sr-11.2_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Maintain configuration control over the following system components awaiting service or repair and serviced or repaired components awaiting return to service: {{ insert: param, sr-11.02_odp }}.' - id: sr-11.2_gdn name: guidance prose: None. - id: sr-11.2_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-11(02) class: sp800-53a parts: - id: sr-11.2_obj-1 name: assessment-objective props: - name: label value: SR-11(02)[01] class: sp800-53a prose: 'configuration control over {{ insert: param, sr-11.02_odp }} awaiting service or repair is maintained;' links: - href: '#sr-11.2_smt' rel: assessment-for - id: sr-11.2_obj-2 name: assessment-objective props: - name: label value: SR-11(02)[02] class: sp800-53a prose: 'configuration control over serviced or repaired {{ insert: param, sr-11.02_odp }} awaiting return to service is maintained.' links: - href: '#sr-11.2_smt' rel: assessment-for links: - href: '#sr-11.2_smt' rel: assessment-for - id: sr-11.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-11(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Supply chain risk management policy and procedures supply chain risk management plan configuration control procedures acquisition documentation service level agreements acquisition contracts for the system component inter-organizational agreements and procedures system security plan other relevant documents or records' - id: sr-11.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-11(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system and services acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities' - id: sr-11.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-11(02)-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities organizational configuration control processes' - id: sr-12 class: SP800-53 title: Component Disposal params: - id: sr-12_odp.01 props: - name: alt-identifier value: sr-12_prm_1 - name: label value: SR-12_ODP[01] class: sp800-53a label: data, documentation, tools, or system components guidelines: - prose: data, documentation, tools, or system components to be disposed of are defined; - id: sr-12_odp.02 props: - name: alt-identifier value: sr-12_prm_2 - name: label value: SR-12_ODP[02] class: sp800-53a label: techniques and methods guidelines: - prose: techniques and methods for disposing of data, documentation, tools, or system components are defined; props: - name: label value: SR-12 class: zero-padded - name: label value: SR-12 - name: label value: SR-12 class: sp800-53a - name: sort-id value: sr-12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: 'true' links: - href: '#mp-6' rel: related parts: - id: sr-12_smt name: statement props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. prose: 'Dispose of {{ insert: param, sr-12_odp.01 }} using the following techniques and methods: {{ insert: param, sr-12_odp.02 }}.' - id: sr-12_gdn name: guidance prose: Data, documentation, tools, or system components can be disposed of at any time during the system development life cycle (not only in the disposal or retirement phase of the life cycle). For example, disposal can occur during research and development, design, prototyping, or operations/maintenance and include methods such as disk cleaning, removal of cryptographic keys, partial reuse of components. Opportunities for compromise during disposal affect physical and logical data, including system documentation in paper-based or digital files; shipping and delivery documentation; memory sticks with software code; or complete routers or servers that include permanent media, which contain sensitive or proprietary information. Additionally, proper disposal of system components helps to prevent such components from entering the gray market. - id: sr-12_obj name: assessment-objective props: - name: response-point ns: http://fedramp.gov/ns/oscal value: You must fill in this response point. - name: method ns: http://fedramp.gov/ns/oscal value: EXAMINE class: fedramp - name: method ns: http://fedramp.gov/ns/oscal value: INTERVIEW class: fedramp - name: label value: SR-12 class: sp800-53a prose: '{{ insert: param, sr-12_odp.01 }} are disposed of using {{ insert: param, sr-12_odp.02 }}.' links: - href: '#sr-12_smt' rel: assessment-for - id: sr-12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-12-Examine class: sp800-53a parts: - name: assessment-objects prose: 'Supply chain risk management policy and procedures supply chain risk management plan disposal procedures addressing supply chain protection media disposal policy media protection policy disposal records for system components documentation of the system components identified for disposal documentation of the disposal techniques and methods employed for system components system security plan other relevant documents or records' - id: sr-12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-12-Interview class: sp800-53a parts: - name: assessment-objects prose: 'Organizational personnel with system component disposal responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain protection responsibilities' - id: sr-12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-12-Test class: sp800-53a parts: - name: assessment-objects prose: 'Organizational techniques and methods for system component disposal mechanisms supporting and/or implementing system component disposal' back-matter: resources: - uuid: 91f992fb-f668-4c91-a50f-0f05b95ccee3 title: 32 CFR 2002 citation: text: Code of Federal Regulations, Title 32, *Controlled Unclassified Information* (32 C.F.R. 2002). rlinks: - href: https://www.federalregister.gov/documents/2016/09/14/2016-21665/controlled-unclassified-information - uuid: 0f963c17-ab5a-432a-a867-91eac550309b title: 41 CFR 201 citation: text: '"Federal Acquisition Supply Chain Security Act; Rule," 85 Federal Register 54263 (September 1, 2020), pp 54263-54271.' rlinks: - href: https://www.federalregister.gov/d/2020-18939 - uuid: a5ef5e56-5c1a-4911-b419-37dddc1b3581 title: 5 CFR 731 citation: text: Code of Federal Regulations, Title 5, *Administrative Personnel* , Section 731.106, *Designation of Public Trust Positions and Investigative Requirements* (5 C.F.R. 731.106). rlinks: - href: https://www.govinfo.gov/content/pkg/CFR-2012-title5-vol2/pdf/CFR-2012-title5-vol2-sec731-106.pdf - uuid: 031cc4b7-9adf-4835-98f1-f1ca493519cf title: CNSSD 505 citation: text: Committee on National Security Systems Directive No. 505, *Supply Chain Risk Management (SCRM)* , August 2017. rlinks: - href: https://www.cnss.gov/CNSS/issuances/Directives.cfm - uuid: 4e4fbc93-333d-45e6-a875-de36b878b6b9 title: CNSSI 1253 citation: text: Committee on National Security Systems Instruction No. 1253, *Security Categorization and Control Selection for National Security Systems* , March 2014. rlinks: - href: https://www.cnss.gov/CNSS/issuances/Instructions.cfm - uuid: 4f42ee6e-86cc-403b-a51f-76c2b4f81b54 title: DHS TIC citation: text: Department of Homeland Security, *Trusted Internet Connections (TIC)*. rlinks: - href: https://www.dhs.gov/trusted-internet-connections - uuid: aa66e14f-e7cb-4a37-99d2-07578dfd4608 title: DOD STIG citation: text: Defense Information Systems Agency, *Security Technical Implementation Guides (STIG)*. rlinks: - href: https://public.cyber.mil/stigs - uuid: 55b0c93a-5e48-457a-baa6-5ce81c239c49 title: EO 13526 citation: text: Executive Order 13526, *Classified National Security Information* , December 2009. rlinks: - href: https://www.archives.gov/isoo/policy-documents/cnsi-eo.html - uuid: 34a5571f-e252-4309-a8a1-2fdb2faefbcd title: EO 13556 citation: text: Executive Order 13556, *Controlled Unclassified Information* , November 2010. rlinks: - href: https://obamawhitehouse.archives.gov/the-press-office/2010/11/04/executive-order-13556-controlled-unclassified-information - uuid: 0af071a6-cf8e-48ee-8c82-fe91efa20f94 title: EO 13587 citation: text: Executive Order 13587, *Structural Reforms to Improve the Security of Classified Networks and the Responsible Sharing and Safeguarding of Classified Information* , October 2011. rlinks: - href: https://obamawhitehouse.archives.gov/the-press-office/2011/10/07/executive-order-13587-structural-reforms-improve-security-classified-net - uuid: 21caa535-1154-4369-ba7b-32c309fee0f7 title: EO 13873 citation: text: Executive Order 13873, *Executive Order on Securing the Information and Communications Technology and Services Supply Chain* , May 2019. rlinks: - href: https://www.whitehouse.gov/presidential-actions/executive-order-securing-information-communications-technology-services-supply-chain - uuid: 4ff10ed3-d8fe-4246-99e3-443045e27482 title: FASC18 citation: text: Secure Technology Act \[includes Federal Acquisition Supply Chain Security Act\] (P.L. 115-390), December 2018. rlinks: - href: https://www.congress.gov/bill/115th-congress/senate-bill/3085 - uuid: a1555677-2b9d-4868-a97b-a1363aff32f5 title: FED PKI citation: text: General Services Administration, *Federal Public Key Infrastructure*. rlinks: - href: https://www.idmanagement.gov/topics/fpki - uuid: 678e3d6c-150b-4393-aec5-6e3481eb1e00 title: FIPS 140-3 citation: text: National Institute of Standards and Technology (2019) Security Requirements for Cryptographic Modules. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 140-3. rlinks: - href: https://doi.org/10.6028/NIST.FIPS.140-3 - uuid: eea3c092-42ed-4382-a6f4-1adadef01b9d title: FIPS 180-4 citation: text: National Institute of Standards and Technology (2015) Secure Hash Standard (SHS). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 180-4. rlinks: - href: https://doi.org/10.6028/NIST.FIPS.180-4 - uuid: 7c37a38d-21d7-40d8-bc3d-b5e27eac17e1 title: FIPS 186-4 citation: text: National Institute of Standards and Technology (2013) Digital Signature Standard (DSS). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 186-4. rlinks: - href: https://doi.org/10.6028/NIST.FIPS.186-4 - uuid: 736d6310-e403-4b57-a79d-9967970c66d7 title: FIPS 197 citation: text: National Institute of Standards and Technology (2001) Advanced Encryption Standard (AES). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 197. rlinks: - href: https://doi.org/10.6028/NIST.FIPS.197 - uuid: 628d22a1-6a11-4784-bc59-5cd9497b5445 title: FIPS 199 citation: text: National Institute of Standards and Technology (2004) Standards for Security Categorization of Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 199. rlinks: - href: https://doi.org/10.6028/NIST.FIPS.199 - uuid: 599fb53d-5041-444e-a7fe-640d6d30ad05 title: FIPS 200 citation: text: National Institute of Standards and Technology (2006) Minimum Security Requirements for Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 200. rlinks: - href: https://doi.org/10.6028/NIST.FIPS.200 - uuid: 7ba1d91c-3934-4d5a-8532-b32f864ad34c title: FIPS 201-2 citation: text: National Institute of Standards and Technology (2013) Personal Identity Verification (PIV) of Federal Employees and Contractors. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 201-2. rlinks: - href: https://doi.org/10.6028/NIST.FIPS.201-2 - uuid: a295ca19-8c75-4b4c-8800-98024732e181 title: FIPS 202 citation: text: 'National Institute of Standards and Technology (2015) SHA-3 Standard: Permutation-Based Hash and Extendable-Output Functions. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 202.' rlinks: - href: https://doi.org/10.6028/NIST.FIPS.202 - uuid: 0c67b2a9-bede-43d2-b86d-5f35b8be36e9 title: FISMA citation: text: Federal Information Security Modernization Act (P.L. 113-283), December 2014. rlinks: - href: https://www.congress.gov/113/plaws/publ283/PLAW-113publ283.pdf - uuid: f16e438e-7114-4144-bfe2-2dfcad8cb2d0 title: HSPD 12 citation: text: Homeland Security Presidential Directive 12, Policy for a Common Identification Standard for Federal Employees and Contractors, August 2004. rlinks: - href: https://www.dhs.gov/homeland-security-presidential-directive-12 - uuid: e4d37285-1e79-4029-8b6a-42df39cace30 title: IETF 5905 citation: text: 'Internet Engineering Task Force (IETF), Request for Comments: 5905, *Network Time Protocol Version 4: Protocol and Algorithms Specification* , June 2010.' rlinks: - href: https://tools.ietf.org/pdf/rfc5905.pdf - uuid: 15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c title: IR 7539 citation: text: Cooper DA, MacGregor WI (2008) Symmetric Key Injection onto Smart Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7539. rlinks: - href: https://doi.org/10.6028/NIST.IR.7539 - uuid: 2be7b163-e50a-435c-8906-f1162f2a457a title: IR 7559 citation: text: Singhal A, Gunestas M, Wijesekera D (2010) Forensics Web Services (FWS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7559. rlinks: - href: https://doi.org/10.6028/NIST.IR.7559 - uuid: e24b06cc-9129-4998-a76a-65c3d7a576ba title: IR 7622 citation: text: Boyens JM, Paulsen C, Bartol N, Shankles S, Moorthy R (2012) Notional Supply Chain Risk Management Practices for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7622. rlinks: - href: https://doi.org/10.6028/NIST.IR.7622 - uuid: 4b38e961-1125-4a5b-aa35-1d6c02846dad title: IR 7676 citation: text: Cooper DA (2010) Maintaining and Using Key History on Personal Identity Verification (PIV) Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7676. rlinks: - href: https://doi.org/10.6028/NIST.IR.7676 - uuid: aa5d04e0-6090-4e17-84d4-b9963d55fc2c title: IR 7788 citation: text: Singhal A, Ou X (2011) Security Risk Analysis of Enterprise Networks Using Probabilistic Attack Graphs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7788. rlinks: - href: https://doi.org/10.6028/NIST.IR.7788 - uuid: 91701292-8bcd-4d2e-a5bd-59ab61e34b3c title: IR 7817 citation: text: Ferraiolo H (2012) A Credential Reliability and Revocation Model for Federated Identities. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7817. rlinks: - href: https://doi.org/10.6028/NIST.IR.7817 - uuid: 4f5f51ac-2b8d-4b90-a3c7-46f56e967617 title: IR 7849 citation: text: Chandramouli R (2014) A Methodology for Developing Authentication Assurance Level Taxonomy for Smart Card-based Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7849. rlinks: - href: https://doi.org/10.6028/NIST.IR.7849 - uuid: 604774da-9e1d-48eb-9c62-4e959dc80737 title: IR 7870 citation: text: Cooper DA (2012) NIST Test Personal Identity Verification (PIV) Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7870. rlinks: - href: https://doi.org/10.6028/NIST.IR.7870 - uuid: 7f473f21-fdbf-4a6c-81a1-0ab95919609d title: IR 7874 citation: text: Hu VC, Scarfone KA (2012) Guidelines for Access Control System Evaluation Metrics. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7874. rlinks: - href: https://doi.org/10.6028/NIST.IR.7874 - uuid: 849b2358-683f-4d97-b111-1cc3d522ded5 title: IR 7956 citation: text: Chandramouli R, Iorga M, Chokhani S (2013) Cryptographic Key Management Issues \& Challenges in Cloud Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7956. rlinks: - href: https://doi.org/10.6028/NIST.IR.7956 - uuid: 3915a084-b87b-4f02-83d4-c369e746292f title: IR 7966 citation: text: Ylonen T, Turner P, Scarfone KA, Souppaya MP (2015) Security of Interactive and Automated Access Management Using Secure Shell (SSH). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7966. rlinks: - href: https://doi.org/10.6028/NIST.IR.7966 - uuid: bbac9fc2-df5b-4f2d-bf99-90d0ade45349 title: IR 8011-1 citation: text: 'Dempsey KL, Eavy P, Moore G (2017) Automation Support for Security Control Assessments: Volume 1: Overview. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 1.' rlinks: - href: https://doi.org/10.6028/NIST.IR.8011-1 - uuid: 70402863-5078-43af-9a6c-e11b0f3ec370 title: IR 8011-2 citation: text: 'Dempsey KL, Eavy P, Moore G (2017) Automation Support for Security Control Assessments: Volume 2: Hardware Asset Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 2.' rlinks: - href: https://doi.org/10.6028/NIST.IR.8011-2 - uuid: 996241f8-f692-42d5-91f1-ce8b752e39e6 title: IR 8011-3 citation: text: 'Dempsey KL, Eavy P, Goren N, Moore G (2018) Automation Support for Security Control Assessments: Volume 3: Software Asset Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 3.' rlinks: - href: https://doi.org/10.6028/NIST.IR.8011-3 - uuid: d2ebec9b-f868-4ee1-a2bd-0b2282aed248 title: IR 8011-4 citation: text: 'Dempsey KL, Takamura E, Eavy P, Moore G (2020) Automation Support for Security Control Assessments: Volume 4: Software Vulnerability Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 4.' rlinks: - href: https://doi.org/10.6028/NIST.IR.8011-4 - uuid: 4c501da5-9d79-4cb6-ba80-97260e1ce327 title: IR 8023 citation: text: Dempsey KL, Paulsen C (2015) Risk Management for Replication Devices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8023. rlinks: - href: https://doi.org/10.6028/NIST.IR.8023 - uuid: 81aeb0a3-d0ee-4e44-b842-6bf28d2bd7f5 title: IR 8040 citation: text: Greene KK, Kelsey JM, Franklin JM (2016) Measuring the Usability and Security of Permuted Passwords on Mobile Platforms. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8040. rlinks: - href: https://doi.org/10.6028/NIST.IR.8040 - uuid: 98d415ca-7281-4064-9931-0c366637e324 title: IR 8062 citation: text: Brooks S, Garcia M, Lefkovitz N, Lightman S, Nadeau E (2017) An Introduction to Privacy Engineering and Risk Management in Federal Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8062. rlinks: - href: https://doi.org/10.6028/NIST.IR.8062 - uuid: a2590922-82f3-4277-83c0-ca5bee06dba4 title: IR 8112 citation: text: 'Grassi P, Lefkovitz N, Nadeau E, Galluzzo R, Dinh, A (2018) Attribute Metadata: A Proposed Schema for Evaluating Federated Attributes. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8112.' rlinks: - href: https://doi.org/10.6028/NIST.IR.8112 - uuid: d4296805-2dca-4c63-a95f-eeccaa826aec title: IR 8179 citation: text: 'Paulsen C, Boyens JM, Bartol N, Winkler K (2018) Criticality Analysis Process Model: Prioritizing Systems and Components. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8179.' rlinks: - href: https://doi.org/10.6028/NIST.IR.8179 - uuid: 38ff38f0-1366-4f50-a4c9-26a39aacee16 title: IR 8272 citation: text: Paulsen C, Winkler K, Boyens JM, Ng J, Gimbi J (2020) Impact Analysis Tool for Interdependent Cyber Supply Chain Risks. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8272. rlinks: - href: https://doi.org/10.6028/NIST.IR.8272 - uuid: 6afc1b04-c9d6-4023-adbc-f8fbe33a3c73 title: ISO 15408-1 citation: text: 'International Organization for Standardization/International Electrotechnical Commission 15408-1:2009, *Information technology —Security techniques — Evaluation criteria for IT security — Part 1: Introduction and general model* , April 2017.' rlinks: - href: https://www.commoncriteriaportal.org/files/ccfiles/CCPART1V3.1R5.pdf - uuid: 87087451-2af5-43d4-88c1-d66ad850f614 title: ISO 15408-2 citation: text: 'International Organization for Standardization/International Electrotechnical Commission 15408-2:2008, *Information technology —Security techniques — Evaluation criteria for IT security — Part 2: Security functional requirements* , April 2017.' rlinks: - href: https://www.commoncriteriaportal.org/files/ccfiles/CCPART2V3.1R5.pdf - uuid: 4452efc0-e79e-47b8-aa30-b54f3ef61c2f title: ISO 15408-3 citation: text: 'International Organization for Standardization/International Electrotechnical Commission 15408-3:2008, *Information technology—Security techniques — Evaluation criteria for IT security — Part 3: Security assurance requirements* , April 2017.' rlinks: - href: https://www.commoncriteriaportal.org/files/ccfiles/CCPART3V3.1R5.pdf - uuid: 15a95e24-65b6-4686-bc18-90855a10457d title: ISO 20243 citation: text: 'International Organization for Standardization/International Electrotechnical Commission 20243-1:2018, *Information technology — Open Trusted Technology Provider™ Standard (O-TTPS) — Mitigating maliciously tainted and counterfeit products — Part 1: Requirements and recommendations* , February 2018.' rlinks: - href: https://www.iso.org/standard/74399.html - uuid: 863caf2a-978a-4260-9e8d-4a8929bce40c title: ISO 27036 citation: text: 'International Organization for Standardization/International Electrotechnical Commission 27036-1:2014, *Information technology—Security techniques—Information security for supplier relationships, Part 1: Overview and concepts* , April 2014.' rlinks: - href: https://www.iso.org/standard/59648.html - uuid: 8df72805-2e5c-4731-a73e-81db0f0318d0 title: ISO 29147 citation: text: International Organization for Standardization/International Electrotechnical Commission 29147:2018, *Information technology—Security techniques—Vulnerability disclosure* , October 2018. rlinks: - href: https://www.iso.org/standard/72311.html - uuid: 06ce9216-bd54-4054-a422-94f358b50a5d title: ISO 29148 citation: text: International Organization for Standardization/International Electrotechnical Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) 29148:2018, *Systems and software engineering—Life cycle processes—Requirements engineering* , November 2018. rlinks: - href: https://www.iso.org/standard/72089.html - uuid: c28ae9a8-1121-42a9-a85e-00cfcc9b9a94 title: NARA CUI citation: text: National Archives and Records Administration, Controlled Unclassified Information (CUI) Registry. rlinks: - href: https://www.archives.gov/cui - uuid: d744d9a3-73eb-4085-b9ff-79e82e9e2d6e title: NCPR citation: text: National Institute of Standards and Technology (2020) *National Checklist Program Repository* . Available at rlinks: - href: https://nvd.nist.gov/ncp/repository - uuid: 795aff72-3e6c-4b6b-a80a-b14d84b7f544 title: NIAP CCEVS citation: text: National Information Assurance Partnership, *Common Criteria Evaluation and Validation Scheme*. rlinks: - href: https://www.niap-ccevs.org - uuid: 84dc1b0c-acb7-4269-84c4-00dbabacd78c title: NIST CAVP citation: text: National Institute of Standards and Technology (2020) *Cryptographic Algorithm Validation Program* . Available at rlinks: - href: https://csrc.nist.gov/projects/cryptographic-algorithm-validation-program - uuid: 1acdc775-aafb-4d11-9341-dc6a822e9d38 title: NIST CMVP citation: text: National Institute of Standards and Technology (2020) *Cryptographic Module Validation Program* . Available at rlinks: - href: https://csrc.nist.gov/projects/cryptographic-module-validation-program - uuid: 3d575737-98cb-459d-b41c-d7e82b73ad78 title: NSA CSFC citation: text: National Security Agency, *Commercial Solutions for Classified Program (CSfC)*. rlinks: - href: https://www.nsa.gov/resources/everyone/csfc - uuid: df9f87e9-71e7-4c74-9ac3-3cabd4e92f21 title: NSA MEDIA citation: text: National Security Agency, *Media Destruction Guidance*. rlinks: - href: https://www.nsa.gov/resources/everyone/media-destruction - uuid: 89f2a08d-fc49-46d0-856e-bf974c9b1573 title: ODNI CTF citation: text: Office of the Director of National Intelligence (ODNI) Cyber Threat Framework. rlinks: - href: https://www.dni.gov/index.php/cyber-threat-framework - uuid: 27847491-5ce1-4f6a-a1e4-9e483782f0ef title: OMB A-130 citation: text: Office of Management and Budget Memorandum Circular A-130, *Managing Information as a Strategic Resource* , July 2016. rlinks: - href: https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/circulars/A130/a130revised.pdf - uuid: 5f4705ac-8d17-438c-b23a-ac7f12362ae4 title: OMB M-17-12 citation: text: Office of Management and Budget Memorandum M-17-12, *Preparing for and Responding to a Breach of Personally Identifiable Information* , January 2017. rlinks: - href: https://obamawhitehouse.archives.gov/sites/default/files/omb/memoranda/2017/m-17-12_0.pdf - uuid: c5e11048-1d38-4af3-b00b-0d88dc26860c title: OMB M-19-03 citation: text: Office of Management and Budget Memorandum M-19-03, *Strengthening the Cybersecurity of Federal Agencies by Enhancing the High Value Asset Program* , December 2018. rlinks: - href: https://www.whitehouse.gov/wp-content/uploads/2018/12/M-19-03.pdf - uuid: 18e71fec-c6fd-475a-925a-5d8495cf8455 title: PRIVACT citation: text: Privacy Act (P.L. 93-579), December 1974. rlinks: - href: https://www.govinfo.gov/content/pkg/STATUTE-88/pdf/STATUTE-88-Pg1896.pdf - uuid: 4c0ec2ee-a0d6-428a-9043-4504bc3ade6f title: SP 800-100 citation: text: 'Bowen P, Hash J, Wilson M (2006) Information Security Handbook: A Guide for Managers. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-100, Includes updates as of March 7, 2007.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-100 - uuid: 10cf2fad-a216-41f9-bb1a-531b7e3119e3 title: SP 800-101 citation: text: Ayers RP, Brothers S, Jansen W (2014) Guidelines on Mobile Device Forensics. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-101, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-101r1 - uuid: 22f2d4f0-4365-4e88-a30d-275c1f5473ea title: SP 800-111 citation: text: Scarfone KA, Souppaya MP, Sexton M (2007) Guide to Storage Encryption Technologies for End User Devices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-111. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-111 - uuid: 6bc4d137-aece-42a8-8081-9ecb1ebe9fb4 title: SP 800-113 citation: text: Frankel SE, Hoffman P, Orebaugh AD, Park R (2008) Guide to SSL VPNs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-113. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-113 - uuid: 42e37e51-7cc0-4ffa-81c9-0ac942da7e99 title: SP 800-114 citation: text: Souppaya MP, Scarfone KA (2016) User's Guide to Telework and Bring Your Own Device (BYOD) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-114, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-114r1 - uuid: 122177fa-c4ed-485d-8345-3082c0fb9a06 title: SP 800-115 citation: text: Scarfone KA, Souppaya MP, Cody A, Orebaugh AD (2008) Technical Guide to Information Security Testing and Assessment. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-115. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-115 - uuid: 2100332a-16a5-4598-bacf-7261baea9711 title: SP 800-116 citation: text: Ferraiolo H, Mehta KL, Ghadiali N, Mohler J, Johnson V, Brady S (2018) A Recommendation for the Use of PIV Credentials in Physical Access Control Systems (PACS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-116, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-116r1 - uuid: d17ebd7a-ffab-499d-bfff-e705bbb01fa6 title: SP 800-121 citation: text: Padgette J, Bahr J, Holtmann M, Batra M, Chen L, Smithbey R, Scarfone KA (2017) Guide to Bluetooth Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-121, Rev. 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-121r2 - uuid: 0f66be67-85e7-4ca6-bd19-39453e9f4394 title: SP 800-124 citation: text: Souppaya MP, Scarfone KA (2013) Guidelines for Managing the Security of Mobile Devices in the Enterprise. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-124, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-124r1 - uuid: 88660532-2dcf-442e-845c-03340ce48999 title: SP 800-125B citation: text: Chandramouli R (2016) Secure Virtual Network Configuration for Virtual Machine (VM) Protection. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-125B. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-125B - uuid: 8016d2ed-d30f-4416-9c45-0f42c7aa3232 title: SP 800-126 citation: text: 'Waltermire DA, Quinn SD, Booth H, III, Scarfone KA, Prisaca D (2018) The Technical Specification for the Security Content Automation Protocol (SCAP): SCAP Version 1.3. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-126, Rev. 3.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-126r3 - uuid: 20db4e66-e257-450c-b2e4-2bb9a62a2c88 title: SP 800-128 citation: text: Johnson LA, Dempsey KL, Ross RS, Gupta S, Bailey D (2011) Guide for Security-Focused Configuration Management of Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-128, Includes updates as of October 10, 2019. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-128 - uuid: c7ac44e8-10db-4b64-b2b9-9e32ec1efed0 title: SP 800-12 citation: text: Nieles M, Pillitteri VY, Dempsey KL (2017) An Introduction to Information Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-12, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-12r1 - uuid: 3653e316-8923-430e-8943-b3b2b2562fc6 title: SP 800-130 citation: text: Barker EB, Smid ME, Branstad DK, Chokhani S (2013) A Framework for Designing Cryptographic Key Management Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-130. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-130 - uuid: 62ea77ca-e450-4323-b210-e0d75390e785 title: SP 800-137A citation: text: 'Dempsey KL, Pillitteri VY, Baer C, Niemeyer R, Rudman R, Urban S (2020) Assessing Information Security Continuous Monitoring (ISCM) Programs: Developing an ISCM Program Assessment. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-137A.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-137A - uuid: 067223d8-1ec7-45c5-b21b-c848da6de8fb title: SP 800-137 citation: text: Dempsey KL, Chawla NS, Johnson LA, Johnston R, Jones AC, Orebaugh AD, Scholl MA, Stine KM (2011) Information Security Continuous Monitoring (ISCM) for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-137. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-137 - uuid: e47ee630-9cbc-4133-880e-e013f83ccd51 title: SP 800-147 citation: text: Cooper DA, Polk T, Regenscheid AR, Souppaya MP (2011) BIOS Protection Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-147. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-147 - uuid: 9ef4b43c-42a4-4316-87dc-ffaf528bc05c title: SP 800-150 citation: text: Johnson CS, Waltermire DA, Badger ML, Skorupka C, Snyder J (2016) Guide to Cyber Threat Information Sharing. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-150. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-150 - uuid: 2494df28-9049-4196-b233-540e7440993f title: SP 800-152 citation: text: Barker EB, Branstad DK, Smid ME (2015) A Profile for U.S. Federal Cryptographic Key Management Systems (CKMS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-152. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-152 - uuid: 708b94e1-3d5e-4b22-ab43-1c69f3a97e37 title: SP 800-154 citation: text: Souppaya MP, Scarfone KA (2016) Guide to Data-Centric System Threat Modeling. (National Institute of Standards and Technology, Gaithersburg, MD), Draft NIST Special Publication (SP) 800-154. rlinks: - href: https://csrc.nist.gov/publications/detail/sp/800-154/draft - uuid: d9e036ba-6eec-46a6-9340-b0bf1fea23b4 title: SP 800-156 citation: text: Ferraiolo H, Chandramouli R, Mehta KL, Mohler J, Skordinski S, Brady S (2016) Representation of PIV Chain-of-Trust for Import and Export. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-156. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-156 - uuid: e3cc0520-a366-4fc9-abc2-5272db7e3564 title: SP 800-160-1 citation: text: 'Ross RS, Oren JC, McEvilley M (2016) Systems Security Engineering: Considerations for a Multidisciplinary Approach in the Engineering of Trustworthy Secure Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 1, Includes updates as of March 21, 2018.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-160v1 - uuid: 61ccf0f4-d3e7-42db-9796-ce6cb1c85989 title: SP 800-160-2 citation: text: 'Ross RS, Pillitteri VY, Graubart R, Bodeau D, McQuaid R (2019) Developing Cyber Resilient Systems: A Systems Security Engineering Approach. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 2.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-160v2 - uuid: e8e84963-14fc-4c3a-be05-b412a5d37cd2 title: SP 800-161 citation: text: Boyens JM, Paulsen C, Moorthy R, Bartol N (2015) Supply Chain Risk Management Practices for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-161. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-161 - uuid: 2956e175-f674-43f4-b1b9-e074ad9fc39c title: SP 800-162 citation: text: Hu VC, Ferraiolo DF, Kuhn R, Schnitzer A, Sandlin K, Miller R, Scarfone KA (2014) Guide to Attribute Based Access Control (ABAC) Definition and Considerations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-162, Includes updates as of August 2, 2019. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-162 - uuid: e8552d48-cf41-40aa-8b06-f45f7fb4706c title: SP 800-166 citation: text: Cooper DA, Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Brady S (2016) Derived PIV Application and Data Model Test Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-166. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-166 - uuid: 38f39739-1ebd-43b1-8b8c-00f591d89ebd title: SP 800-167 citation: text: Sedgewick A, Souppaya MP, Scarfone KA (2015) Guide to Application Whitelisting. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-167. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-167 - uuid: 7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849 title: SP 800-171 citation: text: Ross RS, Pillitteri VY, Dempsey KL, Riddle M, Guissanie G (2020) Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-171, Rev. 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-171r2 - uuid: f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e title: SP 800-172 citation: text: 'Ross RS, Pillitteri VY, Graubart RD, Guissanie G, Wagner R, Bodeau D (2020) Enhanced Security Requirements for Protecting Controlled Unclassified Information: A Supplement to NIST Special Publication 800-171 (Final Public Draft). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-172.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-172-draft - uuid: 1c71b420-2bd9-4e52-9fc8-390f58b85b59 title: SP 800-177 citation: text: Rose SW, Nightingale S, Garfinkel SL, Chandramouli R (2019) Trustworthy Email. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-177, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-177r1 - uuid: 388a3aa2-5d85-4bad-b8a3-77db80d63c4f title: SP 800-178 citation: text: 'Ferraiolo DF, Hu VC, Kuhn R, Chandramouli R (2016) A Comparison of Attribute Based Access Control (ABAC) Standards for Data Service Applications: Extensible Access Control Markup Language (XACML) and Next Generation Access Control (NGAC). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-178.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-178 - uuid: 276bd50a-7e58-48e5-a405-8c8cb91d7a5f title: SP 800-181 citation: text: Petersen R, Santos D, Smith MC, Wetzel KA, Witte G (2020) Workforce Framework for Cybersecurity (NICE Framework). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-181, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-181r1 - uuid: 31ae65ab-3f26-46b7-9d64-f25a4dac5778 title: SP 800-184 citation: text: Bartock M, Scarfone KA, Smith MC, Witte GA, Cichonski JA, Souppaya MP (2016) Guide for Cybersecurity Event Recovery. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-184. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-184 - uuid: f5edfe51-d1f2-422e-9b27-5d0e90b49c72 title: SP 800-189 citation: text: 'Sriram K, Montgomery D (2019) Resilient Interdomain Traffic Exchange: BGP Security and DDoS Mitigation. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-189.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-189 - uuid: 30eb758a-2707-4bca-90ad-949a74d4eb16 title: SP 800-18 citation: text: Swanson MA, Hash J, Bowen P (2006) Guide for Developing Security Plans for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-18, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-18r1 - uuid: 53df282b-8b3f-483a-bad1-6a8b8ac00114 title: SP 800-192 citation: text: Yaga DJ, Kuhn R, Hu VC (2017) Verification and Test Methods for Access Control Policies/Models. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-192. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-192 - uuid: f641309f-a3ad-48be-8c67-2b318648b2f5 title: SP 800-28 citation: text: Jansen W, Winograd T, Scarfone KA (2008) Guidelines on Active Content and Mobile Code. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-28, Version 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-28ver2 - uuid: 08b07465-dbdc-48d6-8a0b-37279602ac16 title: SP 800-30 citation: text: Joint Task Force Transformation Initiative (2012) Guide for Conducting Risk Assessments. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-30, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-30r1 - uuid: 8cb338a4-e493-4177-818f-3af18983ddc5 title: SP 800-32 citation: text: Kuhn R, Hu VC, Polk T, Chang S-J (2001) Introduction to Public Key Technology and the Federal PKI Infrastructure. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-32. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-32 - uuid: bc39f179-c735-4da2-b7a7-b2b622119755 title: SP 800-34 citation: text: Swanson MA, Bowen P, Phillips AW, Gallup D, Lynes D (2010) Contingency Planning Guide for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-34, Rev. 1, Includes updates as of November 11, 2010. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-34r1 - uuid: 77faf0bc-c394-44ad-9154-bbac3b79c8ad title: SP 800-35 citation: text: Grance T, Hash J, Stevens M, O'Neal K, Bartol N (2003) Guide to Information Technology Security Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-35. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-35 - uuid: 482e4c99-9dc4-41ad-bba8-0f3f0032c1f8 title: SP 800-37 citation: text: 'Joint Task Force (2018) Risk Management Framework for Information Systems and Organizations: A System Life Cycle Approach for Security and Privacy. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-37, Rev. 2.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-37r2 - uuid: cec037f3-8aba-4c97-84b4-4082f9e515d2 title: SP 800-39 citation: text: 'Joint Task Force Transformation Initiative (2011) Managing Information Security Risk: Organization, Mission, and Information System View. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-39.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-39 - uuid: 155f941a-cba9-4afd-9ca6-5d040d697ba9 title: SP 800-40 citation: text: Souppaya MP, Scarfone KA (2013) Guide to Enterprise Patch Management Technologies. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-40, Rev. 3. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-40r3 - uuid: a7f0e897-29a3-45c4-bd88-40dfef0e034a title: SP 800-41 citation: text: Scarfone KA, Hoffman P (2009) Guidelines on Firewalls and Firewall Policy. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-41, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-41r1 - uuid: 314e33cb-3681-4b50-a2a2-3fae9604accd title: SP 800-45 citation: text: Tracy MC, Jansen W, Scarfone KA, Butterfield J (2007) Guidelines on Electronic Mail Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-45, Version 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-45ver2 - uuid: 83b9d63b-66b1-467c-9f3b-3a0b108771e9 title: SP 800-46 citation: text: Souppaya MP, Scarfone KA (2016) Guide to Enterprise Telework, Remote Access, and Bring Your Own Device (BYOD) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-46, Rev. 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-46r2 - uuid: c3a76872-e160-4267-99e8-6952de967d04 title: SP 800-47 citation: text: Grance T, Hash J, Peck S, Smith J, Korow-Diks K (2002) Security Guide for Interconnecting Information Technology Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-47. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-47 - uuid: 511f6832-23ca-49a3-8c0f-ce493373cab8 title: SP 800-50 citation: text: Wilson M, Hash J (2003) Building an Information Technology Security Awareness and Training Program. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-50. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-50 - uuid: 7537638e-2837-407d-844b-40fb3fafdd99 title: SP 800-52 citation: text: McKay KA, Cooper DA (2019) Guidelines for the Selection, Configuration, and Use of Transport Layer Security (TLS) Implementations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-52, Rev. 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-52r2 - uuid: a21aef46-7330-48a0-b2e1-c5bb8b2dd11d title: SP 800-53A citation: text: 'Joint Task Force Transformation Initiative (2014) Assessing Security and Privacy Controls in Federal Information Systems and Organizations: Building Effective Assessment Plans. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-53A, Rev. 4, Includes updates as of December 18, 2014.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-53Ar4 - uuid: 46d9e201-840e-440e-987c-2c773333c752 title: SP 800-53B citation: text: Joint Task Force (2020) Control Baselines and Tailoring Guidance for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-53B. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-53B - uuid: 20957dbb-6a1e-40a2-b38a-66f67d33ac2e title: SP 800-56A citation: text: Barker EB, Chen L, Roginsky A, Vassilev A, Davis R (2018) Recommendation for Pair-Wise Key-Establishment Schemes Using Discrete Logarithm Cryptography. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56A, Rev. 3. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-56Ar3 - uuid: 0d083d8a-5cc6-46f1-8d79-3081d42bcb75 title: SP 800-56B citation: text: Barker EB, Chen L, Roginsky A, Vassilev A, Davis R, Simon S (2019) Recommendation for Pair-Wise Key-Establishment Using Integer Factorization Cryptography. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56B, Rev. 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-56Br2 - uuid: eef62b16-c796-4554-955c-505824135b8a title: SP 800-56C citation: text: Barker EB, Chen L, Davis R (2020) Recommendation for Key-Derivation Methods in Key-Establishment Schemes. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56C, Rev. 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-56Cr2 - uuid: 110e26af-4765-49e1-8740-6750f83fcda1 title: SP 800-57-1 citation: text: 'Barker EB (2020) Recommendation for Key Management: Part 1 – General. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 1, Rev. 5.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-57pt1r5 - uuid: e7942589-e267-4a5a-a3d9-f39a7aae81f0 title: SP 800-57-2 citation: text: 'Barker EB, Barker WC (2019) Recommendation for Key Management: Part 2 – Best Practices for Key Management Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 2, Rev. 1.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-57pt2r1 - uuid: 8306620b-1920-4d73-8b21-12008528595f title: SP 800-57-3 citation: text: 'Barker EB, Dang QH (2015) Recommendation for Key Management, Part 3: Application-Specific Key Management Guidance. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 3, Rev. 1.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-57pt3r1 - uuid: e72fde0b-6fc2-497e-a9db-d8fce5a11b8a title: SP 800-60-1 citation: text: Stine KM, Kissel RL, Barker WC, Fahlsing J, Gulick J (2008) Guide for Mapping Types of Information and Information Systems to Security Categories. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-60, Vol. 1, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-60v1r1 - uuid: 9be5d661-421f-41ad-854e-86f98b811891 title: SP 800-60-2 citation: text: 'Stine KM, Kissel RL, Barker WC, Lee A, Fahlsing J (2008) Guide for Mapping Types of Information and Information Systems to Security Categories: Appendices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-60, Vol. 2, Rev. 1.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-60v2r1 - uuid: 49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb title: SP 800-61 citation: text: Cichonski PR, Millar T, Grance T, Scarfone KA (2012) Computer Security Incident Handling Guide. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-61, Rev. 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-61r2 - uuid: 737513fa-6758-403f-831d-5ddab5e23cb3 title: SP 800-63-3 citation: text: Grassi PA, Garcia ME, Fenton JL (2017) Digital Identity Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63-3, Includes updates as of March 2, 2020. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-63-3 - uuid: 9099ed2c-922a-493d-bcb4-d896192243ff title: SP 800-63A citation: text: 'Grassi PA, Fenton JL, Lefkovitz NB, Danker JM, Choong Y-Y, Greene KK, Theofanos MF (2017) Digital Identity Guidelines: Enrollment and Identity Proofing. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63A, Includes updates as of March 2, 2020.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-63a - uuid: e59c5a7c-8b1f-49ca-8de0-6ee0882180ce title: SP 800-63B citation: text: 'Grassi PA, Fenton JL, Newton EM, Perlner RA, Regenscheid AR, Burr WE, Richer, JP, Lefkovitz NB, Danker JM, Choong Y-Y, Greene KK, Theofanos MF (2017) Digital Identity Guidelines: Authentication and Lifecycle Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63B, Includes updates as of March 2, 2020.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-63b - uuid: 4895b4cd-34c5-4667-bf8a-27d443c12047 title: SP 800-70 citation: text: 'Quinn SD, Souppaya MP, Cook MR, Scarfone KA (2018) National Checklist Program for IT Products: Guidelines for Checklist Users and Developers. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-70, Rev. 4.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-70r4 - uuid: 858705be-3c1f-48aa-a328-0ce398d95ef0 title: SP 800-73-4 citation: text: Cooper DA, Ferraiolo H, Mehta KL, Francomacaro S, Chandramouli R, Mohler J (2015) Interfaces for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-73-4, Includes updates as of February 8, 2016. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-73-4 - uuid: 7af2e6ec-9f7e-4232-ad3f-09888eb0793a title: SP 800-76-2 citation: text: Grother PJ, Salamon WJ, Chandramouli R (2013) Biometric Specifications for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-76-2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-76-2 - uuid: d4d7c760-2907-403b-8b2a-767ca5370ecd title: SP 800-77 citation: text: Barker EB, Dang QH, Frankel SE, Scarfone KA, Wouters P (2020) Guide to IPsec VPNs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-77, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-77r1 - uuid: 828856bd-d7c4-427b-8b51-815517ec382d title: SP 800-78-4 citation: text: Polk T, Dodson DF, Burr WE, Ferraiolo H, Cooper DA (2015) Cryptographic Algorithms and Key Sizes for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-78-4. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-78-4 - uuid: 10963761-58fc-4b20-b3d6-b44a54daba03 title: SP 800-79-2 citation: text: Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Shorter S (2015) Guidelines for the Authorization of Personal Identity Verification Card Issuers (PCI) and Derived PIV Credential Issuers (DPCI). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-79-2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-79-2 - uuid: fe209006-bfd4-4033-a79a-9fee1adaf372 title: SP 800-81-2 citation: text: Chandramouli R, Rose SW (2013) Secure Domain Name System (DNS) Deployment Guide. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-81-2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-81-2 - uuid: 3dd249b0-f57d-44ba-a03e-c3eab1b835ff title: SP 800-83 citation: text: Souppaya MP, Scarfone KA (2013) Guide to Malware Incident Prevention and Handling for Desktops and Laptops. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-83, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-83r1 - uuid: 53be2fcf-cfd1-4bcb-896b-9a3b65c22098 title: SP 800-84 citation: text: Grance T, Nolan T, Burke K, Dudley R, White G, Good T (2006) Guide to Test, Training, and Exercise Programs for IT Plans and Capabilities. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-84. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-84 - uuid: cfdb1858-c473-46b3-89f9-a700308d0be2 title: SP 800-86 citation: text: Kent K, Chevalier S, Grance T, Dang H (2006) Guide to Integrating Forensic Techniques into Incident Response. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-86. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-86 - uuid: a5b1d18d-e670-4586-9e6d-4a88b7ba3df6 title: SP 800-88 citation: text: Kissel RL, Regenscheid AR, Scholl MA, Stine KM (2014) Guidelines for Media Sanitization. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-88, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-88r1 - uuid: 5eee45d8-3313-4fdc-8d54-1742092bbdd6 title: SP 800-92 citation: text: Kent K, Souppaya MP (2006) Guide to Computer Security Log Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-92. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-92 - uuid: 25e3e57b-dc2f-4934-af9b-050b020c6f0e title: SP 800-94 citation: text: Scarfone KA, Mell PM (2007) Guide to Intrusion Detection and Prevention Systems (IDPS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-94. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-94 - uuid: a6b9907a-2a14-4bb4-a142-d4c73026a8b4 title: SP 800-95 citation: text: Singhal A, Winograd T, Scarfone KA (2007) Guide to Secure Web Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-95. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-95 - uuid: 03fb73bc-1b12-4182-bd96-e5719254ea61 title: SP 800-97 citation: text: 'Frankel SE, Eydt B, Owens L, Scarfone KA (2007) Establishing Wireless Robust Security Networks: A Guide to IEEE 802.11i. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-97.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-97 - uuid: 13f0c39d-eaf7-417a-baef-69a041878bb5 title: USA PATRIOT citation: text: USA Patriot Act (P.L. 107-56), October 2001. rlinks: - href: https://www.congress.gov/107/plaws/publ56/PLAW-107publ56.pdf - uuid: e922fc50-b1f9-469f-92ef-ed7d9803611c title: USC 2901 citation: text: United States Code, 2008 Edition, Title 44 - *Public Printing and Documents* , Chapters 29, 31, and 33, January 2012. rlinks: - href: https://www.govinfo.gov/content/pkg/USCODE-2011-title44/pdf/USCODE-2011-title44-chap29-sec2901.pdf - uuid: 40b78258-c892-480e-9af8-77ac36648301 title: USCERT IR citation: text: Department of Homeland Security, *US-CERT Federal Incident Notification Guidelines* , April 2017. rlinks: - href: https://us-cert.cisa.gov/incident-notification-guidelines - uuid: 98498928-3ca3-44b3-8b1e-f48685373087 title: USGCB citation: text: National Institute of Standards and Technology (2020) *United States Government Configuration Baseline* . Available at rlinks: - href: https://csrc.nist.gov/projects/united-states-government-configuration-baseline - uuid: c3397cc9-83c6-4459-adb2-836739dc1b94 title: 'NIST Special Publication 800-53, Revision 5: *Security and Privacy Controls for Information Systems and Organizations* (PDF)' rlinks: - href: https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-53r5.pdf media-type: application/pdf