catalog: uuid: 3f60942c-b7d0-48d4-9dab-e47f0fd3462c metadata: title: FedRAMP Rev 5 Low Baseline last-modified: '2026-02-10T21:18:34.043723109Z' 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_LOW-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 every 3 years 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: at least annually 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-5 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-4 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-5 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-17 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-2 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-3 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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-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-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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-3 rel: related - href: '#ia-8' rel: related - href: '#ma-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pe-17 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#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 - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-4 rel: related - href: '#ac-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-3 rel: related - href: '#mp-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#mp-4 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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 - 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 every 3 years 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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-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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-11 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-16 rel: related - href: '#sr-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: at least one (1) year or 1 year 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 every 3 years 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-7 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#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-3 rel: related - href: '#ma-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-18 rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-7 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-10 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-6.9), [AC-17(1)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-17.1), [CM-3f](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-3_smt.f), [CM-5(1)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-7 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-5 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-6 rel: related - href: '#ac-7' rel: related - href: '#ac-17' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-18 rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-7 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 - 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 every 3 years 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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-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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-11 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-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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-2.7), [AC-2(12)(a)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-2.12_smt.a), [AC-2(7)(b)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-2.7_smt.b), [AC-2(7)(c)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-2.7_smt.c), [AC-17(1)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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-7.4 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-11 rel: related - href: '#sr-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: Scope can be limited to public facing applications in alignment with M-22-09. 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 - 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 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-4 rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#cm-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 every 3 years 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-3 rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: '#cm-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-10 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-15 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-3 rel: related - href: '#cm-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-5 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-6 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-3 rel: related - href: '#cm-5' rel: related - href: '#cm-7' rel: related - href: '#cm-11' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cp-7 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#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 or Center for Internet Security guidelines to establish configuration settings; - 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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-15 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-2 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-2) , and [SC-3](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: 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 every 3 years 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cp-6 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cp-7 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ir-9 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ma-6 rel: related - href: '#mp-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#mp-4 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cp-8 rel: related - href: '#ir-2' rel: related - href: '#ir-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 - 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 every 3 years 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: classroom exercise/table top written tests 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: classroom exercise/table top written tests 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cp-8 rel: related - href: '#cp-9' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cp-6 rel: related - href: '#cp-10' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#mp-4 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cp-6 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cp-7 rel: related - href: '#cp-9' rel: related - href: '#ir-4' rel: related - href: '#sa-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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 every 3 years 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-5 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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-2.8 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 select: how-many: one-or-more choice: - 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-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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-5 rel: related - href: '#ia-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-12 rel: related - href: '#ma-4' rel: related - href: '#pe-2' rel: related - href: '#pe-3' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 1. 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-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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-11 rel: related - href: '#ia-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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- AAL1 (low\ \ baseline)\n - 30 days of extended session\n - No limit on 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: 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 every 3 years 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ir-3 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#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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ir-9 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#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: 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 every 3 years 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-5 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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 every 3 years 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 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 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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-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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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 every 3 years 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 annually 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pe-4 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 constraints: - description: at least annually 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 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 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 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ia-3 rel: related - href: '#ia-8' rel: related - href: '#ma-5' rel: related - href: '#mp-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#mp-4 rel: related - href: '#pe-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#pe-4 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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' - 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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 - 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 - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-3 rel: related - href: '#cm-8' rel: related - href: '#ma-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ma-3 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: 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 every 3 years 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 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 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#mp-4 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ra-9 rel: related - href: '#sa-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 every 3 years 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ra-9 rel: related - href: '#sa-3' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-17) is primarily directed at the external information technology product and system developers and integrators. [SA-17](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 every 3 years 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 every three years 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 - 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: four (4) hours 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' - 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 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: at a minimum, 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 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 every 3 years 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 every three (3) years and when 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: at least every three (3) years 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cp-6 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-11 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: prior to a new scan - 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-5.11 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: 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 every 3 years 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-11 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-15 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-11 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-15 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-16 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-17 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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-4.10 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-10 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-11 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-15 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-16 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ra-9 rel: related - href: '#sa-3' rel: related - href: '#sa-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-15 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-2 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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 every 3 years 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-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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 - 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 select: how-many: one-or-more choice: - confidentiality - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-10 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 select: how-many: one-or-more choice: - prevent unauthorized disclosure of information - 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-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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-10 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-3 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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 - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#au-10 rel: related - href: '#cm-11' rel: related - href: '#cp-9' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#mp-4 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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-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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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_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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-2 rel: related - href: '#sc-20' rel: related - href: '#sc-21' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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-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 select: how-many: one-or-more choice: - confidentiality - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-4 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-6 rel: related - href: '#ac-19' rel: related - href: '#ca-7' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-3 rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: '#cp-9' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#mp-4 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-7 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-4 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-2 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sc-3 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: 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 every 3 years 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-10 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-11 rel: related - href: '#si-3' rel: related - href: '#si-5' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-7 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-4 rel: related - href: '#ac-19' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-3 rel: related - href: '#cm-8' rel: related - href: '#ir-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-7 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-6 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-7 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-2.7), [AC-2(12)(a)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#ac-2.12_smt.a), [AC-17(1)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-3_smt.f), [CM-6d](#cm-6_smt.d), [MA-3a](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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' - 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' - 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-9 rel: related - href: '#cp-2' rel: related - href: '#ir-8' rel: related - href: '#mp-2' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#mp-3 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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)](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-3), [CM-4](#cm-4), [CM-6](#cm-6), [CM-8](#cm-8), [CM-9](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-9), [CM-12](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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](file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: 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 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 every 3 years 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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-10 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-7 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-6 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-10 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sa-15 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#sr-6 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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-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-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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#si-7 rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#cm-3 rel: related - href: '#ma-2' rel: related - href: '#ma-4' rel: related - href: file:/home/brian/src/fedramp-resources/baselines/rev5/xml/FedRAMP_rev5_catalog_tailoring_profile.xml#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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