catalog: uuid: 9b0c9c43-2722-4bbb-b132-13d34fb94d45 metadata: title: Electronic Version of NIST SP 800-53 Rev 5.1.1 Controls and SP 800-53A Rev 5.1.1 Assessment Procedures last-modified: "2024-02-04T23:16:00.000000-00:00" version: 5.1.1+u4 oscal-version: 1.1.2 revisions: - title: Electronic Version of NIST SP 800-53 Rev 5 Controls and SP 800-53A Rev 5 Assessment Procedures last-modified: "2023-10-12T00:00:00.000000-04:00" version: 5.1.1 oscal-version: 1.1.1 links: - href: '#5a5ffcb9-2272-484e-8d47-4483a0585dec' rel: version-history remarks: 'This OSCAL version of the SP 800-53 Revision 5.1.1 catalog restores the non-padded prop/@name=\"label\" for all controls, for backwards compatibility and adds prop/@name=\"label\" with class=\"zero-padded\" to support and encourage users'' transission to zero-padded control IDs. This SP 800-53 Revision 5.1.1 catalog preserves all content changes of the previous 5.1.1+u3 release: one new control (IA-13), three control enhancements, minor grammatical edits/clarifications that do not impact the implementation or outcome of the controls and introduces “leading 0s” to the control identifiers.' - title: Electronic Version of NIST SP 800-53 Rev 5.1.1 Controls and SP 800-53A Rev 5.1.1 Assessment Procedures last-modified: "2023-11-14T00:00:00.000000-04:00" version: 5.1.1+u1 oscal-version: 1.1.1 links: - href: '#5a5ffcb9-2272-484e-8d47-4483a0585dec' rel: version-history remarks: This revision of the SP 800-53 Revision 5 Catalog is the finalized changes to NIST SP 800-53 Revision 5.1.1 on November, 7, 2023. - title: Electronic Version of NIST SP 800-53 Rev 5.1.1 Controls and SP 800-53A Rev 5.1.1 Assessment Procedures last-modified: "2023-12-04T13:16:10.000000-04:00" version: 5.1.1+u2 oscal-version: 1.1.1 links: - href: '#1f2fcda3-408f-422c-aecd-b1717c3f7843' rel: version-history remarks: This revision of the OSCAL representation of the NIST SP 800-53 Revision 5.1.1 published on November, 7, 2023, provides enhancements to data representation per community's suggestions. - title: Electronic Version of NIST SP 800-53 Rev 5.1.1 Controls and SP 800-53A Rev 5.1.1 Assessment Procedures last-modified: "2023-12-13T20:16:00.000000-00:00" version: 5.1.1+u3 oscal-version: 1.1.1 links: - href: '#9a0dc8cb-d398-4635-a7ec-dcbdef1d2113' rel: version-history remarks: This revision of the OSCAL representation of the NIST SP 800-53 Revision 5.1.1 published on November, 7, 2023, provides enhancements to data representation per community's suggestions. props: - name: keywords value: Assessment, assessment plan, assurance, availability, computer security, confidentiality, control, control assessment, cybersecurity, FISMA, information security, information system, integrity, personally identifiable information, OSCAL, Open Security Controls Assessment Language, Privacy Act, privacy controls, privacy functions, privacy requirements, Risk Management Framework, security controls, security functions, security requirements, system, system security links: - href: '#c3397cc9-83c6-4459-adb2-836739dc1b94' rel: alternate - href: '#f7cf488d-bc64-4a91-a994-810e153ee481' rel: canonical - href: '#d68867c0-2f21-4193-bef8-300f32701016' rel: cprt roles: - id: creator title: Document creator - id: contact title: Contact parties: - uuid: 41a93829-b76b-43ec-b9e7-250553511549 type: organization name: Joint Task Force, Interagency Working Group email-addresses: - sec-cert@nist.gov addresses: - addr-lines: - National Institute of Standards and Technology - 'Attn: Computer Security Division' - Information Technology Laboratory - 100 Bureau Drive (Mail Stop 8930) city: Gaithersburg state: MD postal-code: 20899-8930 responsible-parties: - role-id: creator party-uuids: - 41a93829-b76b-43ec-b9e7-250553511549 - role-id: contact party-uuids: - 41a93829-b76b-43ec-b9e7-250553511549 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 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 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 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: '#pm-9' rel: related - href: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 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 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 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 guidelines: - prose: the frequency of account review is defined; props: - name: label value: AC-02 class: zero-padded - name: label value: AC-2 - name: label value: AC-02 class: sp800-53a - name: sort-id value: ac-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#2956e175-f674-43f4-b1b9-e074ad9fc39c' rel: reference - href: '#388a3aa2-5d85-4bad-b8a3-77db80d63c4f' rel: reference - href: '#53df282b-8b3f-483a-bad1-6a8b8ac00114' rel: reference - href: '#ac-3' rel: related - href: '#ac-5' rel: related - href: '#ac-6' rel: related - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-20' rel: related - href: '#ac-24' rel: related - href: '#au-2' rel: related - href: '#au-12' rel: related - href: '#cm-5' rel: related - href: '#ia-2' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: '#ia-8' rel: related - href: '#ma-3' rel: related - href: '#ma-5' rel: related - href: '#pe-2' rel: related - href: '#pl-4' rel: related - href: '#ps-2' rel: related - href: '#ps-4' rel: related - href: '#ps-5' rel: related - href: '#ps-7' rel: related - href: '#pt-2' rel: related - href: '#pt-3' rel: related - href: '#sc-7' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-37' rel: related parts: - id: ac-2_smt name: statement parts: - id: ac-2_smt.a name: item props: - 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: label value: b. prose: Assign account managers; - id: ac-2_smt.c name: item props: - 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: 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: 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: 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: label value: g. prose: Monitor the use of accounts; - id: ac-2_smt.h name: item props: - 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: label value: AC-02l. class: sp800-53a parts: - id: ac-2_obj.l-1 name: assessment-objective props: - name: label value: AC-02l.[01] class: sp800-53a prose: account management processes are aligned with personnel termination processes; links: - href: '#ac-2_smt.l' rel: assessment-for - id: ac-2_obj.l-2 name: assessment-objective props: - name: label value: AC-02l.[02] class: sp800-53a prose: account management processes are aligned with personnel transfer processes. links: - href: '#ac-2_smt.l' rel: assessment-for links: - href: '#ac-2_smt.l' rel: assessment-for links: - href: '#ac-2_smt' rel: assessment-for - id: ac-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy personnel termination policy and procedure personnel transfer policy and procedure procedures for addressing account management system design documentation system configuration settings and associated documentation list of active system accounts along with the name of the individual associated with each account list of recently disabled system accounts and the name of the individual associated with each account list of conditions for group and role membership notifications of recent transfers, separations, or terminations of employees access authorization records account management compliance reviews system monitoring records system audit records system security plan privacy plan other relevant documents or records - id: ac-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security with information security and privacy responsibilities - id: ac-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for account management on the system mechanisms for implementing account management controls: - id: ac-2.1 class: SP800-53-enhancement title: Automated System Account Management params: - id: ac-02.01_odp props: - name: alt-identifier value: ac-2.1_prm_1 - name: label value: AC-02(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: 'automated mechanisms used to support the management of system accounts are defined; ' props: - name: label value: AC-02(01) class: zero-padded - name: label value: AC-2(1) - name: label value: AC-02(01) class: sp800-53a - name: sort-id value: ac-02.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-2' rel: required parts: - id: ac-2.1_smt name: statement prose: 'Support the management of system accounts using {{ insert: param, ac-02.01_odp }}.' - id: ac-2.1_gdn name: guidance prose: Automated system account management includes using automated mechanisms to create, enable, modify, disable, and remove accounts; notify account managers when an account is created, enabled, modified, disabled, or removed, or when users are terminated or transferred; monitor system account usage; and report atypical system account usage. Automated mechanisms can include internal system functions and email, telephonic, and text messaging notifications. - id: ac-2.1_obj name: assessment-objective props: - name: label value: AC-02(01) class: sp800-53a prose: 'the management of system accounts is supported using {{ insert: param, ac-02.01_odp }}.' links: - href: '#ac-2.1_smt' rel: assessment-for - id: ac-2.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures for addressing account management system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-2.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security with information security responsibilities system developers - id: ac-2.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms for implementing account management functions - id: ac-2.2 class: SP800-53-enhancement title: Automated Temporary and Emergency Account Management params: - id: ac-02.02_odp.01 props: - name: alt-identifier value: ac-2.2_prm_1 - name: label value: AC-02(02)_ODP[01] class: sp800-53a select: choice: - remove - disable - id: ac-02.02_odp.02 props: - name: alt-identifier value: ac-2.2_prm_2 - name: alt-label value: time period for each type of account class: sp800-53 - name: label value: AC-02(02)_ODP[02] class: sp800-53a label: time period guidelines: - prose: the time period after which to automatically remove or disable temporary or emergency accounts is defined; props: - name: label value: AC-02(02) class: zero-padded - name: label value: AC-2(2) - name: label value: AC-02(02) class: sp800-53a - name: sort-id value: ac-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-2' rel: required parts: - id: ac-2.2_smt name: statement prose: 'Automatically {{ insert: param, ac-02.02_odp.01 }} temporary and emergency accounts after {{ insert: param, ac-02.02_odp.02 }}.' - id: ac-2.2_gdn name: guidance prose: Management of temporary and emergency accounts includes the removal or disabling of such accounts automatically after a predefined time period rather than at the convenience of the system administrator. Automatic removal or disabling of accounts provides a more consistent implementation. - id: ac-2.2_obj name: assessment-objective props: - name: label value: AC-02(02) class: sp800-53a prose: 'temporary and emergency accounts are automatically {{ insert: param, ac-02.02_odp.01 }} after {{ insert: param, ac-02.02_odp.02 }}.' links: - href: '#ac-2.2_smt' rel: assessment-for - id: ac-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures for addressing account management system design documentation system configuration settings and associated documentation system-generated list of temporary accounts removed and/or disabled system-generated list of emergency accounts removed and/or disabled system audit records system security plan other relevant documents or records - id: ac-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security with information security responsibilities system developers - id: ac-2.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms for implementing account management functions - id: ac-2.3 class: SP800-53-enhancement title: Disable Accounts params: - id: ac-02.03_odp.01 props: - name: alt-identifier value: ac-2.3_prm_1 - name: label value: AC-02(03)_ODP[01] class: sp800-53a label: time period guidelines: - prose: time period within which to disable accounts is defined; - id: ac-02.03_odp.02 props: - name: alt-identifier value: ac-2.3_prm_2 - name: label value: AC-02(03)_ODP[02] class: sp800-53a label: time period guidelines: - prose: time period for account inactivity before disabling is defined; props: - name: label value: AC-02(03) class: zero-padded - name: label value: AC-2(3) - name: label value: AC-02(03) class: sp800-53a - name: sort-id value: ac-02.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-2' rel: required parts: - id: ac-2.3_smt name: statement prose: 'Disable accounts within {{ insert: param, ac-02.03_odp.01 }} when the accounts:' parts: - id: ac-2.3_smt.a name: item props: - name: label value: (a) prose: Have expired; - id: ac-2.3_smt.b name: item props: - name: label value: (b) prose: Are no longer associated with a user or individual; - id: ac-2.3_smt.c name: item props: - name: label value: (c) prose: Are in violation of organizational policy; or - id: ac-2.3_smt.d name: item props: - name: label value: (d) prose: 'Have been inactive for {{ insert: param, ac-02.03_odp.02 }}.' - id: ac-2.3_gdn name: guidance prose: Disabling expired, inactive, or otherwise anomalous accounts supports the concepts of least privilege and least functionality which reduce the attack surface of the system. - id: ac-2.3_obj name: assessment-objective props: - name: label value: AC-02(03) class: sp800-53a parts: - id: ac-2.3_obj.a name: assessment-objective props: - name: label value: AC-02(03)(a) class: sp800-53a prose: 'accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts have expired;' links: - href: '#ac-2.3_smt.a' rel: assessment-for - id: ac-2.3_obj.b name: assessment-objective props: - name: label value: AC-02(03)(b) class: sp800-53a prose: 'accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts are no longer associated with a user or individual;' links: - href: '#ac-2.3_smt.b' rel: assessment-for - id: ac-2.3_obj.c name: assessment-objective props: - name: label value: AC-02(03)(c) class: sp800-53a prose: 'accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts are in violation of organizational policy;' links: - href: '#ac-2.3_smt.c' rel: assessment-for - id: ac-2.3_obj.d name: assessment-objective props: - name: label value: AC-02(03)(d) class: sp800-53a prose: 'accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts have been inactive for {{ insert: param, ac-02.03_odp.02 }}.' links: - href: '#ac-2.3_smt.d' rel: assessment-for links: - href: '#ac-2.3_smt' rel: assessment-for - id: ac-2.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures for addressing account management system security plan system design documentation system configuration settings and associated documentation system-generated list of accounts removed system-generated list of emergency accounts disabled system audit records system security plan other relevant documents or records - id: ac-2.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities system developers - id: ac-2.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms for implementing account management functions - id: ac-2.4 class: SP800-53-enhancement title: Automated Audit Actions props: - name: label value: AC-02(04) class: zero-padded - name: label value: AC-2(4) - name: label value: AC-02(04) class: sp800-53a - name: sort-id value: ac-02.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-2' rel: required - href: '#au-2' rel: related - href: '#au-6' rel: related parts: - id: ac-2.4_smt name: statement prose: Automatically audit account creation, modification, enabling, disabling, and removal actions. - id: ac-2.4_gdn name: guidance prose: Account management audit records are defined in accordance with [AU-02](#au-2) and reviewed, analyzed, and reported in accordance with [AU-06](#au-6). - id: ac-2.4_obj name: assessment-objective props: - name: label value: AC-02(04) class: sp800-53a parts: - id: ac-2.4_obj-1 name: assessment-objective props: - name: label value: AC-02(04)[01] class: sp800-53a prose: account creation is automatically audited; links: - href: '#ac-2.4_smt' rel: assessment-for - id: ac-2.4_obj-2 name: assessment-objective props: - name: label value: AC-02(04)[02] class: sp800-53a prose: account modification is automatically audited; links: - href: '#ac-2.4_smt' rel: assessment-for - id: ac-2.4_obj-3 name: assessment-objective props: - name: label value: AC-02(04)[03] class: sp800-53a prose: account enabling is automatically audited; links: - href: '#ac-2.4_smt' rel: assessment-for - id: ac-2.4_obj-4 name: assessment-objective props: - name: label value: AC-02(04)[04] class: sp800-53a prose: account disabling is automatically audited; links: - href: '#ac-2.4_smt' rel: assessment-for - id: ac-2.4_obj-5 name: assessment-objective props: - name: label value: AC-02(04)[05] class: sp800-53a prose: account removal actions are automatically audited. links: - href: '#ac-2.4_smt' rel: assessment-for links: - href: '#ac-2.4_smt' rel: assessment-for - id: ac-2.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing account management system design documentation system configuration settings and associated documentation notifications/alerts of account creation, modification, enabling, disabling, and removal actions system audit records system security plan other relevant documents or records - id: ac-2.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-2.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms implementing account management functions - id: ac-2.5 class: SP800-53-enhancement title: Inactivity Logout params: - id: ac-02.05_odp props: - name: alt-identifier value: ac-2.5_prm_1 - name: label value: AC-02(05)_ODP class: sp800-53a label: time period of expected inactivity or description of when to log out guidelines: - prose: the time period of expected inactivity or description of when to log out is defined; props: - name: label value: AC-02(05) class: zero-padded - name: label value: AC-2(5) - name: label value: AC-02(05) class: sp800-53a - name: sort-id value: ac-02.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-2' rel: required - href: '#ac-11' rel: related parts: - id: ac-2.5_smt name: statement prose: 'Require that users log out when {{ insert: param, ac-02.05_odp }}.' - id: ac-2.5_gdn name: guidance prose: Inactivity logout is behavior- or policy-based and requires users to take physical action to log out when they are expecting inactivity longer than the defined period. Automatic enforcement of inactivity logout is addressed by [AC-11](#ac-11). - id: ac-2.5_obj name: assessment-objective props: - name: label value: AC-02(05) class: sp800-53a prose: 'users are required to log out when {{ insert: param, ac-02.05_odp }}.' links: - href: '#ac-2.5_smt' rel: assessment-for - id: ac-2.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing account management system design documentation system configuration settings and associated documentation security violation reports system audit records system security plan other relevant documents or records - id: ac-2.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities users that must comply with inactivity logout policy - id: ac-2.6 class: SP800-53-enhancement title: Dynamic Privilege Management params: - id: ac-02.06_odp props: - name: alt-identifier value: ac-2.6_prm_1 - name: label value: AC-02(06)_ODP class: sp800-53a label: dynamic privilege management capabilities guidelines: - prose: dynamic privilege management capabilities are defined; props: - name: label value: AC-02(06) class: zero-padded - name: label value: AC-2(6) - name: label value: AC-02(06) class: sp800-53a - name: sort-id value: ac-02.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-2' rel: required - href: '#ac-16' rel: related parts: - id: ac-2.6_smt name: statement prose: 'Implement {{ insert: param, ac-02.06_odp }}.' - id: ac-2.6_gdn name: guidance prose: In contrast to access control approaches that employ static accounts and predefined user privileges, dynamic access control approaches rely on runtime access control decisions facilitated by dynamic privilege management, such as attribute-based access control. While user identities remain relatively constant over time, user privileges typically change more frequently based on ongoing mission or business requirements and the operational needs of organizations. An example of dynamic privilege management is the immediate revocation of privileges from users as opposed to requiring that users terminate and restart their sessions to reflect changes in privileges. Dynamic privilege management can also include mechanisms that change user privileges based on dynamic rules as opposed to editing specific user profiles. Examples include automatic adjustments of user privileges if they are operating out of their normal work times, if their job function or assignment changes, or if systems are under duress or in emergency situations. Dynamic privilege management includes the effects of privilege changes, for example, when there are changes to encryption keys used for communications. - id: ac-2.6_obj name: assessment-objective props: - name: label value: AC-02(06) class: sp800-53a prose: '{{ insert: param, ac-02.06_odp }} are implemented.' links: - href: '#ac-2.6_smt' rel: assessment-for - id: ac-2.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing account management system design documentation system configuration settings and associated documentation system-generated list of dynamic privilege management capabilities system audit records system security plan other relevant documents or records - id: ac-2.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities system developers - id: ac-2.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(06)-Test class: sp800-53a parts: - name: assessment-objects prose: system or mechanisms implementing dynamic privilege management capabilities - id: ac-2.7 class: SP800-53-enhancement title: Privileged User Accounts params: - id: ac-02.07_odp props: - name: alt-identifier value: ac-2.7_prm_1 - name: label value: AC-02(07)_ODP class: sp800-53a select: choice: - a role-based access scheme - an attribute-based access scheme props: - name: label value: AC-02(07) class: zero-padded - name: label value: AC-2(7) - name: label value: AC-02(07) class: sp800-53a - name: sort-id value: ac-02.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-2' rel: required parts: - id: ac-2.7_smt name: statement parts: - id: ac-2.7_smt.a name: item props: - name: label value: (a) prose: 'Establish and administer privileged user accounts in accordance with {{ insert: param, ac-02.07_odp }};' - id: ac-2.7_smt.b name: item props: - name: label value: (b) prose: Monitor privileged role or attribute assignments; - id: ac-2.7_smt.c name: item props: - name: label value: (c) prose: Monitor changes to roles or attributes; and - id: ac-2.7_smt.d name: item props: - name: label value: (d) prose: Revoke access when privileged role or attribute assignments are no longer appropriate. - id: ac-2.7_gdn name: guidance prose: Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. Privileged roles include key management, account management, database administration, system and network administration, and web administration. A role-based access scheme organizes permitted system access and privileges into roles. In contrast, an attribute-based access scheme specifies allowed system access and privileges based on attributes. - id: ac-2.7_obj name: assessment-objective props: - name: label value: AC-02(07) class: sp800-53a parts: - id: ac-2.7_obj.a name: assessment-objective props: - name: label value: AC-02(07)(a) class: sp800-53a prose: 'privileged user accounts are established and administered in accordance with {{ insert: param, ac-02.07_odp }};' links: - href: '#ac-2.7_smt.a' rel: assessment-for - id: ac-2.7_obj.b name: assessment-objective props: - name: label value: AC-02(07)(b) class: sp800-53a prose: privileged role or attribute assignments are monitored; links: - href: '#ac-2.7_smt.b' rel: assessment-for - id: ac-2.7_obj.c name: assessment-objective props: - name: label value: AC-02(07)(c) class: sp800-53a prose: changes to roles or attributes are monitored; links: - href: '#ac-2.7_smt.c' rel: assessment-for - id: ac-2.7_obj.d name: assessment-objective props: - name: label value: AC-02(07)(d) class: sp800-53a prose: access is revoked when privileged role or attribute assignments are no longer appropriate. links: - href: '#ac-2.7_smt.d' rel: assessment-for links: - href: '#ac-2.7_smt' rel: assessment-for - id: ac-2.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing account management system design documentation system configuration settings and associated documentation system-generated list of privileged user accounts and associated roles records of actions taken when privileged role assignments are no longer appropriate system audit records audit tracking and monitoring reports system monitoring records system security plan other relevant documents or records - id: ac-2.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-2.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(07)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing account management functions mechanisms monitoring privileged role assignments - id: ac-2.8 class: SP800-53-enhancement title: Dynamic Account Management params: - id: ac-02.08_odp props: - name: alt-identifier value: ac-2.8_prm_1 - name: label value: AC-02(08)_ODP class: sp800-53a label: system accounts guidelines: - prose: system accounts that are dynamically created, activated, managed, and deactivated are defined; props: - name: label value: AC-02(08) class: zero-padded - name: label value: AC-2(8) - name: label value: AC-02(08) class: sp800-53a - name: sort-id value: ac-02.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-2' rel: required - href: '#ac-16' rel: related parts: - id: ac-2.8_smt name: statement prose: 'Create, activate, manage, and deactivate {{ insert: param, ac-02.08_odp }} dynamically.' - id: ac-2.8_gdn name: guidance prose: Approaches for dynamically creating, activating, managing, and deactivating system accounts rely on automatically provisioning the accounts at runtime for entities that were previously unknown. Organizations plan for the dynamic management, creation, activation, and deactivation of system accounts by establishing trust relationships, business rules, and mechanisms with appropriate authorities to validate related authorizations and privileges. - id: ac-2.8_obj name: assessment-objective props: - name: label value: AC-02(08) class: sp800-53a parts: - id: ac-2.8_obj-1 name: assessment-objective props: - name: label value: AC-02(08)[01] class: sp800-53a prose: '{{ insert: param, ac-02.08_odp }} are created dynamically;' links: - href: '#ac-2.8_smt' rel: assessment-for - id: ac-2.8_obj-2 name: assessment-objective props: - name: label value: AC-02(08)[02] class: sp800-53a prose: '{{ insert: param, ac-02.08_odp }} are activated dynamically;' links: - href: '#ac-2.8_smt' rel: assessment-for - id: ac-2.8_obj-3 name: assessment-objective props: - name: label value: AC-02(08)[03] class: sp800-53a prose: '{{ insert: param, ac-02.08_odp }} are managed dynamically;' links: - href: '#ac-2.8_smt' rel: assessment-for - id: ac-2.8_obj-4 name: assessment-objective props: - name: label value: AC-02(08)[04] class: sp800-53a prose: '{{ insert: param, ac-02.08_odp }} are deactivated dynamically.' links: - href: '#ac-2.8_smt' rel: assessment-for links: - href: '#ac-2.8_smt' rel: assessment-for - id: ac-2.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing account management system design documentation system configuration settings and associated documentation system-generated list of system accounts system audit records system security plan other relevant documents or records - id: ac-2.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities system developers - id: ac-2.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(08)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms implementing account management functions - id: ac-2.9 class: SP800-53-enhancement title: Restrictions on Use of Shared and Group Accounts params: - id: ac-02.09_odp props: - name: alt-identifier value: ac-2.9_prm_1 - name: alt-label value: conditions for establishing shared and group accounts class: sp800-53 - name: label value: AC-02(09)_ODP class: sp800-53a label: conditions guidelines: - prose: conditions for establishing shared and group accounts are defined; props: - name: label value: AC-02(09) class: zero-padded - name: label value: AC-2(9) - name: label value: AC-02(09) class: sp800-53a - name: sort-id value: ac-02.09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-2' rel: required parts: - id: ac-2.9_smt name: statement prose: 'Only permit the use of shared and group accounts that meet {{ insert: param, ac-02.09_odp }}.' - id: ac-2.9_gdn name: guidance prose: Before permitting the use of shared or group accounts, organizations consider the increased risk due to the lack of accountability with such accounts. - id: ac-2.9_obj name: assessment-objective props: - name: label value: AC-02(09) class: sp800-53a prose: 'the use of shared and group accounts is only permitted if {{ insert: param, ac-02.09_odp }} are met.' links: - href: '#ac-2.9_smt' rel: assessment-for - id: ac-2.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing account management system design documentation system configuration settings and associated documentation system-generated list of shared/group accounts and associated roles system audit records system security plan other relevant documents or records - id: ac-2.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-2.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(09)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing management of shared/group accounts - id: ac-2.10 class: SP800-53-enhancement title: Shared and Group Account Credential Change props: - name: label value: AC-02(10) class: zero-padded - name: label value: AC-2(10) - name: label value: AC-02(10) class: sp800-53a - name: sort-id value: ac-02.10 - name: status value: withdrawn links: - href: '#ac-2_smt.k' rel: incorporated-into - id: ac-2.11 class: SP800-53-enhancement title: Usage Conditions params: - id: ac-02.11_odp.01 props: - name: alt-identifier value: ac-2.11_prm_1 - name: label value: AC-02(11)_ODP[01] class: sp800-53a label: circumstances and/or usage conditions guidelines: - prose: circumstances and/or usage conditions to be enforced for system accounts are defined; - id: ac-02.11_odp.02 props: - name: alt-identifier value: ac-2.11_prm_2 - name: label value: AC-02(11)_ODP[02] class: sp800-53a label: system accounts guidelines: - prose: system accounts subject to enforcement of circumstances and/or usage conditions are defined; props: - name: label value: AC-02(11) class: zero-padded - name: label value: AC-2(11) - name: label value: AC-02(11) class: sp800-53a - name: sort-id value: ac-02.11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-2' rel: required parts: - id: ac-2.11_smt name: statement prose: 'Enforce {{ insert: param, ac-02.11_odp.01 }} for {{ insert: param, ac-02.11_odp.02 }}.' - id: ac-2.11_gdn name: guidance prose: Specifying and enforcing usage conditions helps to enforce the principle of least privilege, increase user accountability, and enable effective account monitoring. Account monitoring includes alerts generated if the account is used in violation of organizational parameters. Organizations can describe specific conditions or circumstances under which system accounts can be used, such as by restricting usage to certain days of the week, time of day, or specific durations of time. - id: ac-2.11_obj name: assessment-objective props: - name: label value: AC-02(11) class: sp800-53a prose: '{{ insert: param, ac-02.11_odp.01 }} for {{ insert: param, ac-02.11_odp.02 }} are enforced.' links: - href: '#ac-2.11_smt' rel: assessment-for - id: ac-2.11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(11)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing account management system design documentation system configuration settings and associated documentation system-generated list of system accounts and associated assignments of usage circumstances and/or usage conditions system audit records system security plan other relevant documents or records - id: ac-2.11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(11)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities system developers - id: ac-2.11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(11)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing account management functions - id: ac-2.12 class: SP800-53-enhancement title: Account Monitoring for Atypical Usage params: - id: ac-02.12_odp.01 props: - name: alt-identifier value: ac-2.12_prm_1 - name: label value: AC-02(12)_ODP[01] class: sp800-53a label: atypical usage guidelines: - prose: atypical usage for which to monitor system accounts is defined; - id: ac-02.12_odp.02 props: - name: alt-identifier value: ac-2.12_prm_2 - name: label value: AC-02(12)_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to report atypical usage is/are defined; props: - name: label value: AC-02(12) class: zero-padded - name: label value: AC-2(12) - name: label value: AC-02(12) class: sp800-53a - name: sort-id value: ac-02.12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-2' rel: required - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#ca-7' rel: related - href: '#ir-8' rel: related - href: '#si-4' rel: related parts: - id: ac-2.12_smt name: statement parts: - id: ac-2.12_smt.a name: item props: - name: label value: (a) prose: 'Monitor system accounts for {{ insert: param, ac-02.12_odp.01 }} ; and' - id: ac-2.12_smt.b name: item props: - name: label value: (b) prose: 'Report atypical usage of system accounts to {{ insert: param, ac-02.12_odp.02 }}.' - id: ac-2.12_gdn name: guidance prose: Atypical usage includes accessing systems at certain times of the day or from locations that are not consistent with the normal usage patterns of individuals. Monitoring for atypical usage may reveal rogue behavior by individuals or an attack in progress. Account monitoring may inadvertently create privacy risks since data collected to identify atypical usage may reveal previously unknown information about the behavior of individuals. Organizations assess and document privacy risks from monitoring accounts for atypical usage in their privacy impact assessment and make determinations that are in alignment with their privacy program plan. - id: ac-2.12_obj name: assessment-objective props: - name: label value: AC-02(12) class: sp800-53a parts: - id: ac-2.12_obj.a name: assessment-objective props: - name: label value: AC-02(12)(a) class: sp800-53a prose: 'system accounts are monitored for {{ insert: param, ac-02.12_odp.01 }}; ' links: - href: '#ac-2.12_smt.a' rel: assessment-for - id: ac-2.12_obj.b name: assessment-objective props: - name: label value: AC-02(12)(b) class: sp800-53a prose: 'atypical usage of system accounts is reported to {{ insert: param, ac-02.12_odp.02 }}.' links: - href: '#ac-2.12_smt.b' rel: assessment-for links: - href: '#ac-2.12_smt' rel: assessment-for - id: ac-2.12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(12)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing account management system design documentation system configuration settings and associated documentation system monitoring records system audit records audit tracking and monitoring reports privacy impact assessment system security plan privacy plan other relevant documents or records - id: ac-2.12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(12)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-2.12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(12)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing account management functions - id: ac-2.13 class: SP800-53-enhancement title: Disable Accounts for High-risk Individuals params: - id: ac-02.13_odp.01 props: - name: alt-identifier value: ac-2.13_prm_1 - name: label value: AC-02(13)_ODP[01] class: sp800-53a label: time period guidelines: - prose: time period within which to disable accounts of individuals who are discovered to pose significant risk is defined; - id: ac-02.13_odp.02 props: - name: alt-identifier value: ac-2.13_prm_2 - name: label value: AC-02(13)_ODP[02] class: sp800-53a label: significant risks guidelines: - prose: significant risks leading to disabling accounts are defined; props: - name: label value: AC-02(13) class: zero-padded - name: label value: AC-2(13) - name: label value: AC-02(13) class: sp800-53a - name: sort-id value: ac-02.13 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-2' rel: required - href: '#au-6' rel: related - href: '#si-4' rel: related parts: - id: ac-2.13_smt name: statement prose: 'Disable accounts of individuals within {{ insert: param, ac-02.13_odp.01 }} of discovery of {{ insert: param, ac-02.13_odp.02 }}.' - id: ac-2.13_gdn name: guidance prose: Users who pose a significant security and/or privacy risk include individuals for whom reliable evidence indicates either the intention to use authorized access to systems to cause harm or through whom adversaries will cause harm. Such harm includes adverse impacts to organizational operations, organizational assets, individuals, other organizations, or the Nation. Close coordination among system administrators, legal staff, human resource managers, and authorizing officials is essential when disabling system accounts for high-risk individuals. - id: ac-2.13_obj name: assessment-objective props: - name: label value: AC-02(13) class: sp800-53a prose: 'accounts of individuals are disabled within {{ insert: param, ac-02.13_odp.01 }} of discovery of {{ insert: param, ac-02.13_odp.02 }}.' links: - href: '#ac-2.13_smt' rel: assessment-for - id: ac-2.13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-02(13)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing account management system design documentation system configuration settings and associated documentation system-generated list of disabled accounts list of user activities posing significant organizational risk system audit records system security plan other relevant documents or records - id: ac-2.13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-02(13)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-2.13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-02(13)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing account management functions - id: ac-3 class: SP800-53 title: Access Enforcement props: - name: label value: AC-03 class: zero-padded - name: label value: AC-3 - name: label value: AC-03 class: sp800-53a - name: sort-id value: ac-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#18e71fec-c6fd-475a-925a-5d8495cf8455' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#110e26af-4765-49e1-8740-6750f83fcda1' rel: reference - href: '#e7942589-e267-4a5a-a3d9-f39a7aae81f0' rel: reference - href: '#8306620b-1920-4d73-8b21-12008528595f' rel: reference - href: '#2956e175-f674-43f4-b1b9-e074ad9fc39c' rel: reference - href: '#388a3aa2-5d85-4bad-b8a3-77db80d63c4f' rel: reference - href: '#7f473f21-fdbf-4a6c-81a1-0ab95919609d' rel: reference - href: '#ac-2' rel: related - href: '#ac-4' rel: related - href: '#ac-5' rel: related - href: '#ac-6' rel: related - href: '#ac-16' rel: related - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#ac-20' rel: related - href: '#ac-21' rel: related - href: '#ac-22' rel: related - href: '#ac-24' rel: related - href: '#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: '#ia-13' rel: related - href: '#ma-3' rel: related - href: '#ma-4' rel: related - href: '#ma-5' rel: related - href: '#mp-4' rel: related - href: '#pm-2' rel: related - href: '#ps-3' rel: related - href: '#pt-2' rel: related - href: '#pt-3' rel: related - href: '#sa-17' rel: related - href: '#sc-2' rel: related - href: '#sc-3' rel: related - href: '#sc-4' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-28' rel: related - href: '#sc-31' rel: related - href: '#sc-34' rel: related - href: '#si-4' rel: related - href: '#si-8' rel: related parts: - id: ac-3_smt name: statement 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: 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 controls: - id: ac-3.1 class: SP800-53-enhancement title: Restricted Access to Privileged Functions props: - name: label value: AC-03(01) class: zero-padded - name: label value: AC-3(1) - name: label value: AC-03(01) class: sp800-53a - name: sort-id value: ac-03.01 - name: status value: withdrawn links: - href: '#ac-6' rel: incorporated-into - id: ac-3.2 class: SP800-53-enhancement title: Dual Authorization params: - id: ac-03.02_odp props: - name: alt-identifier value: ac-3.2_prm_1 - name: alt-label value: privileged commands and/or other organization-defined actions class: sp800-53 - name: label value: AC-03(02)_ODP class: sp800-53a label: privileged commands and/or other actions guidelines: - prose: privileged commands and/or other actions requiring dual authorization are defined; props: - name: label value: AC-03(02) class: zero-padded - name: label value: AC-3(2) - name: label value: AC-03(02) class: sp800-53a - name: sort-id value: ac-03.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-3' rel: required - href: '#cp-9' rel: related - href: '#mp-6' rel: related parts: - id: ac-3.2_smt name: statement prose: 'Enforce dual authorization for {{ insert: param, ac-03.02_odp }}.' - id: ac-3.2_gdn name: guidance prose: Dual authorization, also known as two-person control, reduces risk related to insider threats. Dual authorization mechanisms require the approval of two authorized individuals to execute. To reduce the risk of collusion, organizations consider rotating dual authorization duties. Organizations consider the risk associated with implementing dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety. - id: ac-3.2_obj name: assessment-objective props: - name: label value: AC-03(02) class: sp800-53a prose: 'dual authorization is enforced for {{ insert: param, ac-03.02_odp }}.' links: - href: '#ac-3.2_smt' rel: assessment-for - id: ac-3.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-03(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing access enforcement and dual authorization system design documentation system configuration settings and associated documentation list of privileged commands requiring dual authorization list of actions requiring dual authorization list of approved authorizations (user privileges) system security plan other relevant documents or records - id: ac-3.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-03(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with access enforcement responsibilities system/network administrators organizational personnel with information security responsibilities system developers - id: ac-3.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-03(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Dual authorization mechanisms implementing access control policy - id: ac-3.3 class: SP800-53-enhancement title: Mandatory Access Control params: - id: ac-3.3_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-03.03_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-03.03_odp.02 label: organization-defined mandatory access control policy - id: ac-03.03_odp.01 props: - name: label value: AC-03(03)_ODP[01] class: sp800-53a label: mandatory access control policy guidelines: - prose: mandatory access control policy enforced over the set of covered subjects is defined; - id: ac-03.03_odp.02 props: - name: label value: AC-03(03)_ODP[02] class: sp800-53a label: mandatory access control policy guidelines: - prose: mandatory access control policy enforced over the set of covered objects is defined; - id: ac-03.03_odp.03 props: - name: alt-identifier value: ac-3.3_prm_2 - name: label value: AC-03(03)_ODP[03] class: sp800-53a label: subjects guidelines: - prose: subjects to be explicitly granted privileges are defined; - id: ac-03.03_odp.04 props: - name: alt-identifier value: ac-3.3_prm_3 - name: label value: AC-03(03)_ODP[04] class: sp800-53a label: privileges guidelines: - prose: privileges to be explicitly granted to subjects are defined; props: - name: label value: AC-03(03) class: zero-padded - name: label value: AC-3(3) - name: label value: AC-03(03) class: sp800-53a - name: sort-id value: ac-03.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-3' rel: required - href: '#sc-7' rel: related parts: - id: ac-3.3_smt name: statement prose: 'Enforce {{ insert: param, ac-3.3_prm_1 }} over the set of covered subjects and objects specified in the policy, and where the policy:' parts: - id: ac-3.3_smt.a name: item props: - name: label value: (a) prose: Is uniformly enforced across the covered subjects and objects within the system; - id: ac-3.3_smt.b name: item props: - name: label value: (b) prose: Specifies that a subject that has been granted access to information is constrained from doing any of the following; parts: - id: ac-3.3_smt.b.1 name: item props: - name: label value: (1) prose: Passing the information to unauthorized subjects or objects; - id: ac-3.3_smt.b.2 name: item props: - name: label value: (2) prose: Granting its privileges to other subjects; - id: ac-3.3_smt.b.3 name: item props: - name: label value: (3) prose: Changing one or more security attributes (specified by the policy) on subjects, objects, the system, or system components; - id: ac-3.3_smt.b.4 name: item props: - name: label value: (4) prose: Choosing the security attributes and attribute values (specified by the policy) to be associated with newly created or modified objects; and - id: ac-3.3_smt.b.5 name: item props: - name: label value: (5) prose: Changing the rules governing access control; and - id: ac-3.3_smt.c name: item props: - name: label value: (c) prose: 'Specifies that {{ insert: param, ac-03.03_odp.03 }} may explicitly be granted {{ insert: param, ac-03.03_odp.04 }} such that they are not limited by any defined subset (or all) of the above constraints.' - id: ac-3.3_gdn name: guidance prose: |- Mandatory access control is a type of nondiscretionary access control. Mandatory access control policies constrain what actions subjects can take with information obtained from objects for which they have already been granted access. This prevents the subjects from passing the information to unauthorized subjects and objects. Mandatory access control policies constrain actions that subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the system has control. Otherwise, the access control policy can be circumvented. This enforcement is provided by an implementation that meets the reference monitor concept as described in [AC-25](#ac-25) . The policy is bounded by the system (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). The trusted subjects described above are granted privileges consistent with the concept of least privilege (see [AC-6](#ac-6) ). Trusted subjects are only given the minimum privileges necessary for satisfying organizational mission/business needs relative to the above policy. The control is most applicable when there is a mandate that establishes a policy regarding access to controlled unclassified information or classified information and some users of the system are not authorized access to all such information resident in the system. Mandatory access control can operate in conjunction with discretionary access control as described in [AC-3(4)](#ac-3.4) . A subject constrained in its operation by mandatory access control policies can still operate under the less rigorous constraints of AC-3(4), but mandatory access control policies take precedence over the less rigorous constraints of AC-3(4). For example, while a mandatory access control policy imposes a constraint that prevents a subject from passing information to another subject operating at a different impact or classification level, AC-3(4) permits the subject to pass the information to any other subject with the same impact or classification level as the subject. Examples of mandatory access control policies include the Bell-LaPadula policy to protect confidentiality of information and the Biba policy to protect the integrity of information. - id: ac-3.3_obj name: assessment-objective props: - name: label value: AC-03(03) class: sp800-53a parts: - id: ac-3.3_obj-1 name: assessment-objective props: - name: label value: AC-03(03)[01] class: sp800-53a prose: '{{ insert: param, ac-03.03_odp.01 }} is enforced over the set of covered subjects specified in the policy;' links: - href: '#ac-3.3_smt' rel: assessment-for - id: ac-3.3_obj-2 name: assessment-objective props: - name: label value: AC-03(03)[02] class: sp800-53a prose: '{{ insert: param, ac-03.03_odp.02 }} is enforced over the set of covered objects specified in the policy;' links: - href: '#ac-3.3_smt' rel: assessment-for - id: ac-3.3_obj.a name: assessment-objective props: - name: label value: AC-03(03)(a) class: sp800-53a parts: - id: ac-3.3_obj.a-1 name: assessment-objective props: - name: label value: AC-03(03)(a)[01] class: sp800-53a prose: '{{ insert: param, ac-03.03_odp.01 }} is uniformly enforced across the covered subjects within the system;' links: - href: '#ac-3.3_smt.a' rel: assessment-for - id: ac-3.3_obj.a-2 name: assessment-objective props: - name: label value: AC-03(03)(a)[02] class: sp800-53a prose: '{{ insert: param, ac-03.03_odp.02 }} is uniformly enforced across the covered objects within the system;' links: - href: '#ac-3.3_smt.a' rel: assessment-for links: - href: '#ac-3.3_smt.a' rel: assessment-for - id: ac-3.3_obj.b name: assessment-objective props: - name: label value: AC-03(03)(b) class: sp800-53a parts: - id: ac-3.3_obj.b.1 name: assessment-objective props: - name: label value: AC-03(03)(b)(01) class: sp800-53a prose: '{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that a subject that has been granted access to information is constrained from passing the information to unauthorized subjects or objects are enforced;' links: - href: '#ac-3.3_smt.b.1' rel: assessment-for - id: ac-3.3_obj.b.2 name: assessment-objective props: - name: label value: AC-03(03)(b)(02) class: sp800-53a prose: '{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that a subject that has been granted access to information is constrained from granting its privileges to other subjects are enforced;' links: - href: '#ac-3.3_smt.b.2' rel: assessment-for - id: ac-3.3_obj.b.3 name: assessment-objective props: - name: label value: AC-03(03)(b)(03) class: sp800-53a prose: '{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that a subject that has been granted access to information is constrained from changing one of more security attributes (specified by the policy) on subjects, objects, the system, or system components are enforced;' links: - href: '#ac-3.3_smt.b.3' rel: assessment-for - id: ac-3.3_obj.b.4 name: assessment-objective props: - name: label value: AC-03(03)(b)(04) class: sp800-53a prose: '{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that a subject that has been granted access to information is constrained from choosing the security attributes and attribute values (specified by the policy) to be associated with newly created or modified objects are enforced;' links: - href: '#ac-3.3_smt.b.4' rel: assessment-for - id: ac-3.3_obj.b.5 name: assessment-objective props: - name: label value: AC-03(03)(b)(05) class: sp800-53a prose: '{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that a subject that has been granted access to information is constrained from changing the rules governing access control are enforced;' links: - href: '#ac-3.3_smt.b.5' rel: assessment-for links: - href: '#ac-3.3_smt.b' rel: assessment-for - id: ac-3.3_obj.c name: assessment-objective props: - name: label value: AC-03(03)(c) class: sp800-53a prose: '{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that {{ insert: param, ac-03.03_odp.03 }} may explicitly be granted {{ insert: param, ac-03.03_odp.04 }} such that they are not limited by any defined subset (or all) of the above constraints are enforced.' links: - href: '#ac-3.3_smt.c' rel: assessment-for links: - href: '#ac-3.3_smt' rel: assessment-for - id: ac-3.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-03(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy mandatory access control policies procedures addressing access enforcement system design documentation system configuration settings and associated documentation list of subjects and objects (i.e., users and resources) requiring enforcement of mandatory access control policies system audit records system security plan other relevant documents or records - id: ac-3.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-03(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with access enforcement responsibilities system/network administrators organizational personnel with information security responsibilities system developers - id: ac-3.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-03(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms implementing mandatory access control - id: ac-3.4 class: SP800-53-enhancement title: Discretionary Access Control params: - id: ac-3.4_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-03.04_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-03.04_odp.02 label: organization-defined discretionary access control policy - id: ac-03.04_odp.01 props: - name: label value: AC-03(04)_ODP[01] class: sp800-53a label: discretionary access control policy guidelines: - prose: discretionary access control policy enforced over the set of covered subjects is defined; - id: ac-03.04_odp.02 props: - name: label value: AC-03(04)_ODP[02] class: sp800-53a label: discretionary access control policy guidelines: - prose: discretionary access control policy enforced over the set of covered objects is defined; props: - name: label value: AC-03(04) class: zero-padded - name: label value: AC-3(4) - name: label value: AC-03(04) class: sp800-53a - name: sort-id value: ac-03.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-3' rel: required parts: - id: ac-3.4_smt name: statement prose: 'Enforce {{ insert: param, ac-3.4_prm_1 }} over the set of covered subjects and objects specified in the policy, and where the policy specifies that a subject that has been granted access to information can do one or more of the following:' parts: - id: ac-3.4_smt.a name: item props: - name: label value: (a) prose: Pass the information to any other subjects or objects; - id: ac-3.4_smt.b name: item props: - name: label value: (b) prose: Grant its privileges to other subjects; - id: ac-3.4_smt.c name: item props: - name: label value: (c) prose: Change security attributes on subjects, objects, the system, or the system’s components; - id: ac-3.4_smt.d name: item props: - name: label value: (d) prose: Choose the security attributes to be associated with newly created or revised objects; or - id: ac-3.4_smt.e name: item props: - name: label value: (e) prose: Change the rules governing access control. - id: ac-3.4_gdn name: guidance prose: When discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing the information to other subjects or objects (i.e., subjects have the discretion to pass). Discretionary access control can operate in conjunction with mandatory access control as described in [AC-3(3)](#ac-3.3) and [AC-3(15)](#ac-3.15) . A subject that is constrained in its operation by mandatory access control policies can still operate under the less rigorous constraints of discretionary access control. Therefore, while [AC-3(3)](#ac-3.3) imposes constraints that prevent a subject from passing information to another subject operating at a different impact or classification level, [AC-3(4)](#ac-3.4) permits the subject to pass the information to any subject at the same impact or classification level. The policy is bounded by the system. Once the information is passed outside of system control, additional means may be required to ensure that the constraints remain in effect. While traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this particular use of discretionary access control. - id: ac-3.4_obj name: assessment-objective props: - name: label value: AC-03(04) class: sp800-53a parts: - id: ac-3.4_obj-1 name: assessment-objective props: - name: label value: AC-03(04)[01] class: sp800-53a prose: '{{ insert: param, ac-03.04_odp.01 }} is enforced over the set of covered subjects specified in the policy;' links: - href: '#ac-3.4_smt' rel: assessment-for - id: ac-3.4_obj-2 name: assessment-objective props: - name: label value: AC-03(04)[02] class: sp800-53a prose: '{{ insert: param, ac-03.04_odp.02 }} is enforced over the set of covered objects specified in the policy;' links: - href: '#ac-3.4_smt' rel: assessment-for - id: ac-3.4_obj.a name: assessment-objective props: - name: label value: AC-03(04)(a) class: sp800-53a prose: '{{ insert: param, ac-03.04_odp.01 }} and {{ insert: param, ac-03.04_odp.02 }} are enforced where the policy specifies that a subject that has been granted access to information can pass the information to any other subjects or objects;' links: - href: '#ac-3.4_smt.a' rel: assessment-for - id: ac-3.4_obj.b name: assessment-objective props: - name: label value: AC-03(04)(b) class: sp800-53a prose: '{{ insert: param, ac-03.04_odp.01 }} and {{ insert: param, ac-03.04_odp.02 }} are enforced where the policy specifies that a subject that has been granted access to information can grant its privileges to other subjects;' links: - href: '#ac-3.4_smt.b' rel: assessment-for - id: ac-3.4_obj.c name: assessment-objective props: - name: label value: AC-03(04)(c) class: sp800-53a prose: '{{ insert: param, ac-03.04_odp.01 }} and {{ insert: param, ac-03.04_odp.02 }} are enforced where the policy specifies that a subject that has been granted access to information can change security attributes on subjects, objects, the system, or the system’s components;' links: - href: '#ac-3.4_smt.c' rel: assessment-for - id: ac-3.4_obj.d name: assessment-objective props: - name: label value: AC-03(04)(d) class: sp800-53a prose: '{{ insert: param, ac-03.04_odp.01 }} and {{ insert: param, ac-03.04_odp.02 }} are enforced where the policy specifies that a subject that has been granted access to information can choose the security attributes to be associated with newly created or revised objects;' links: - href: '#ac-3.4_smt.d' rel: assessment-for - id: ac-3.4_obj.e name: assessment-objective props: - name: label value: AC-03(04)(e) class: sp800-53a prose: '{{ insert: param, ac-03.04_odp.01 }} and {{ insert: param, ac-03.04_odp.02 }} are enforced where the policy specifies that a subject that has been granted access to information can change the rules governing access control.' links: - href: '#ac-3.4_smt.e' rel: assessment-for links: - href: '#ac-3.4_smt' rel: assessment-for - id: ac-3.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-03(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy discretionary access control policies procedures addressing access enforcement system design documentation system configuration settings and associated documentation list of subjects and objects (i.e., users and resources) requiring enforcement of discretionary access control policies system audit records system security plan other relevant documents or records - id: ac-3.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-03(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with access enforcement responsibilities system/network administrators organizational personnel with information security responsibilities system developers - id: ac-3.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-03(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing discretionary access control policy - id: ac-3.5 class: SP800-53-enhancement title: Security-relevant Information params: - id: ac-03.05_odp props: - name: alt-identifier value: ac-3.5_prm_1 - name: label value: AC-03(05)_ODP class: sp800-53a label: security-relevant information guidelines: - prose: security-relevant information to which access is prevented except during secure, non-operable system states is defined; props: - name: label value: AC-03(05) class: zero-padded - name: label value: AC-3(5) - name: label value: AC-03(05) class: sp800-53a - name: sort-id value: ac-03.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-3' rel: required - href: '#cm-6' rel: related - href: '#sc-39' rel: related parts: - id: ac-3.5_smt name: statement prose: 'Prevent access to {{ insert: param, ac-03.05_odp }} except during secure, non-operable system states.' - id: ac-3.5_gdn name: guidance prose: Security-relevant information is information within systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security and privacy policies or maintain the separation of code and data. Security-relevant information includes access control lists, filtering rules for routers or firewalls, configuration parameters for security services, and cryptographic key management information. Secure, non-operable system states include the times in which systems are not performing mission or business-related processing, such as when the system is offline for maintenance, boot-up, troubleshooting, or shut down. - id: ac-3.5_obj name: assessment-objective props: - name: label value: AC-03(05) class: sp800-53a prose: 'access to {{ insert: param, ac-03.05_odp }} is prevented except during secure, non-operable system states.' links: - href: '#ac-3.5_smt' rel: assessment-for - id: ac-3.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-03(05)-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 system audit records system security plan other relevant documents or records - id: ac-3.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-03(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with access enforcement responsibilities system/network administrators organizational personnel with information security responsibilities system developers - id: ac-3.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-03(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms preventing access to security-relevant information within the system - id: ac-3.6 class: SP800-53-enhancement title: Protection of User and System Information props: - name: label value: AC-03(06) class: zero-padded - name: label value: AC-3(6) - name: label value: AC-03(06) class: sp800-53a - name: sort-id value: ac-03.06 - name: status value: withdrawn links: - href: '#mp-4' rel: incorporated-into - href: '#sc-28' rel: incorporated-into - id: ac-3.7 class: SP800-53-enhancement title: Role-based Access Control params: - id: ac-3.7_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-03.07_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-03.07_odp.02 label: organization-defined roles and users authorized to assume such roles - id: ac-03.07_odp.01 props: - name: label value: AC-03(07)_ODP[01] class: sp800-53a label: roles guidelines: - prose: roles upon which to base control of access are defined; - id: ac-03.07_odp.02 props: - name: label value: AC-03(07)_ODP[02] class: sp800-53a label: users authorized to assume such roles guidelines: - prose: users authorized to assume roles (defined in AC-03(07)_ODP[01]) are defined; props: - name: label value: AC-03(07) class: zero-padded - name: label value: AC-3(7) - name: label value: AC-03(07) class: sp800-53a - name: sort-id value: ac-03.07 - 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: '#ac-3' rel: required parts: - id: ac-3.7_smt name: statement prose: 'Enforce a role-based access control policy over defined subjects and objects and control access based upon {{ insert: param, ac-3.7_prm_1 }}.' - id: ac-3.7_gdn name: guidance prose: Role-based access control (RBAC) is an access control policy that enforces access to objects and system functions based on the defined role (i.e., job function) of the subject. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on the systems associated with the organization-defined roles. When users are assigned to specific roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a large number of individuals) but are instead acquired through role assignments. RBAC can also increase privacy and security risk if individuals assigned to a role are given access to information beyond what they need to support organizational missions or business functions. RBAC can be implemented as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in [AC-3(3)](#ac-3.3) define the scope of the subjects and objects covered by the policy. - id: ac-3.7_obj name: assessment-objective props: - name: label value: AC-03(07) class: sp800-53a parts: - id: ac-3.7_obj-1 name: assessment-objective props: - name: label value: AC-03(07)[01] class: sp800-53a prose: a role-based access control policy is enforced over defined subjects; links: - href: '#ac-3.7_smt' rel: assessment-for - id: ac-3.7_obj-2 name: assessment-objective props: - name: label value: AC-03(07)[02] class: sp800-53a prose: a role-based access control policy is enforced over defined objects; links: - href: '#ac-3.7_smt' rel: assessment-for - id: ac-3.7_obj-3 name: assessment-objective props: - name: label value: AC-03(07)[03] class: sp800-53a prose: 'access is controlled based on {{ insert: param, ac-03.07_odp.01 }} and {{ insert: param, ac-03.07_odp.02 }}.' links: - href: '#ac-3.7_smt' rel: assessment-for links: - href: '#ac-3.7_smt' rel: assessment-for - id: ac-3.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-03(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy role-based access control policies procedures addressing access enforcement system design documentation system configuration settings and associated documentation list of roles, users, and associated privileges required to control system access system audit records system security plan privacy plan other relevant documents or records - id: ac-3.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-03(07)-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-3.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-03(07)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing role-based access control policy - id: ac-3.8 class: SP800-53-enhancement title: Revocation of Access Authorizations params: - id: ac-03.08_odp props: - name: alt-identifier value: ac-3.8_prm_1 - name: alt-label value: rules governing the timing of revocations of access authorizations class: sp800-53 - name: label value: AC-03(08)_ODP class: sp800-53a label: rules guidelines: - prose: rules governing the timing of revocations of access authorizations are defined; props: - name: label value: AC-03(08) class: zero-padded - name: label value: AC-3(8) - name: label value: AC-03(08) class: sp800-53a - name: sort-id value: ac-03.08 - 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-3' rel: required parts: - id: ac-3.8_smt name: statement prose: 'Enforce the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on {{ insert: param, ac-03.08_odp }}.' - id: ac-3.8_gdn name: guidance prose: Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process acting on behalf of a user) is removed from a group, access may not be revoked until the next time the object is opened or the next time the subject attempts to access the object. Revocation based on changes to security labels may take effect immediately. Organizations provide alternative approaches on how to make revocations immediate if systems cannot provide such capability and immediate revocation is necessary. - id: ac-3.8_obj name: assessment-objective props: - name: label value: AC-03(08) class: sp800-53a parts: - id: ac-3.8_obj-1 name: assessment-objective props: - name: label value: AC-03(08)[01] class: sp800-53a prose: 'revocation of access authorizations is enforced, resulting from changes to the security attributes of subjects based on {{ insert: param, ac-03.08_odp }};' links: - href: '#ac-3.8_smt' rel: assessment-for - id: ac-3.8_obj-2 name: assessment-objective props: - name: label value: AC-03(08)[02] class: sp800-53a prose: 'revocation of access authorizations is enforced resulting from changes to the security attributes of objects based on {{ insert: param, ac-03.08_odp }}.' links: - href: '#ac-3.8_smt' rel: assessment-for links: - href: '#ac-3.8_smt' rel: assessment-for - id: ac-3.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-03(08)-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 rules governing revocation of access authorizations, system audit records system security plan other relevant documents or records - id: ac-3.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-03(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with access enforcement responsibilities system/network administrators organizational personnel with information security responsibilities system developers - id: ac-3.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-03(08)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access enforcement functions - id: ac-3.9 class: SP800-53-enhancement title: Controlled Release params: - id: ac-03.09_odp.01 props: - name: alt-identifier value: ac-3.9_prm_1 - name: label value: AC-03(09)_ODP[01] class: sp800-53a label: system or system component guidelines: - prose: the outside system or system component to which to release information is defined; - id: ac-03.09_odp.02 props: - name: alt-identifier value: ac-3.9_prm_2 - name: label value: AC-03(09)_ODP[02] class: sp800-53a label: controls guidelines: - prose: controls to be provided by the outside system or system component (defined in AC-03(09)_ODP[01]) are defined; - id: ac-03.09_odp.03 props: - name: alt-identifier value: ac-3.9_prm_3 - name: label value: AC-03(09)_ODP[03] class: sp800-53a label: controls guidelines: - prose: controls used to validate appropriateness of information to be released are defined; props: - name: label value: AC-03(09) class: zero-padded - name: label value: AC-3(9) - name: label value: AC-03(09) class: sp800-53a - name: sort-id value: ac-03.09 - 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: required - href: '#ca-3' rel: related - href: '#pt-7' rel: related - href: '#pt-8' rel: related - href: '#sa-9' rel: related - href: '#sc-16' rel: related parts: - id: ac-3.9_smt name: statement prose: 'Release information outside of the system only if:' parts: - id: ac-3.9_smt.a name: item props: - name: label value: (a) prose: 'The receiving {{ insert: param, ac-03.09_odp.01 }} provides {{ insert: param, ac-03.09_odp.02 }} ; and' - id: ac-3.9_smt.b name: item props: - name: label value: (b) prose: '{{ insert: param, ac-03.09_odp.03 }} are used to validate the appropriateness of the information designated for release.' - id: ac-3.9_gdn name: guidance prose: |- Organizations can only directly protect information when it resides within the system. Additional controls may be needed to ensure that organizational information is adequately protected once it is transmitted outside of the system. In situations where the system is unable to determine the adequacy of the protections provided by external entities, as a mitigation measure, organizations procedurally determine whether the external systems are providing adequate controls. The means used to determine the adequacy of controls provided by external systems include conducting periodic assessments (inspections/tests), establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security and privacy policy to protect the information and individuals’ privacy. Controlled release of information requires systems to implement technical or procedural means to validate the information prior to releasing it to external systems. For example, if the system passes information to a system controlled by another organization, technical means are employed to validate that the security and privacy attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only authorized individuals gain access to the printer. - id: ac-3.9_obj name: assessment-objective props: - name: label value: AC-03(09) class: sp800-53a parts: - id: ac-3.9_obj.a name: assessment-objective props: - name: label value: AC-03(09)(a) class: sp800-53a prose: 'information is released outside of the system only if the receiving {{ insert: param, ac-03.09_odp.01 }} provides {{ insert: param, ac-03.09_odp.02 }};' links: - href: '#ac-3.9_smt.a' rel: assessment-for - id: ac-3.9_obj.b name: assessment-objective props: - name: label value: AC-03(09)(b) class: sp800-53a prose: 'information is released outside of the system only if {{ insert: param, ac-03.09_odp.03 }} are used to validate the appropriateness of the information designated for release.' links: - href: '#ac-3.9_smt.b' rel: assessment-for links: - href: '#ac-3.9_smt' rel: assessment-for - id: ac-3.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-03(09)-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 security and privacy safeguards provided by receiving system or system components list of security and privacy safeguards validating appropriateness of information designated for release system audit records results of period assessments (inspections/tests) of the external system information sharing agreements memoranda of understanding acquisitions/contractual agreements system security plan privacy plan other relevant documents or records - id: ac-3.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-03(09)-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 organizational personnel with responsibility for acquisitions/contractual agreements legal counsel system developers - id: ac-3.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-03(09)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access enforcement functions - id: ac-3.10 class: SP800-53-enhancement title: Audited Override of Access Control Mechanisms params: - id: ac-03.10_odp.01 props: - name: alt-identifier value: ac-3.10_prm_1 - name: label value: AC-03(10)_ODP[01] class: sp800-53a label: conditions guidelines: - prose: conditions under which to employ an audited override of automated access control mechanisms are defined; - id: ac-03.10_odp.02 props: - name: alt-identifier value: ac-3.10_prm_2 - name: label value: AC-03(10)_ODP[02] class: sp800-53a label: roles guidelines: - prose: roles allowed to employ an audited override of automated access control mechanisms are defined; props: - name: label value: AC-03(10) class: zero-padded - name: label value: AC-3(10) - name: label value: AC-03(10) class: sp800-53a - name: sort-id value: ac-03.10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-3' rel: required - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#au-10' rel: related - href: '#au-12' rel: related - href: '#au-14' rel: related parts: - id: ac-3.10_smt name: statement prose: 'Employ an audited override of automated access control mechanisms under {{ insert: param, ac-03.10_odp.01 }} by {{ insert: param, ac-03.10_odp.02 }}.' - id: ac-3.10_gdn name: guidance prose: In certain situations, such as when there is a threat to human life or an event that threatens the organization’s ability to carry out critical missions or business functions, an override capability for access control mechanisms may be needed. Override conditions are defined by organizations and used only in those limited circumstances. Audit events are defined in [AU-2](#au-2) . Audit records are generated in [AU-12](#au-12). - id: ac-3.10_obj name: assessment-objective props: - name: label value: AC-03(10) class: sp800-53a prose: 'an audited override of automated access control mechanisms is employed under {{ insert: param, ac-03.10_odp.01 }} by {{ insert: param, ac-03.10_odp.02 }}.' links: - href: '#ac-3.10_smt' rel: assessment-for - id: ac-3.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-03(10)-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 conditions for employing audited override of automated access control mechanisms system audit records system security plan other relevant documents or records - id: ac-3.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-03(10)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with access enforcement responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-3.10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-03(10)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access enforcement functions - id: ac-3.11 class: SP800-53-enhancement title: Restrict Access to Specific Information Types params: - id: ac-03.11_odp props: - name: alt-identifier value: ac-3.11_prm_1 - name: label value: AC-03(11)_ODP class: sp800-53a label: information types guidelines: - prose: information types requiring restricted access to data repositories are defined; props: - name: label value: AC-03(11) class: zero-padded - name: label value: AC-3(11) - name: label value: AC-03(11) class: sp800-53a - name: sort-id value: ac-03.11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-3' rel: required - href: '#cm-8' rel: related - href: '#cm-12' rel: related - href: '#cm-13' rel: related - href: '#pm-5' rel: related parts: - id: ac-3.11_smt name: statement prose: 'Restrict access to data repositories containing {{ insert: param, ac-03.11_odp }}.' - id: ac-3.11_gdn name: guidance prose: Restricting access to specific information is intended to provide flexibility regarding access control of specific information types within a system. For example, role-based access could be employed to allow access to only a specific type of personally identifiable information within a database rather than allowing access to the database in its entirety. Other examples include restricting access to cryptographic keys, authentication information, and selected system information. - id: ac-3.11_obj name: assessment-objective props: - name: label value: AC-03(11) class: sp800-53a prose: 'access to data repositories containing {{ insert: param, ac-03.11_odp }} is restricted.' links: - href: '#ac-3.11_smt' rel: assessment-for - id: ac-3.11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-03(11)-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 system audit records system security plan other relevant documents or records - id: ac-3.11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-03(11)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with access enforcement responsibilities organizational personnel with responsibilities for data repositories system/network administrators organizational personnel with information security responsibilities - id: ac-3.11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-03(11)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access enforcement functions - id: ac-3.12 class: SP800-53-enhancement title: Assert and Enforce Application Access params: - id: ac-03.12_odp props: - name: alt-identifier value: ac-3.12_prm_1 - name: label value: AC-03(12)_ODP class: sp800-53a label: system applications and functions guidelines: - prose: system applications and functions requiring access assertion are defined; props: - name: label value: AC-03(12) class: zero-padded - name: label value: AC-3(12) - name: label value: AC-03(12) class: sp800-53a - name: sort-id value: ac-03.12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-3' rel: required - href: '#cm-7' rel: related parts: - id: ac-3.12_smt name: statement parts: - id: ac-3.12_smt.a name: item props: - name: label value: (a) prose: 'Require applications to assert, as part of the installation process, the access needed to the following system applications and functions: {{ insert: param, ac-03.12_odp }};' - id: ac-3.12_smt.b name: item props: - name: label value: (b) prose: Provide an enforcement mechanism to prevent unauthorized access; and - id: ac-3.12_smt.c name: item props: - name: label value: (c) prose: Approve access changes after initial installation of the application. - id: ac-3.12_gdn name: guidance prose: Asserting and enforcing application access is intended to address applications that need to access existing system applications and functions, including user contacts, global positioning systems, cameras, keyboards, microphones, networks, phones, or other files. - id: ac-3.12_obj name: assessment-objective props: - name: label value: AC-03(12) class: sp800-53a parts: - id: ac-3.12_obj.a name: assessment-objective props: - name: label value: AC-03(12)(a) class: sp800-53a prose: 'as part of the installation process, applications are required to assert the access needed to the following system applications and functions: {{ insert: param, ac-03.12_odp }};' links: - href: '#ac-3.12_smt.a' rel: assessment-for - id: ac-3.12_obj.b name: assessment-objective props: - name: label value: AC-03(12)(b) class: sp800-53a prose: 'an enforcement mechanism to prevent unauthorized access is provided; ' links: - href: '#ac-3.12_smt.b' rel: assessment-for - id: ac-3.12_obj.c name: assessment-objective props: - name: label value: AC-03(12)(c) class: sp800-53a prose: access changes after initial installation of the application are approved. links: - href: '#ac-3.12_smt.c' rel: assessment-for links: - href: '#ac-3.12_smt' rel: assessment-for - id: ac-3.12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-03(12)-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 system audit records system security plan other relevant documents or records - id: ac-3.12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-03(12)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with access enforcement responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-3.12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-03(12)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access enforcement functions - id: ac-3.13 class: SP800-53-enhancement title: Attribute-based Access Control params: - id: ac-03.13_odp props: - name: alt-identifier value: ac-3.13_prm_1 - name: alt-label value: attributes to assume access permissions class: sp800-53 - name: label value: AC-03(13)_ODP class: sp800-53a label: attributes guidelines: - prose: attributes to assume access permissions are defined; props: - name: label value: AC-03(13) class: zero-padded - name: label value: AC-3(13) - name: label value: AC-03(13) class: sp800-53a - name: sort-id value: ac-03.13 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-3' rel: required parts: - id: ac-3.13_smt name: statement prose: 'Enforce attribute-based access control policy over defined subjects and objects and control access based upon {{ insert: param, ac-03.13_odp }}.' - id: ac-3.13_gdn name: guidance prose: Attribute-based access control is an access control policy that restricts system access to authorized users based on specified organizational attributes (e.g., job function, identity), action attributes (e.g., read, write, delete), environmental attributes (e.g., time of day, location), and resource attributes (e.g., classification of a document). Organizations can create rules based on attributes and the authorizations (i.e., privileges) to perform needed operations on the systems associated with organization-defined attributes and rules. When users are assigned to attributes defined in attribute-based access control policies or rules, they can be provisioned to a system with the appropriate privileges or dynamically granted access to a protected resource. Attribute-based access control can be implemented as either a mandatory or discretionary form of access control. When implemented with mandatory access controls, the requirements in [AC-3(3)](#ac-3.3) define the scope of the subjects and objects covered by the policy. - id: ac-3.13_obj name: assessment-objective props: - name: label value: AC-03(13) class: sp800-53a parts: - id: ac-3.13_obj-1 name: assessment-objective props: - name: label value: AC-03(13)[01] class: sp800-53a prose: the attribute-based access control policy is enforced over defined subjects; links: - href: '#ac-3.13_smt' rel: assessment-for - id: ac-3.13_obj-2 name: assessment-objective props: - name: label value: AC-03(13)[02] class: sp800-53a prose: the attribute-based access control policy is enforced over defined objects; links: - href: '#ac-3.13_smt' rel: assessment-for - id: ac-3.13_obj-3 name: assessment-objective props: - name: label value: AC-03(13)[03] class: sp800-53a prose: 'access is controlled based on {{ insert: param, ac-03.13_odp }}.' links: - href: '#ac-3.13_smt' rel: assessment-for links: - href: '#ac-3.13_smt' rel: assessment-for - id: ac-3.13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-03(13)-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 subjects and objects (i.e., users and resources) requiring enforcement of attribute-based access control policies system audit records system security plan other relevant documents or records - id: ac-3.13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-03(13)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with access enforcement responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-3.13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-03(13)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access enforcement functions - id: ac-3.14 class: SP800-53-enhancement title: Individual Access params: - id: ac-03.14_odp.01 props: - name: alt-identifier value: ac-3.14_prm_1 - name: label value: AC-03(14)_ODP[01] class: sp800-53a label: mechanisms guidelines: - prose: mechanisms enabling individuals to have access to elements of their personally identifiable information are defined; - id: ac-03.14_odp.02 props: - name: alt-identifier value: ac-3.14_prm_2 - name: label value: AC-03(14)_ODP[02] class: sp800-53a label: elements guidelines: - prose: elements of personally identifiable information to which individuals have access are defined; props: - name: label value: AC-03(14) class: zero-padded - name: label value: AC-3(14) - name: label value: AC-03(14) class: sp800-53a - name: sort-id value: ac-03.14 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-3' rel: required - href: '#ia-8' rel: related - href: '#pm-22' rel: related - href: '#pm-20' rel: related - href: '#pm-21' rel: related - href: '#pt-6' rel: related parts: - id: ac-3.14_smt name: statement prose: 'Provide {{ insert: param, ac-03.14_odp.01 }} to enable individuals to have access to the following elements of their personally identifiable information: {{ insert: param, ac-03.14_odp.02 }}.' - id: ac-3.14_gdn name: guidance prose: Individual access affords individuals the ability to review personally identifiable information about them held within organizational records, regardless of format. Access helps individuals to develop an understanding about how their personally identifiable information is being processed. It can also help individuals ensure that their data is accurate. Access mechanisms can include request forms and application interfaces. For federal agencies, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) processes can be located in systems of record notices and on agency websites. Access to certain types of records may not be appropriate (e.g., for federal agencies, law enforcement records within a system of records may be exempt from disclosure under the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) ) or may require certain levels of authentication assurance. Organizational personnel consult with the senior agency official for privacy and legal counsel to determine appropriate mechanisms and access rights or limitations. - id: ac-3.14_obj name: assessment-objective props: - name: label value: AC-03(14) class: sp800-53a prose: '{{ insert: param, ac-03.14_odp.01 }} are provided to enable individuals to have access to {{ insert: param, ac-03.14_odp.02 }} of their personally identifiable information.' links: - href: '#ac-3.14_smt' rel: assessment-for - id: ac-3.14_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-03(14)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access mechanisms (e.g., request forms and application interfaces) access control policy procedures addressing access enforcement system design documentation system configuration settings and associated documentation documentation regarding access to an individual’s personally identifiable information system audit records system security plan privacy plan privacy impact assessment privacy assessment findings and/or reports other relevant documents or records - id: ac-3.14_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-03(14)-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 legal counsel - id: ac-3.14_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-03(14)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing access enforcement functions mechanisms enabling individual access to personally identifiable information - id: ac-3.15 class: SP800-53-enhancement title: Discretionary and Mandatory Access Control params: - id: ac-3.15_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-03.15_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-03.15_odp.02 label: organization-defined mandatory access control policy - id: ac-3.15_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-03.15_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-03.15_odp.04 label: organization-defined discretionary access control policy - id: ac-03.15_odp.01 props: - name: label value: AC-03(15)_ODP[01] class: sp800-53a label: mandatory access control policy guidelines: - prose: a mandatory access control policy enforced over the set of covered subjects specified in the policy is defined; - id: ac-03.15_odp.02 props: - name: label value: AC-03(15)_ODP[02] class: sp800-53a label: mandatory access control policy guidelines: - prose: a mandatory access control policy enforced over the set of covered objects specified in the policy is defined; - id: ac-03.15_odp.03 props: - name: label value: AC-03(15)_ODP[03] class: sp800-53a label: discretionary access control policy guidelines: - prose: a discretionary access control policy enforced over the set of covered subjects specified in the policy is defined; - id: ac-03.15_odp.04 props: - name: label value: AC-03(15)_ODP[04] class: sp800-53a label: discretionary access control policy guidelines: - prose: a discretionary access control policy enforced over the set of covered objects specified in the policy is defined; props: - name: label value: AC-03(15) class: zero-padded - name: label value: AC-3(15) - name: label value: AC-03(15) class: sp800-53a - name: sort-id value: ac-03.15 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-3' rel: required - href: '#sc-2' rel: related - href: '#sc-3' rel: related - href: '#ac-4' rel: related parts: - id: ac-3.15_smt name: statement parts: - id: ac-3.15_smt.a name: item props: - name: label value: (a) prose: 'Enforce {{ insert: param, ac-3.15_prm_1 }} over the set of covered subjects and objects specified in the policy; and' - id: ac-3.15_smt.b name: item props: - name: label value: (b) prose: 'Enforce {{ insert: param, ac-3.15_prm_2 }} over the set of covered subjects and objects specified in the policy.' - id: ac-3.15_gdn name: guidance prose: Simultaneously implementing a mandatory access control policy and a discretionary access control policy can provide additional protection against the unauthorized execution of code by users or processes acting on behalf of users. This helps prevent a single compromised user or process from compromising the entire system. - id: ac-3.15_obj name: assessment-objective props: - name: label value: AC-03(15) class: sp800-53a parts: - id: ac-3.15_obj.a name: assessment-objective props: - name: label value: AC-03(15)(a) class: sp800-53a parts: - id: ac-3.15_obj.a-1 name: assessment-objective props: - name: label value: AC-03(15)(a)[01] class: sp800-53a prose: '{{ insert: param, ac-03.15_odp.01 }} is enforced over the set of covered subjects specified in the policy;' links: - href: '#ac-3.15_smt.a' rel: assessment-for - id: ac-3.15_obj.a-2 name: assessment-objective props: - name: label value: AC-03(15)(a)[02] class: sp800-53a prose: '{{ insert: param, ac-03.15_odp.02 }} is enforced over the set of covered objects specified in the policy;' links: - href: '#ac-3.15_smt.a' rel: assessment-for links: - href: '#ac-3.15_smt.a' rel: assessment-for - id: ac-3.15_obj.b name: assessment-objective props: - name: label value: AC-03(15)(b) class: sp800-53a parts: - id: ac-3.15_obj.b-1 name: assessment-objective props: - name: label value: AC-03(15)(b)[01] class: sp800-53a prose: '{{ insert: param, ac-03.15_odp.03 }} is enforced over the set of covered subjects specified in the policy;' links: - href: '#ac-3.15_smt.b' rel: assessment-for - id: ac-3.15_obj.b-2 name: assessment-objective props: - name: label value: AC-03(15)(b)[02] class: sp800-53a prose: '{{ insert: param, ac-03.15_odp.04 }} is enforced over the set of covered objects specified in the policy.' links: - href: '#ac-3.15_smt.b' rel: assessment-for links: - href: '#ac-3.15_smt.b' rel: assessment-for links: - href: '#ac-3.15_smt' rel: assessment-for - id: ac-3.15_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-03(15)-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 subjects and objects (i.e., users and resources) requiring enforcement of mandatory access control policies list of subjects and objects (i.e., users and resources) requiring enforcement of discretionary access control policies system audit records system security plan other relevant documents or records - id: ac-3.15_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-03(15)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with access enforcement responsibilities system/network administrators organizational personnel with information security responsibilities system developers - id: ac-3.15_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-03(15)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing mandatory and discretionary access control policy - id: ac-4 class: SP800-53 title: Information Flow Enforcement params: - id: ac-04_odp props: - name: alt-identifier value: ac-4_prm_1 - name: label value: AC-04_ODP class: sp800-53a label: information flow control policies guidelines: - prose: information flow control policies within the system and between connected systems are defined; props: - name: label value: AC-04 class: zero-padded - name: label value: AC-4 - name: label value: AC-04 class: sp800-53a - name: sort-id value: ac-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#2956e175-f674-43f4-b1b9-e074ad9fc39c' rel: reference - href: '#388a3aa2-5d85-4bad-b8a3-77db80d63c4f' rel: reference - href: '#a2590922-82f3-4277-83c0-ca5bee06dba4' rel: reference - href: '#ac-3' rel: related - href: '#ac-6' rel: related - href: '#ac-16' rel: related - href: '#ac-17' rel: related - href: '#ac-19' rel: related - href: '#ac-21' rel: related - href: '#au-10' rel: related - href: '#ca-3' rel: related - href: '#ca-9' rel: related - href: '#cm-7' rel: related - href: '#pl-9' rel: related - href: '#pm-24' rel: related - href: '#sa-17' rel: related - href: '#sc-4' rel: related - href: '#sc-7' rel: related - href: '#sc-16' rel: related - href: '#sc-31' rel: related parts: - id: ac-4_smt name: statement prose: 'Enforce approved authorizations for controlling the flow of information within the system and between connected systems based on {{ insert: param, ac-04_odp }}.' - id: ac-4_gdn name: guidance prose: |- Information flow control regulates where information can travel within a system and between systems (in contrast to who is allowed to access the information) and without regard to subsequent accesses to that information. Flow control restrictions include blocking external traffic that claims to be from within the organization, keeping export-controlled information from being transmitted in the clear to the Internet, restricting web requests that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between organizations may require an agreement specifying how the information flow is enforced (see [CA-3](#ca-3) ). Transferring information between systems in different security or privacy domains with different security or privacy policies introduces the risk that such transfers violate one or more domain security or privacy policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between connected systems. Organizations consider mandating specific architectural solutions to enforce specific security and privacy policies. Enforcement includes prohibiting information transfers between connected systems (i.e., allowing access only), verifying write permissions before accepting information from another security or privacy domain or connected system, employing hardware mechanisms to enforce one-way information flows, and implementing trustworthy regrading mechanisms to reassign security or privacy attributes and labels. Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations within systems and between connected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices that employ rule sets or establish configuration settings that restrict system services, provide a packet-filtering capability based on header information, or provide a message-filtering capability based on message content. Organizations also consider the trustworthiness of filtering and/or inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 32 primarily address cross-domain solution needs that focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, such as high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf products. Information flow enforcement also applies to control plane traffic (e.g., routing and DNS). - id: ac-4_obj name: assessment-objective props: - name: label value: AC-04 class: sp800-53a prose: 'approved authorizations are enforced for controlling the flow of information within the system and between connected systems based on {{ insert: param, ac-04_odp }}.' links: - href: '#ac-4_smt' rel: assessment-for - id: ac-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy information flow control policies procedures addressing information flow enforcement security architecture documentation privacy architecture documentation system design documentation system configuration settings and associated documentation system baseline configuration list of information flow authorizations system audit records system security plan privacy plan other relevant documents or records - id: ac-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy architecture development responsibilities organizational personnel with information security and privacy responsibilities system developers - id: ac-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement policy controls: - id: ac-4.1 class: SP800-53-enhancement title: Object Security and Privacy Attributes params: - id: ac-4.1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.01_odp.02 label: organization-defined security and privacy attributes - id: ac-4.1_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.01_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.01_odp.04 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.01_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.01_odp.06 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.01_odp.07 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.01_odp.08 label: organization-defined information, source, and destination objects - id: ac-04.01_odp.01 props: - name: label value: AC-04(01)_ODP[01] class: sp800-53a label: security attributes guidelines: - prose: security attributes to be associated with information, source, and destination objects are defined; - id: ac-04.01_odp.02 props: - name: label value: AC-04(01)_ODP[02] class: sp800-53a label: privacy attributes guidelines: - prose: privacy attributes to be associated with information, source, and destination objects are defined; - id: ac-04.01_odp.03 props: - name: label value: AC-04(01)_ODP[03] class: sp800-53a label: information objects guidelines: - prose: information objects to be associated with information security attributes are defined; - id: ac-04.01_odp.04 props: - name: label value: AC-04(01)_ODP[04] class: sp800-53a label: information objects guidelines: - prose: information objects to be associated with privacy attributes are defined; - id: ac-04.01_odp.05 props: - name: label value: AC-04(01)_ODP[05] class: sp800-53a label: source objects guidelines: - prose: source objects to be associated with information security attributes are defined; - id: ac-04.01_odp.06 props: - name: label value: AC-04(01)_ODP[06] class: sp800-53a label: source objects guidelines: - prose: source objects to be associated with privacy attributes are defined; - id: ac-04.01_odp.07 props: - name: label value: AC-04(01)_ODP[07] class: sp800-53a label: destination objects guidelines: - prose: destination objects to be associated with information security attributes are defined; - id: ac-04.01_odp.08 props: - name: label value: AC-04(01)_ODP[08] class: sp800-53a label: destination objects guidelines: - prose: destination objects to be associated with privacy attributes are defined; - id: ac-04.01_odp.09 props: - name: alt-identifier value: ac-4.1_prm_3 - name: label value: AC-04(01)_ODP[09] class: sp800-53a label: information flow control policies guidelines: - prose: information flow control policies as a basis for enforcement of flow control decisions are defined; props: - name: label value: AC-04(01) class: zero-padded - name: label value: AC-4(1) - name: label value: AC-04(01) class: sp800-53a - name: sort-id value: ac-04.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.1_smt name: statement prose: 'Use {{ insert: param, ac-4.1_prm_1 }} associated with {{ insert: param, ac-4.1_prm_2 }} to enforce {{ insert: param, ac-04.01_odp.09 }} as a basis for flow control decisions.' - id: ac-4.1_gdn name: guidance prose: Information flow enforcement mechanisms compare security and privacy attributes associated with information (i.e., data content and structure) and source and destination objects and respond appropriately when the enforcement mechanisms encounter information flows not explicitly allowed by information flow policies. For example, an information object labeled Secret would be allowed to flow to a destination object labeled Secret, but an information object labeled Top Secret would not be allowed to flow to a destination object labeled Secret. A dataset of personally identifiable information may be tagged with restrictions against combining with other types of datasets and, thus, would not be allowed to flow to the restricted dataset. Security and privacy attributes can also include source and destination addresses employed in traffic filter firewalls. Flow enforcement using explicit security or privacy attributes can be used, for example, to control the release of certain types of information. - id: ac-4.1_obj name: assessment-objective props: - name: label value: AC-04(01) class: sp800-53a parts: - id: ac-4.1_obj-1 name: assessment-objective props: - name: label value: AC-04(01)[01] class: sp800-53a prose: '{{ insert: param, ac-04.01_odp.01 }} associated with {{ insert: param, ac-04.01_odp.03 }}, {{ insert: param, ac-04.01_odp.05 }} , and {{ insert: param, ac-04.01_odp.07 }} are used to enforce {{ insert: param, ac-04.01_odp.09 }} as a basis for flow control decisions;' links: - href: '#ac-4.1_smt' rel: assessment-for - id: ac-4.1_obj-2 name: assessment-objective props: - name: label value: AC-04(01)[02] class: sp800-53a prose: '{{ insert: param, ac-04.01_odp.02 }} associated with {{ insert: param, ac-04.01_odp.04 }}, {{ insert: param, ac-04.01_odp.06 }} , and {{ insert: param, ac-04.01_odp.08 }} are used to enforce {{ insert: param, ac-04.01_odp.09 }} as a basis for flow control decisions.' links: - href: '#ac-4.1_smt' rel: assessment-for links: - href: '#ac-4.1_smt' rel: assessment-for - id: ac-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy information flow control policies procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation list of security and privacy attributes and associated source and destination objects system audit records system security plan privacy plan other relevant documents or records - id: ac-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with privacy responsibilities system developers - id: ac-4.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement policy - id: ac-4.2 class: SP800-53-enhancement title: Processing Domains params: - id: ac-04.02_odp props: - name: alt-identifier value: ac-4.2_prm_1 - name: label value: AC-04(02)_ODP class: sp800-53a label: information flow control policies guidelines: - prose: information flow control policies to be enforced by use of protected processing domains are defined; props: - name: label value: AC-04(02) class: zero-padded - name: label value: AC-4(2) - name: label value: AC-04(02) class: sp800-53a - name: sort-id value: ac-04.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required - href: '#sc-39' rel: related parts: - id: ac-4.2_smt name: statement prose: 'Use protected processing domains to enforce {{ insert: param, ac-04.02_odp }} as a basis for flow control decisions.' - id: ac-4.2_gdn name: guidance prose: Protected processing domains within systems are processing spaces that have controlled interactions with other processing spaces, enabling control of information flows between these spaces and to/from information objects. A protected processing domain can be provided, for example, by implementing domain and type enforcement. In domain and type enforcement, system processes are assigned to domains, information is identified by types, and information flows are controlled based on allowed information accesses (i.e., determined by domain and type), allowed signaling among domains, and allowed process transitions to other domains. - id: ac-4.2_obj name: assessment-objective props: - name: label value: AC-04(02) class: sp800-53a prose: 'protected processing domains are used to enforce {{ insert: param, ac-04.02_odp }} as a basis for flow control decisions.' links: - href: '#ac-4.2_smt' rel: assessment-for - id: ac-4.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy information flow control policies procedures addressing information flow enforcement system design documentation system security architecture and associated documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-4.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: ac-4.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement policy - id: ac-4.3 class: SP800-53-enhancement title: Dynamic Information Flow Control params: - id: ac-04.03_odp props: - name: alt-identifier value: ac-4.3_prm_1 - name: label value: AC-04(03)_ODP class: sp800-53a label: information flow control policies guidelines: - prose: information flow control policies to be enforced are defined; props: - name: label value: AC-04(03) class: zero-padded - name: label value: AC-4(3) - name: label value: AC-04(03) class: sp800-53a - name: sort-id value: ac-04.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required - href: '#si-4' rel: related parts: - id: ac-4.3_smt name: statement prose: 'Enforce {{ insert: param, ac-04.03_odp }}.' - id: ac-4.3_gdn name: guidance prose: Organizational policies regarding dynamic information flow control include allowing or disallowing information flows based on changing conditions or mission or operational considerations. Changing conditions include changes in risk tolerance due to changes in the immediacy of mission or business needs, changes in the threat environment, and detection of potentially harmful or adverse events. - id: ac-4.3_obj name: assessment-objective props: - name: label value: AC-04(03) class: sp800-53a prose: '{{ insert: param, ac-04.03_odp }} are enforced.' links: - href: '#ac-4.3_smt' rel: assessment-for - id: ac-4.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy information flow control policies procedures addressing information flow enforcement system design documentation system security architecture and associated documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-4.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-4.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement policy - id: ac-4.4 class: SP800-53-enhancement title: Flow Control of Encrypted Information params: - id: ac-04.04_odp.01 props: - name: alt-identifier value: ac-4.4_prm_1 - name: label value: AC-04(04)_ODP[01] class: sp800-53a label: information flow control mechanisms guidelines: - prose: information flow control mechanisms that encrypted information is prevented from bypassing are defined; - id: ac-04.04_odp.02 props: - name: alt-identifier value: ac-4.4_prm_2 - name: label value: AC-04(04)_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - decrypting the information - blocking the flow of the encrypted information - terminating communications sessions attempting to pass encrypted information - '{{ insert: param, ac-04.04_odp.03 }} ' - id: ac-04.04_odp.03 props: - name: alt-identifier value: ac-4.4_prm_3 - name: alt-label value: procedure or method class: sp800-53 - name: label value: AC-04(04)_ODP[03] class: sp800-53a label: organization-defined procedure or method guidelines: - prose: the organization-defined procedure or method used to prevent encrypted information from bypassing information flow control mechanisms is defined (if selected); props: - name: label value: AC-04(04) class: zero-padded - name: label value: AC-4(4) - name: label value: AC-04(04) class: sp800-53a - name: sort-id value: ac-04.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required - href: '#si-4' rel: related parts: - id: ac-4.4_smt name: statement prose: 'Prevent encrypted information from bypassing {{ insert: param, ac-04.04_odp.01 }} by {{ insert: param, ac-04.04_odp.02 }}.' - id: ac-4.4_gdn name: guidance prose: Flow control mechanisms include content checking, security policy filters, and data type identifiers. The term encryption is extended to cover encoded data not recognized by filtering mechanisms. - id: ac-4.4_obj name: assessment-objective props: - name: label value: AC-04(04) class: sp800-53a prose: 'encrypted information is prevented from bypassing {{ insert: param, ac-04.04_odp.01 }} by {{ insert: param, ac-04.04_odp.02 }}.' links: - href: '#ac-4.4_smt' rel: assessment-for - id: ac-4.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy information flow control policies procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-4.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-4.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement policy - id: ac-4.5 class: SP800-53-enhancement title: Embedded Data Types params: - id: ac-04.05_odp props: - name: alt-identifier value: ac-4.5_prm_1 - name: label value: AC-04(05)_ODP class: sp800-53a label: limitations guidelines: - prose: limitations on embedding data types within other data types are defined; props: - name: label value: AC-04(05) class: zero-padded - name: label value: AC-4(5) - name: label value: AC-04(05) class: sp800-53a - name: sort-id value: ac-04.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.5_smt name: statement prose: 'Enforce {{ insert: param, ac-04.05_odp }} on embedding data types within other data types.' - id: ac-4.5_gdn name: guidance prose: Embedding data types within other data types may result in reduced flow control effectiveness. Data type embedding includes inserting files as objects within other files and using compressed or archived data types that may include multiple embedded data types. Limitations on data type embedding consider the levels of embedding and prohibit levels of data type embedding that are beyond the capability of the inspection tools. - id: ac-4.5_obj name: assessment-objective props: - name: label value: AC-04(05) class: sp800-53a prose: '{{ insert: param, ac-04.05_odp }} are enforced on embedding data types within other data types.' links: - href: '#ac-4.5_smt' rel: assessment-for - id: ac-4.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation list of limitations to be enforced on embedding data types within other data types system audit records system security plan other relevant documents or records - id: ac-4.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-4.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement policy - id: ac-4.6 class: SP800-53-enhancement title: Metadata params: - id: ac-04.06_odp props: - name: alt-identifier value: ac-4.6_prm_1 - name: label value: AC-04(06)_ODP class: sp800-53a label: metadata guidelines: - prose: metadata on which to base enforcement of information flow control is defined; props: - name: label value: AC-04(06) class: zero-padded - name: label value: AC-4(6) - name: label value: AC-04(06) class: sp800-53a - name: sort-id value: ac-04.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required - href: '#ac-16' rel: related - href: '#si-7' rel: related parts: - id: ac-4.6_smt name: statement prose: 'Enforce information flow control based on {{ insert: param, ac-04.06_odp }}.' - id: ac-4.6_gdn name: guidance prose: Metadata is information that describes the characteristics of data. Metadata can include structural metadata describing data structures or descriptive metadata describing data content. Enforcement of allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata regarding data accuracy (i.e., knowledge that the metadata values are correct with respect to the data), data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding of metadata to the data payload (i.e., employing sufficiently strong binding techniques with appropriate assurance). - id: ac-4.6_obj name: assessment-objective props: - name: label value: AC-04(06) class: sp800-53a prose: 'information flow control enforcement is based on {{ insert: param, ac-04.06_odp }}.' links: - href: '#ac-4.6_smt' rel: assessment-for - id: ac-4.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy information flow control policies procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation types of metadata used to enforce information flow control decisions system audit records system security plan other relevant documents or records - id: ac-4.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-4.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement policy - id: ac-4.7 class: SP800-53-enhancement title: One-way Flow Mechanisms props: - name: label value: AC-04(07) class: zero-padded - name: label value: AC-4(7) - name: label value: AC-04(07) class: sp800-53a - name: sort-id value: ac-04.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.7_smt name: statement prose: Enforce one-way information flows through hardware-based flow control mechanisms. - id: ac-4.7_gdn name: guidance prose: One-way flow mechanisms may also be referred to as a unidirectional network, unidirectional security gateway, or data diode. One-way flow mechanisms can be used to prevent data from being exported from a higher impact or classified domain or system while permitting data from a lower impact or unclassified domain or system to be imported. - id: ac-4.7_obj name: assessment-objective props: - name: label value: AC-04(07) class: sp800-53a prose: one-way information flows are enforced through hardware-based flow control mechanisms. links: - href: '#ac-4.7_smt' rel: assessment-for - id: ac-4.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy information flow control policies procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation system hardware mechanisms and associated configurations system audit records system security plan other relevant documents or records - id: ac-4.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-4.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(07)-Test class: sp800-53a parts: - name: assessment-objects prose: Hardware mechanisms implementing information flow enforcement policy - id: ac-4.8 class: SP800-53-enhancement title: Security and Privacy Policy Filters params: - id: ac-4.8_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.08_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.08_odp.02 label: organization-defined security or privacy policy filters - id: ac-4.8_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.08_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.08_odp.04 label: organization-defined information flows - id: ac-4.8_prm_4 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.08_odp.06 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.08_odp.07 label: organization-defined security or privacy policy - id: ac-04.08_odp.01 props: - name: label value: AC-04(08)_ODP[01] class: sp800-53a label: security policy filter guidelines: - prose: security policy filters to be used as a basis for enforcing information flow control are defined; - id: ac-04.08_odp.02 props: - name: label value: AC-04(08)_ODP[02] class: sp800-53a label: privacy policy filter guidelines: - prose: privacy policy filters to be used as a basis for enforcing information flow control are defined; - id: ac-04.08_odp.03 props: - name: label value: AC-04(08)_ODP[03] class: sp800-53a label: information flows guidelines: - prose: information flows for which information flow control is enforced by security filters are defined; - id: ac-04.08_odp.04 props: - name: label value: AC-04(08)_ODP[04] class: sp800-53a label: information flows guidelines: - prose: information flows for which information flow control is enforced by privacy filters are defined; - id: ac-04.08_odp.05 props: - name: alt-identifier value: ac-4.8_prm_3 - name: label value: AC-04(08)_ODP[05] class: sp800-53a select: how-many: one-or-more choice: - block - strip - modify - quarantine - id: ac-04.08_odp.06 props: - name: label value: AC-04(08)_ODP[06] class: sp800-53a label: security policy guidelines: - prose: security policy identifying actions to be taken after a filter processing failure are defined; - id: ac-04.08_odp.07 props: - name: label value: AC-04(08)_ODP[07] class: sp800-53a label: privacy policy guidelines: - prose: privacy policy identifying actions to be taken after a filter processing failure are defined; props: - name: label value: AC-04(08) class: zero-padded - name: label value: AC-4(8) - name: label value: AC-04(08) class: sp800-53a - name: sort-id value: ac-04.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.8_smt name: statement parts: - id: ac-4.8_smt.a name: item props: - name: label value: (a) prose: 'Enforce information flow control using {{ insert: param, ac-4.8_prm_1 }} as a basis for flow control decisions for {{ insert: param, ac-4.8_prm_2 }} ; and' - id: ac-4.8_smt.b name: item props: - name: label value: (b) prose: '{{ insert: param, ac-04.08_odp.05 }} data after a filter processing failure in accordance with {{ insert: param, ac-4.8_prm_4 }}.' - id: ac-4.8_gdn name: guidance prose: Organization-defined security or privacy policy filters can address data structures and content. For example, security or privacy policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security or privacy policy filters for data content can check for specific words, enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data refers to digital information without a data structure or with a data structure that does not facilitate the development of rule sets to address the impact or classification level of the information conveyed by the data or the flow enforcement decisions. Unstructured data consists of bitmap objects that are inherently non-language-based (i.e., image, video, or audio files) and textual objects that are based on written or printed languages. Organizations can implement more than one security or privacy policy filter to meet information flow control objectives. - id: ac-4.8_obj name: assessment-objective props: - name: label value: AC-04(08) class: sp800-53a parts: - id: ac-4.8_obj.a name: assessment-objective props: - name: label value: AC-04(08)(a) class: sp800-53a parts: - id: ac-4.8_obj.a-1 name: assessment-objective props: - name: label value: AC-04(08)(a)[01] class: sp800-53a prose: 'information flow control is enforced using {{ insert: param, ac-04.08_odp.01 }} as a basis for flow control decisions for {{ insert: param, ac-04.08_odp.03 }};' links: - href: '#ac-4.8_smt.a' rel: assessment-for - id: ac-4.8_obj.a-2 name: assessment-objective props: - name: label value: AC-04(08)(a)[02] class: sp800-53a prose: 'information flow control is enforced using {{ insert: param, ac-04.08_odp.02 }} as a basis for flow control decisions for {{ insert: param, ac-04.08_odp.04 }};' links: - href: '#ac-4.8_smt.a' rel: assessment-for links: - href: '#ac-4.8_smt.a' rel: assessment-for - id: ac-4.8_obj.b name: assessment-objective props: - name: label value: AC-04(08)(b) class: sp800-53a prose: |- {{ insert: param, ac-04.08_odp.05 }} data after a filter processing failure in accordance with {{ insert: param, ac-04.08_odp.06 }}; {{ insert: param, ac-04.08_odp.05 }} data after a filter processing failure in accordance with {{ insert: param, ac-04.08_odp.07 }}. links: - href: '#ac-4.8_smt.b' rel: assessment-for links: - href: '#ac-4.8_smt' rel: assessment-for - id: ac-4.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy information flow control policies procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation list of security policy filters regulating flow control decisions list of privacy policy filters regulating flow control decisions system audit records system security plan privacy plan other relevant documents or records - id: ac-4.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities system developers - id: ac-4.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(08)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing information flow enforcement policy security and privacy policy filters - id: ac-4.9 class: SP800-53-enhancement title: Human Reviews params: - id: ac-04.09_odp.01 props: - name: alt-identifier value: ac-4.9_prm_1 - name: label value: AC-04(09)_ODP[01] class: sp800-53a label: information flows guidelines: - prose: information flows requiring the use of human reviews are defined; - id: ac-04.09_odp.02 props: - name: alt-identifier value: ac-4.9_prm_2 - name: label value: AC-04(09)_ODP[02] class: sp800-53a label: conditions guidelines: - prose: conditions under which the use of human reviews for information flows are to be enforced are defined; props: - name: label value: AC-04(09) class: zero-padded - name: label value: AC-4(9) - name: label value: AC-04(09) class: sp800-53a - name: sort-id value: ac-04.09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.9_smt name: statement prose: 'Enforce the use of human reviews for {{ insert: param, ac-04.09_odp.01 }} under the following conditions: {{ insert: param, ac-04.09_odp.02 }}.' - id: ac-4.9_gdn name: guidance prose: Organizations define security or privacy policy filters for all situations where automated flow control decisions are possible. When a fully automated flow control decision is not possible, then a human review may be employed in lieu of or as a complement to automated security or privacy policy filtering. Human reviews may also be employed as deemed necessary by organizations. - id: ac-4.9_obj name: assessment-objective props: - name: label value: AC-04(09) class: sp800-53a prose: 'human reviews are used for {{ insert: param, ac-04.09_odp.01 }} under {{ insert: param, ac-04.09_odp.02 }}.' links: - href: '#ac-4.9_smt' rel: assessment-for - id: ac-4.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy information flow control policies procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation records of human reviews regarding information flows list of information flows requiring the use of human reviews list of conditions requiring human reviews for information flows system audit records system security plan privacy plan other relevant documents or records - id: ac-4.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities organizational personnel with information flow enforcement responsibilities system developers - id: ac-4.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(09)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms enforcing the use of human reviews - id: ac-4.10 class: SP800-53-enhancement title: Enable and Disable Security or Privacy Policy Filters params: - id: ac-4.10_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.10_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.10_odp.02 label: organization-defined security or privacy policy filters - id: ac-4.10_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.10_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.10_odp.04 label: organization-defined conditions - id: ac-04.10_odp.01 props: - name: label value: AC-04(10)_ODP[01] class: sp800-53a label: security filters guidelines: - prose: security policy filters that privileged administrators have the capability to enable and disable are defined; - id: ac-04.10_odp.02 props: - name: label value: AC-04(10)_ODP[02] class: sp800-53a label: privacy filters guidelines: - prose: privacy policy filters that privileged administrators have the capability to enable and disable are defined; - id: ac-04.10_odp.03 props: - name: label value: AC-04(10)_ODP[03] class: sp800-53a label: conditions guidelines: - prose: conditions under which privileged administrators have the capability to enable and disable security policy filters are defined; - id: ac-04.10_odp.04 props: - name: label value: AC-04(10)_ODP[04] class: sp800-53a label: conditions guidelines: - prose: conditions under which privileged administrators have the capability to enable and disable privacy policy filters are defined; props: - name: label value: AC-04(10) class: zero-padded - name: label value: AC-4(10) - name: label value: AC-04(10) class: sp800-53a - name: sort-id value: ac-04.10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.10_smt name: statement prose: 'Provide the capability for privileged administrators to enable and disable {{ insert: param, ac-4.10_prm_1 }} under the following conditions: {{ insert: param, ac-4.10_prm_2 }}.' - id: ac-4.10_gdn name: guidance prose: For example, as allowed by the system authorization, administrators can enable security or privacy policy filters to accommodate approved data types. Administrators also have the capability to select the filters that are executed on a specific data flow based on the type of data that is being transferred, the source and destination security domains, and other security or privacy relevant features, as needed. - id: ac-4.10_obj name: assessment-objective props: - name: label value: AC-04(10) class: sp800-53a parts: - id: ac-4.10_obj-1 name: assessment-objective props: - name: label value: AC-04(10)[01] class: sp800-53a prose: 'capability is provided for privileged administrators to enable and disable {{ insert: param, ac-04.10_odp.01 }} under {{ insert: param, ac-04.10_odp.03 }};' links: - href: '#ac-4.10_smt' rel: assessment-for - id: ac-4.10_obj-2 name: assessment-objective props: - name: label value: AC-04(10)[02] class: sp800-53a prose: 'capability is provided for privileged administrators to enable and disable {{ insert: param, ac-04.10_odp.02 }} under {{ insert: param, ac-04.10_odp.04 }}.' links: - href: '#ac-4.10_smt' rel: assessment-for links: - href: '#ac-4.10_smt' rel: assessment-for - id: ac-4.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(10)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy information flow information policies procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation list of security policy filters enabled/disabled by privileged administrators list of privacy policy filters enabled/disabled by privileged administrators list of approved data types for enabling/disabling by privileged administrators system audit records system security plan privacy plan other relevant documents or records - id: ac-4.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(10)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for enabling/disabling security and privacy policy filters system/network administrators organizational personnel with information security and privacy responsibilities system developers - id: ac-4.10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(10)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing information flow enforcement policy security and privacy policy filters - id: ac-4.11 class: SP800-53-enhancement title: Configuration of Security or Privacy Policy Filters params: - id: ac-4.11_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.11_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.11_odp.02 label: organization-defined security or privacy policy filters - id: ac-04.11_odp.01 props: - name: label value: AC-04(11)_ODP[01] class: sp800-53a label: security policy filters guidelines: - prose: security policy filters that privileged administrators have the capability to configure to support different security and privacy policies are defined; - id: ac-04.11_odp.02 props: - name: label value: AC-04(11)_ODP[02] class: sp800-53a label: privacy policy filters guidelines: - prose: privacy policy filters that privileged administrators have the capability to configure to support different security and privacy policies are defined; props: - name: label value: AC-04(11) class: zero-padded - name: label value: AC-4(11) - name: label value: AC-04(11) class: sp800-53a - name: sort-id value: ac-04.11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.11_smt name: statement prose: 'Provide the capability for privileged administrators to configure {{ insert: param, ac-4.11_prm_1 }} to support different security or privacy policies.' - id: ac-4.11_gdn name: guidance prose: Documentation contains detailed information for configuring security or privacy policy filters. For example, administrators can configure security or privacy policy filters to include the list of inappropriate words that security or privacy policy mechanisms check in accordance with the definitions provided by organizations. - id: ac-4.11_obj name: assessment-objective props: - name: label value: AC-04(11) class: sp800-53a parts: - id: ac-4.11_obj-1 name: assessment-objective props: - name: label value: AC-04(11)[01] class: sp800-53a prose: 'capability is provided for privileged administrators to configure {{ insert: param, ac-04.11_odp.01 }} to support different security or privacy policies;' links: - href: '#ac-4.11_smt' rel: assessment-for - id: ac-4.11_obj-2 name: assessment-objective props: - name: label value: AC-04(11)[02] class: sp800-53a prose: 'capability is provided for privileged administrators to configure {{ insert: param, ac-04.11_odp.02 }} to support different security or privacy policies.' links: - href: '#ac-4.11_smt' rel: assessment-for links: - href: '#ac-4.11_smt' rel: assessment-for - id: ac-4.11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(11)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy information flow control policies procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation list of security policy filters list of privacy policy filters system audit records system security plan privacy plan other relevant documents or records - id: ac-4.11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(11)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for configuring security and privacy policy filters system/network administrators organizational personnel with information security and privacy responsibilities system developers - id: ac-4.11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(11)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing information flow enforcement policy security and privacy policy filters - id: ac-4.12 class: SP800-53-enhancement title: Data Type Identifiers params: - id: ac-04.12_odp props: - name: alt-identifier value: ac-4.12_prm_1 - name: label value: AC-04(12)_ODP class: sp800-53a label: data type identifiers guidelines: - prose: data type identifiers to be used to validate data essential for information flow decisions are defined; props: - name: label value: AC-04(12) class: zero-padded - name: label value: AC-4(12) - name: label value: AC-04(12) class: sp800-53a - name: sort-id value: ac-04.12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.12_smt name: statement prose: 'When transferring information between different security domains, use {{ insert: param, ac-04.12_odp }} to validate data essential for information flow decisions.' - id: ac-4.12_gdn name: guidance prose: Data type identifiers include filenames, file types, file signatures or tokens, and multiple internal file signatures or tokens. Systems only allow transfer of data that is compliant with data type format specifications. Identification and validation of data types is based on defined specifications associated with each allowed data format. The filename and number alone are not used for data type identification. Content is validated syntactically and semantically against its specification to ensure that it is the proper data type. - id: ac-4.12_obj name: assessment-objective props: - name: label value: AC-04(12) class: sp800-53a prose: 'when transferring information between different security domains, {{ insert: param, ac-04.12_odp }} are used to validate data essential for information flow decisions.' links: - href: '#ac-4.12_smt' rel: assessment-for - id: ac-4.12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(12)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy information flow control policies procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation list of data type identifiers system audit records system security plan other relevant documents or records - id: ac-4.12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(12)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-4.12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(12)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement policy - id: ac-4.13 class: SP800-53-enhancement title: Decomposition into Policy-relevant Subcomponents params: - id: ac-04.13_odp props: - name: alt-identifier value: ac-4.13_prm_1 - name: label value: AC-04(13)_ODP class: sp800-53a label: policy-relevant subcomponents guidelines: - prose: policy-relevant subcomponents into which to decompose information for submission to policy enforcement mechanisms are defined; props: - name: label value: AC-04(13) class: zero-padded - name: label value: AC-4(13) - name: label value: AC-04(13) class: sp800-53a - name: sort-id value: ac-04.13 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.13_smt name: statement prose: 'When transferring information between different security domains, decompose information into {{ insert: param, ac-04.13_odp }} for submission to policy enforcement mechanisms.' - id: ac-4.13_gdn name: guidance prose: Decomposing information into policy-relevant subcomponents prior to information transfer facilitates policy decisions on source, destination, certificates, classification, attachments, and other security- or privacy-related component differentiators. Policy enforcement mechanisms apply filtering, inspection, and/or sanitization rules to the policy-relevant subcomponents of information to facilitate flow enforcement prior to transferring such information to different security domains. - id: ac-4.13_obj name: assessment-objective props: - name: label value: AC-04(13) class: sp800-53a prose: 'when transferring information between different security domains, information is decomposed into {{ insert: param, ac-04.13_odp }} for submission to policy enforcement mechanisms.' links: - href: '#ac-4.13_smt' rel: assessment-for - id: ac-4.13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(13)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy information flow control policies procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-4.13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(13)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-4.13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(13)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement policy - id: ac-4.14 class: SP800-53-enhancement title: Security or Privacy Policy Filter Constraints params: - id: ac-4.14_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.14_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.14_odp.02 label: organization-defined security or privacy policy filters - id: ac-04.14_odp.01 props: - name: label value: AC-04(14)_ODP[01] class: sp800-53a label: security policy filters guidelines: - prose: security policy filters to be implemented that require fully enumerated formats restricting data structure and content have been defined; - id: ac-04.14_odp.02 props: - name: label value: AC-04(14)_ODP[02] class: sp800-53a label: privacy policy filters guidelines: - prose: privacy policy filters to be implemented that require fully enumerated formats restricting data structure and content are defined; props: - name: label value: AC-04(14) class: zero-padded - name: label value: AC-4(14) - name: label value: AC-04(14) class: sp800-53a - name: sort-id value: ac-04.14 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.14_smt name: statement prose: 'When transferring information between different security domains, implement {{ insert: param, ac-4.14_prm_1 }} requiring fully enumerated formats that restrict data structure and content.' - id: ac-4.14_gdn name: guidance prose: Data structure and content restrictions reduce the range of potential malicious or unsanctioned content in cross-domain transactions. Security or privacy policy filters that restrict data structures include restricting file sizes and field lengths. Data content policy filters include encoding formats for character sets, restricting character data fields to only contain alpha-numeric characters, prohibiting special characters, and validating schema structures. - id: ac-4.14_obj name: assessment-objective props: - name: label value: AC-04(14) class: sp800-53a parts: - id: ac-4.14_obj-1 name: assessment-objective props: - name: label value: AC-04(14)[01] class: sp800-53a prose: 'when transferring information between different security domains, implemented {{ insert: param, ac-04.14_odp.01 }} require fully enumerated formats that restrict data structure and content;' links: - href: '#ac-4.14_smt' rel: assessment-for - id: ac-4.14_obj-2 name: assessment-objective props: - name: label value: AC-04(14)[02] class: sp800-53a prose: 'when transferring information between different security domains, implemented {{ insert: param, ac-04.14_odp.02 }} require fully enumerated formats that restrict data structure and content.' links: - href: '#ac-4.14_smt' rel: assessment-for links: - href: '#ac-4.14_smt' rel: assessment-for - id: ac-4.14_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(14)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy information flow control policies procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation list of security and privacy policy filters list of data structure policy filters list of data content policy filters system audit records system security plan privacy plan other relevant documents or records - id: ac-4.14_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(14)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities system developers - id: ac-4.14_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(14)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing information flow enforcement policy security and privacy policy filters - id: ac-4.15 class: SP800-53-enhancement title: Detection of Unsanctioned Information params: - id: ac-4.15_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.15_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.15_odp.03 label: organization-defined security or privacy policy - id: ac-04.15_odp.01 props: - name: alt-identifier value: ac-4.15_prm_1 - name: label value: AC-04(15)_ODP[01] class: sp800-53a label: unsanctioned information guidelines: - prose: unsanctioned information to be detected is defined; - id: ac-04.15_odp.02 props: - name: label value: AC-04(15)_ODP[02] class: sp800-53a label: security policy guidelines: - prose: security policy that requires the transfer of unsanctioned information between different security domains to be prohibited is defined (if selected); - id: ac-04.15_odp.03 props: - name: label value: AC-04(15)_ODP[03] class: sp800-53a label: privacy policy guidelines: - prose: privacy policy that requires the transfer of organization-defined unsanctioned information between different security domains to be prohibited is defined (if selected); props: - name: label value: AC-04(15) class: zero-padded - name: label value: AC-4(15) - name: label value: AC-04(15) class: sp800-53a - name: sort-id value: ac-04.15 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required - href: '#si-3' rel: related parts: - id: ac-4.15_smt name: statement prose: 'When transferring information between different security domains, examine the information for the presence of {{ insert: param, ac-04.15_odp.01 }} and prohibit the transfer of such information in accordance with the {{ insert: param, ac-4.15_prm_2 }}.' - id: ac-4.15_gdn name: guidance prose: Unsanctioned information includes malicious code, information that is inappropriate for release from the source network, or executable code that could disrupt or harm the services or systems on the destination network. - id: ac-4.15_obj name: assessment-objective props: - name: label value: AC-04(15) class: sp800-53a parts: - id: ac-4.15_obj-1 name: assessment-objective props: - name: label value: AC-04(15)[01] class: sp800-53a prose: 'when transferring information between different security domains, information is examined for the presence of {{ insert: param, ac-04.15_odp.01 }};' links: - href: '#ac-4.15_smt' rel: assessment-for - id: ac-4.15_obj-2 name: assessment-objective props: - name: label value: AC-04(15)[02] class: sp800-53a prose: 'when transferring information between different security domains, transfer of {{ insert: param, ac-04.15_odp.01 }} is prohibited in accordance with the {{ insert: param, ac-04.15_odp.02 }};' links: - href: '#ac-4.15_smt' rel: assessment-for - id: ac-4.15_obj-3 name: assessment-objective props: - name: label value: AC-04(15)[03] class: sp800-53a prose: 'when transferring information between different security domains, transfer of {{ insert: param, ac-04.15_odp.01 }} is prohibited in accordance with the {{ insert: param, ac-04.15_odp.03 }}.' links: - href: '#ac-4.15_smt' rel: assessment-for links: - href: '#ac-4.15_smt' rel: assessment-for - id: ac-4.15_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(15)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy information flow control policies procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation list of unsanctioned information types and associated information system audit records system security plan privacy plan other relevant documents or records - id: ac-4.15_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(15)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security responsibilities organizational personnel with privacy responsibilities system developers - id: ac-4.15_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(15)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement policy - id: ac-4.16 class: SP800-53-enhancement title: Information Transfers on Interconnected Systems props: - name: label value: AC-04(16) class: zero-padded - name: label value: AC-4(16) - name: label value: AC-04(16) class: sp800-53a - name: sort-id value: ac-04.16 - name: status value: withdrawn links: - href: '#ac-4' rel: incorporated-into - id: ac-4.17 class: SP800-53-enhancement title: Domain Authentication params: - id: ac-04.17_odp props: - name: alt-identifier value: ac-4.17_prm_1 - name: label value: AC-04(17)_ODP class: sp800-53a select: how-many: one-or-more choice: - organization, system, application, service, individual props: - name: label value: AC-04(17) class: zero-padded - name: label value: AC-4(17) - name: label value: AC-04(17) class: sp800-53a - name: sort-id value: ac-04.17 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required - href: '#ia-2' rel: related - href: '#ia-3' rel: related - href: '#ia-9' rel: related parts: - id: ac-4.17_smt name: statement prose: 'Uniquely identify and authenticate source and destination points by {{ insert: param, ac-04.17_odp }} for information transfer.' - id: ac-4.17_gdn name: guidance prose: Attribution is a critical component of a security and privacy concept of operations. The ability to identify source and destination points for information flowing within systems allows the forensic reconstruction of events and encourages policy compliance by attributing policy violations to specific organizations or individuals. Successful domain authentication requires that system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information. Attribution also allows organizations to better maintain the lineage of personally identifiable information processing as it flows through systems and can facilitate consent tracking, as well as correction, deletion, or access requests from individuals. - id: ac-4.17_obj name: assessment-objective props: - name: label value: AC-04(17) class: sp800-53a prose: 'source and destination points are uniquely identified and authenticated by {{ insert: param, ac-04.17_odp }} for information transfer.' links: - href: '#ac-4.17_smt' rel: assessment-for - id: ac-4.17_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(17)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy information flow control policies procedures addressing information flow enforcement procedures addressing source and destination domain identification and authentication system design documentation system configuration settings and associated documentation system audit records list of system labels system security plan privacy plan other relevant documents or records - id: ac-4.17_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(17)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities system developers - id: ac-4.17_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(17)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement policy - id: ac-4.18 class: SP800-53-enhancement title: Security Attribute Binding props: - name: label value: AC-04(18) class: zero-padded - name: label value: AC-4(18) - name: label value: AC-04(18) class: sp800-53a - name: sort-id value: ac-04.18 - name: status value: withdrawn links: - href: '#ac-16' rel: incorporated-into - id: ac-4.19 class: SP800-53-enhancement title: Validation of Metadata params: - id: ac-4.19_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.19_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.19_odp.02 label: organization-defined security or privacy policy filters - id: ac-04.19_odp.01 props: - name: label value: AC-04(19)_ODP[01] class: sp800-53a label: security policy filters guidelines: - prose: security policy filters to be implemented on metadata are defined (if selected); - id: ac-04.19_odp.02 props: - name: label value: AC-04(19)_ODP[02] class: sp800-53a label: privacy policy filters guidelines: - prose: privacy policy filters to be implemented on metadata are defined (if selected); props: - name: label value: AC-04(19) class: zero-padded - name: label value: AC-4(19) - name: label value: AC-04(19) class: sp800-53a - name: sort-id value: ac-04.19 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.19_smt name: statement prose: 'When transferring information between different security domains, implement {{ insert: param, ac-4.19_prm_1 }} on metadata.' - id: ac-4.19_gdn name: guidance prose: All information (including metadata and the data to which the metadata applies) is subject to filtering and inspection. Some organizations distinguish between metadata and data payloads (i.e., only the data to which the metadata is bound). Other organizations do not make such distinctions and consider metadata and the data to which the metadata applies to be part of the payload. - id: ac-4.19_obj name: assessment-objective props: - name: label value: AC-04(19) class: sp800-53a parts: - id: ac-4.19_obj-1 name: assessment-objective props: - name: label value: AC-04(19)[01] class: sp800-53a prose: 'when transferring information between different security domains, {{ insert: param, ac-04.19_odp.01 }} are implemented on metadata;' links: - href: '#ac-4.19_smt' rel: assessment-for - id: ac-4.19_obj-2 name: assessment-objective props: - name: label value: AC-04(19)[02] class: sp800-53a prose: 'when transferring information between different security domains, {{ insert: param, ac-04.19_odp.02 }} are implemented on metadata.' links: - href: '#ac-4.19_smt' rel: assessment-for links: - href: '#ac-4.19_smt' rel: assessment-for - id: ac-4.19_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(19)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information flow enforcement policy information flow control policies procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation list of security policy filtering criteria applied to metadata and data payloads system audit records system security plan privacy plan other relevant documents or records - id: ac-4.19_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(19)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information flow enforcement responsibilities system/network administrators organizational personnel with information security responsibilities organizational personnel with privacy responsibilities system developers - id: ac-4.19_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(19)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing information flow enforcement functions security and policy filters - id: ac-4.20 class: SP800-53-enhancement title: Approved Solutions params: - id: ac-04.20_odp.01 props: - name: alt-identifier value: ac-4.20_prm_1 - name: label value: AC-04(20)_ODP[01] class: sp800-53a label: solutions in approved configurations guidelines: - prose: solutions in approved configurations to control the flow of information across security domains are defined; - id: ac-04.20_odp.02 props: - name: alt-identifier value: ac-4.20_prm_2 - name: label value: AC-04(20)_ODP[02] class: sp800-53a label: information guidelines: - prose: information to be controlled when it flows across security domains is defined; props: - name: label value: AC-04(20) class: zero-padded - name: label value: AC-4(20) - name: label value: AC-04(20) class: sp800-53a - name: sort-id value: ac-04.20 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-4' rel: required parts: - id: ac-4.20_smt name: statement prose: 'Employ {{ insert: param, ac-04.20_odp.01 }} to control the flow of {{ insert: param, ac-04.20_odp.02 }} across security domains.' - id: ac-4.20_gdn name: guidance prose: Organizations define approved solutions and configurations in cross-domain policies and guidance in accordance with the types of information flows across classification boundaries. The National Security Agency (NSA) National Cross Domain Strategy and Management Office provides a listing of approved cross-domain solutions. Contact [ncdsmo@nsa.gov](mailto:ncdsmo@nsa.gov) for more information. - id: ac-4.20_obj name: assessment-objective props: - name: label value: AC-04(20) class: sp800-53a prose: '{{ insert: param, ac-04.20_odp.01 }} are employed to control the flow of {{ insert: param, ac-04.20_odp.02 }} across security domains.' links: - href: '#ac-4.20_smt' rel: assessment-for - id: ac-4.20_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(20)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information flow enforcement policy information flow control policies procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation list of solutions in approved configurations approved configuration baselines system audit records system security plan other relevant documents or records - id: ac-4.20_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(20)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information flow enforcement responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-4.20_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(20)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement functions - id: ac-4.21 class: SP800-53-enhancement title: Physical or Logical Separation of Information Flows params: - id: ac-4.21_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.21_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-04.21_odp.02 label: organization-defined mechanisms and/or techniques - id: ac-04.21_odp.01 props: - name: label value: AC-04(21)_ODP[01] class: sp800-53a label: mechanisms and/or techniques guidelines: - prose: mechanisms and/or techniques used to logically separate information flows are defined (if selected); - id: ac-04.21_odp.02 props: - name: label value: AC-04(21)_ODP[02] class: sp800-53a label: mechanisms and/or techniques guidelines: - prose: mechanisms and/or techniques used to physically separate information flows are defined (if selected); - id: ac-04.21_odp.03 props: - name: alt-identifier value: ac-4.21_prm_2 - name: alt-label value: required separations by types of information class: sp800-53 - name: label value: AC-04(21)_ODP[03] class: sp800-53a label: required separations guidelines: - prose: required separations by types of information are defined; props: - name: label value: AC-04(21) class: zero-padded - name: label value: AC-4(21) - name: label value: AC-04(21) class: sp800-53a - name: sort-id value: ac-04.21 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required - href: '#sc-32' rel: related parts: - id: ac-4.21_smt name: statement prose: 'Separate information flows logically or physically using {{ insert: param, ac-4.21_prm_1 }} to accomplish {{ insert: param, ac-04.21_odp.03 }}.' - id: ac-4.21_gdn name: guidance prose: Enforcing the separation of information flows associated with defined types of data can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths that are not otherwise achievable. Types of separable information include inbound and outbound communications traffic, service requests and responses, and information of differing security impact or classification levels. - id: ac-4.21_obj name: assessment-objective props: - name: label value: AC-04(21) class: sp800-53a parts: - id: ac-4.21_obj-1 name: assessment-objective props: - name: label value: AC-04(21)[01] class: sp800-53a prose: 'information flows are separated logically using {{ insert: param, ac-04.21_odp.01 }} to accomplish {{ insert: param, ac-04.21_odp.03 }};' links: - href: '#ac-4.21_smt' rel: assessment-for - id: ac-4.21_obj-2 name: assessment-objective props: - name: label value: AC-04(21)[02] class: sp800-53a prose: 'information flows are separated physically using {{ insert: param, ac-04.21_odp.02 }} to accomplish {{ insert: param, ac-04.21_odp.03 }}.' links: - href: '#ac-4.21_smt' rel: assessment-for links: - href: '#ac-4.21_smt' rel: assessment-for - id: ac-4.21_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(21)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information flow enforcement policy information flow control policies procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation list of required separation of information flows by information types list of mechanisms and/or techniques used to logically or physically separate information flows system audit records system security plan other relevant documents or records - id: ac-4.21_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(21)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information flow enforcement responsibilities system/network administrators organizational personnel with information security responsibilities system developers - id: ac-4.21_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(21)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement functions - id: ac-4.22 class: SP800-53-enhancement title: Access Only props: - name: label value: AC-04(22) class: zero-padded - name: label value: AC-4(22) - name: label value: AC-04(22) class: sp800-53a - name: sort-id value: ac-04.22 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.22_smt name: statement prose: Provide access from a single device to computing platforms, applications, or data residing in multiple different security domains, while preventing information flow between the different security domains. - id: ac-4.22_gdn name: guidance prose: The system provides a capability for users to access each connected security domain without providing any mechanisms to allow users to transfer data or information between the different security domains. An example of an access-only solution is a terminal that provides a user access to information with different security classifications while assuredly keeping the information separate. - id: ac-4.22_obj name: assessment-objective props: - name: label value: AC-04(22) class: sp800-53a prose: access is provided from a single device to computing platforms, applications, or data that reside in multiple different security domains while preventing information flow between the different security domains. links: - href: '#ac-4.22_smt' rel: assessment-for - id: ac-4.22_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(22)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information flow enforcement policy procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-4.22_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(22)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information flow enforcement responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-4.22_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(22)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement functions - id: ac-4.23 class: SP800-53-enhancement title: Modify Non-releasable Information params: - id: ac-04.23_odp props: - name: alt-identifier value: ac-4.23_prm_1 - name: label value: AC-04(23)_ODP class: sp800-53a label: modification action guidelines: - prose: modification action implemented on non-releasable information is defined; props: - name: label value: AC-04(23) class: zero-padded - name: label value: AC-4(23) - name: label value: AC-04(23) class: sp800-53a - name: sort-id value: ac-04.23 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.23_smt name: statement prose: 'When transferring information between different security domains, modify non-releasable information by implementing {{ insert: param, ac-04.23_odp }}.' - id: ac-4.23_gdn name: guidance prose: Modifying non-releasable information can help prevent a data spill or attack when information is transferred across security domains. Modification actions include masking, permutation, alteration, removal, or redaction. - id: ac-4.23_obj name: assessment-objective props: - name: label value: AC-04(23) class: sp800-53a prose: 'when transferring information between security domains, non-releasable information is modified by implementing {{ insert: param, ac-04.23_odp }}.' links: - href: '#ac-4.23_smt' rel: assessment-for - id: ac-4.23_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(23)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information flow enforcement policy procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-4.23_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(23)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information flow enforcement responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-4.23_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(23)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement functions - id: ac-4.24 class: SP800-53-enhancement title: Internal Normalized Format props: - name: label value: AC-04(24) class: zero-padded - name: label value: AC-4(24) - name: label value: AC-04(24) class: sp800-53a - name: sort-id value: ac-04.24 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.24_smt name: statement prose: When transferring information between different security domains, parse incoming data into an internal normalized format and regenerate the data to be consistent with its intended specification. - id: ac-4.24_gdn name: guidance prose: Converting data into normalized forms is one of most of effective mechanisms to stop malicious attacks and large classes of data exfiltration. - id: ac-4.24_obj name: assessment-objective props: - name: label value: AC-04(24) class: sp800-53a parts: - id: ac-4.24_obj-1 name: assessment-objective props: - name: label value: AC-04(24)[01] class: sp800-53a prose: when transferring information between different security domains, incoming data is parsed into an internal, normalized format; links: - href: '#ac-4.24_smt' rel: assessment-for - id: ac-4.24_obj-2 name: assessment-objective props: - name: label value: AC-04(24)[02] class: sp800-53a prose: when transferring information between different security domains, the data is regenerated to be consistent with its intended specification. links: - href: '#ac-4.24_smt' rel: assessment-for links: - href: '#ac-4.24_smt' rel: assessment-for - id: ac-4.24_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(24)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information flow enforcement policy procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-4.24_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(24)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information flow enforcement responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-4.24_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(24)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement functions - id: ac-4.25 class: SP800-53-enhancement title: Data Sanitization params: - id: ac-04.25_odp.01 props: - name: alt-identifier value: ac-4.25_prm_1 - name: label value: AC-04(25)_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - delivery of malicious content, command and control of malicious code, malicious code augmentation, and steganography-encoded data - spillage of sensitive information - id: ac-04.25_odp.02 props: - name: alt-identifier value: ac-4.25_prm_2 - name: label value: AC-04(25)_ODP[02] class: sp800-53a label: policy guidelines: - prose: policy for sanitizing data is defined; props: - name: label value: AC-04(25) class: zero-padded - name: label value: AC-4(25) - name: label value: AC-04(25) class: sp800-53a - name: sort-id value: ac-04.25 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required - href: '#mp-6' rel: related parts: - id: ac-4.25_smt name: statement prose: 'When transferring information between different security domains, sanitize data to minimize {{ insert: param, ac-04.25_odp.01 }} in accordance with {{ insert: param, ac-04.25_odp.02 }}.' - id: ac-4.25_gdn name: guidance prose: Data sanitization is the process of irreversibly removing or destroying data stored on a memory device (e.g., hard drives, flash memory/solid state drives, mobile devices, CDs, and DVDs) or in hard copy form. - id: ac-4.25_obj name: assessment-objective props: - name: label value: AC-04(25) class: sp800-53a prose: 'when transferring information between different security domains, data is sanitized to minimize {{ insert: param, ac-04.25_odp.01 }} in accordance with {{ insert: param, ac-04.25_odp.02 }}.' links: - href: '#ac-4.25_smt' rel: assessment-for - id: ac-4.25_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(25)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information flow enforcement policy procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-4.25_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(25)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information flow enforcement responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-4.25_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(25)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement functions - id: ac-4.26 class: SP800-53-enhancement title: Audit Filtering Actions props: - name: label value: AC-04(26) class: zero-padded - name: label value: AC-4(26) - name: label value: AC-04(26) class: sp800-53a - name: sort-id value: ac-04.26 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required - href: '#au-2' rel: related - href: '#au-3' rel: related - href: '#au-12' rel: related parts: - id: ac-4.26_smt name: statement prose: When transferring information between different security domains, record and audit content filtering actions and results for the information being filtered. - id: ac-4.26_gdn name: guidance prose: Content filtering is the process of inspecting information as it traverses a cross-domain solution and determines if the information meets a predefined policy. Content filtering actions and the results of filtering actions are recorded for individual messages to ensure that the correct filter actions were applied. Content filter reports are used to assist in troubleshooting actions by, for example, determining why message content was modified and/or why it failed the filtering process. Audit events are defined in [AU-2](#au-2) . Audit records are generated in [AU-12](#au-12). - id: ac-4.26_obj name: assessment-objective props: - name: label value: AC-04(26) class: sp800-53a parts: - id: ac-4.26_obj-1 name: assessment-objective props: - name: label value: AC-04(26)[01] class: sp800-53a prose: when transferring information between different security domains, content-filtering actions are recorded and audited; links: - href: '#ac-4.26_smt' rel: assessment-for - id: ac-4.26_obj-2 name: assessment-objective props: - name: label value: AC-04(26)[02] class: sp800-53a prose: when transferring information between different security domains, results for the information being filtered are recorded and audited. links: - href: '#ac-4.26_smt' rel: assessment-for links: - href: '#ac-4.26_smt' rel: assessment-for - id: ac-4.26_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(26)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information flow enforcement policy procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-4.26_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(26)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information flow enforcement responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-4.26_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(26)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing information flow enforcement functions mechanisms implementing content filtering mechanisms recording and auditing content filtering - id: ac-4.27 class: SP800-53-enhancement title: Redundant/Independent Filtering Mechanisms props: - name: label value: AC-04(27) class: zero-padded - name: label value: AC-4(27) - name: label value: AC-04(27) class: sp800-53a - name: sort-id value: ac-04.27 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.27_smt name: statement prose: When transferring information between different security domains, implement content filtering solutions that provide redundant and independent filtering mechanisms for each data type. - id: ac-4.27_gdn name: guidance prose: Content filtering is the process of inspecting information as it traverses a cross-domain solution and determines if the information meets a predefined policy. Redundant and independent content filtering eliminates a single point of failure filtering system. Independence is defined as the implementation of a content filter that uses a different code base and supporting libraries (e.g., two JPEG filters using different vendors’ JPEG libraries) and multiple, independent system processes. - id: ac-4.27_obj name: assessment-objective props: - name: label value: AC-04(27) class: sp800-53a prose: when transferring information between security domains, implemented content filtering solutions provide redundant and independent filtering mechanisms for each data type. links: - href: '#ac-4.27_smt' rel: assessment-for - id: ac-4.27_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(27)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information flow enforcement policy procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-4.27_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(27)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information flow enforcement responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-4.27_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(27)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement functions - id: ac-4.28 class: SP800-53-enhancement title: Linear Filter Pipelines props: - name: label value: AC-04(28) class: zero-padded - name: label value: AC-4(28) - name: label value: AC-04(28) class: sp800-53a - name: sort-id value: ac-04.28 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.28_smt name: statement prose: When transferring information between different security domains, implement a linear content filter pipeline that is enforced with discretionary and mandatory access controls. - id: ac-4.28_gdn name: guidance prose: Content filtering is the process of inspecting information as it traverses a cross-domain solution and determines if the information meets a predefined policy. The use of linear content filter pipelines ensures that filter processes are non-bypassable and always invoked. In general, the use of parallel filtering architectures for content filtering of a single data type introduces bypass and non-invocation issues. - id: ac-4.28_obj name: assessment-objective props: - name: label value: AC-04(28) class: sp800-53a prose: when transferring information between security domains, a linear content filter pipeline is implemented that is enforced with discretionary and mandatory access controls. links: - href: '#ac-4.28_smt' rel: assessment-for - id: ac-4.28_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(28)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information flow enforcement policy procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-4.28_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(28)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information flow enforcement responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-4.28_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(28)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing information flow enforcement functions mechanisms implementing linear content filters - id: ac-4.29 class: SP800-53-enhancement title: Filter Orchestration Engines params: - id: ac-04.29_odp props: - name: alt-identifier value: ac-4.29_prm_1 - name: label value: AC-04(29)_ODP class: sp800-53a label: policy guidelines: - prose: policy for content-filtering actions is defined; props: - name: label value: AC-04(29) class: zero-padded - name: label value: AC-4(29) - name: label value: AC-04(29) class: sp800-53a - name: sort-id value: ac-04.29 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.29_smt name: statement prose: 'When transferring information between different security domains, employ content filter orchestration engines to ensure that:' parts: - id: ac-4.29_smt.a name: item props: - name: label value: (a) prose: Content filtering mechanisms successfully complete execution without errors; and - id: ac-4.29_smt.b name: item props: - name: label value: (b) prose: 'Content filtering actions occur in the correct order and comply with {{ insert: param, ac-04.29_odp }}.' - id: ac-4.29_gdn name: guidance prose: Content filtering is the process of inspecting information as it traverses a cross-domain solution and determines if the information meets a predefined security policy. An orchestration engine coordinates the sequencing of activities (manual and automated) in a content filtering process. Errors are defined as either anomalous actions or unexpected termination of the content filter process. This is not the same as a filter failing content due to non-compliance with policy. Content filter reports are a commonly used mechanism to ensure that expected filtering actions are completed successfully. - id: ac-4.29_obj name: assessment-objective props: - name: label value: AC-04(29) class: sp800-53a parts: - id: ac-4.29_obj.a name: assessment-objective props: - name: label value: AC-04(29)(a) class: sp800-53a prose: when transferring information between security domains, content filter orchestration engines are employed to ensure that content-filtering mechanisms successfully complete execution without errors; links: - href: '#ac-4.29_smt.a' rel: assessment-for - id: ac-4.29_obj.b name: assessment-objective props: - name: label value: AC-04(29)(b) class: sp800-53a parts: - id: ac-4.29_obj.b-1 name: assessment-objective props: - name: label value: AC-04(29)(b)[01] class: sp800-53a prose: when transferring information between security domains, content filter orchestration engines are employed to ensure that content-filtering actions occur in the correct order; links: - href: '#ac-4.29_smt.b' rel: assessment-for - id: ac-4.29_obj.b-2 name: assessment-objective props: - name: label value: AC-04(29)(b)[02] class: sp800-53a prose: 'when transferring information between security domains, content filter orchestration engines are employed to ensure that content-filtering actions comply with {{ insert: param, ac-04.29_odp }}.' links: - href: '#ac-4.29_smt.b' rel: assessment-for links: - href: '#ac-4.29_smt.b' rel: assessment-for links: - href: '#ac-4.29_smt' rel: assessment-for - id: ac-4.29_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(29)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information flow enforcement policy procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-4.29_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(29)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information flow enforcement responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-4.29_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(29)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing information flow enforcement functions mechanisms implementing content filter orchestration engines - id: ac-4.30 class: SP800-53-enhancement title: Filter Mechanisms Using Multiple Processes props: - name: label value: AC-04(30) class: zero-padded - name: label value: AC-4(30) - name: label value: AC-04(30) class: sp800-53a - name: sort-id value: ac-04.30 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.30_smt name: statement prose: When transferring information between different security domains, implement content filtering mechanisms using multiple processes. - id: ac-4.30_gdn name: guidance prose: The use of multiple processes to implement content filtering mechanisms reduces the likelihood of a single point of failure. - id: ac-4.30_obj name: assessment-objective props: - name: label value: AC-04(30) class: sp800-53a prose: when transferring information between security domains, content-filtering mechanisms using multiple processes are implemented. links: - href: '#ac-4.30_smt' rel: assessment-for - id: ac-4.30_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(30)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information flow enforcement policy procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-4.30_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(30)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information flow enforcement responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-4.30_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(30)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing information flow enforcement functions mechanisms implementing content filtering - id: ac-4.31 class: SP800-53-enhancement title: Failed Content Transfer Prevention props: - name: label value: AC-04(31) class: zero-padded - name: label value: AC-4(31) - name: label value: AC-04(31) class: sp800-53a - name: sort-id value: ac-04.31 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.31_smt name: statement prose: When transferring information between different security domains, prevent the transfer of failed content to the receiving domain. - id: ac-4.31_gdn name: guidance prose: Content that failed filtering checks can corrupt the system if transferred to the receiving domain. - id: ac-4.31_obj name: assessment-objective props: - name: label value: AC-04(31) class: sp800-53a prose: when transferring information between different security domains, the transfer of failed content to the receiving domain is prevented. links: - href: '#ac-4.31_smt' rel: assessment-for - id: ac-4.31_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(31)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information flow enforcement policy procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-4.31_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(31)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information flow enforcement responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-4.31_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(31)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing information flow enforcement functions - id: ac-4.32 class: SP800-53-enhancement title: Process Requirements for Information Transfer props: - name: label value: AC-04(32) class: zero-padded - name: label value: AC-4(32) - name: label value: AC-04(32) class: sp800-53a - name: sort-id value: ac-04.32 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-4' rel: required parts: - id: ac-4.32_smt name: statement prose: 'When transferring information between different security domains, the process that transfers information between filter pipelines:' parts: - id: ac-4.32_smt.a name: item props: - name: label value: (a) prose: Does not filter message content; - id: ac-4.32_smt.b name: item props: - name: label value: (b) prose: Validates filtering metadata; - id: ac-4.32_smt.c name: item props: - name: label value: (c) prose: Ensures the content associated with the filtering metadata has successfully completed filtering; and - id: ac-4.32_smt.d name: item props: - name: label value: (d) prose: Transfers the content to the destination filter pipeline. - id: ac-4.32_gdn name: guidance prose: The processes transferring information between filter pipelines have minimum complexity and functionality to provide assurance that the processes operate correctly. - id: ac-4.32_obj name: assessment-objective props: - name: label value: AC-04(32) class: sp800-53a parts: - id: ac-4.32_obj.a name: assessment-objective props: - name: label value: AC-04(32)(a) class: sp800-53a prose: when transferring information between different security domains, the process that transfers information between filter pipelines does not filter message content; links: - href: '#ac-4.32_smt.a' rel: assessment-for - id: ac-4.32_obj.b name: assessment-objective props: - name: label value: AC-04(32)(b) class: sp800-53a prose: when transferring information between different security domains, the process that transfers information between filter pipelines validates filtering metadata; links: - href: '#ac-4.32_smt.b' rel: assessment-for - id: ac-4.32_obj.c name: assessment-objective props: - name: label value: AC-04(32)(c) class: sp800-53a prose: when transferring information between different security domains, the process that transfers information between filter pipelines ensures that the content with the filtering metadata has successfully completed filtering; links: - href: '#ac-4.32_smt.c' rel: assessment-for - id: ac-4.32_obj.d name: assessment-objective props: - name: label value: AC-04(32)(d) class: sp800-53a prose: when transferring information between different security domains, the process that transfers information between filter pipelines transfers the content to the destination filter pipeline. links: - href: '#ac-4.32_smt.d' rel: assessment-for links: - href: '#ac-4.32_smt' rel: assessment-for - id: ac-4.32_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-04(32)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information flow enforcement policy procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-4.32_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-04(32)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information flow enforcement responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-4.32_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-04(32)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing information flow enforcement functions mechanisms implementing content filtering - id: ac-5 class: SP800-53 title: Separation of Duties params: - id: ac-05_odp props: - name: alt-identifier value: ac-5_prm_1 - name: alt-label value: duties of individuals requiring separation class: sp800-53 - name: label value: AC-05_ODP class: sp800-53a label: duties of individuals guidelines: - prose: duties of individuals requiring separation are defined; props: - name: label value: AC-05 class: zero-padded - name: label value: AC-5 - name: label value: AC-05 class: sp800-53a - name: sort-id value: ac-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-6' rel: related - href: '#au-9' rel: related - href: '#cm-5' rel: related - href: '#cm-11' rel: related - href: '#cp-9' rel: related - href: '#ia-2' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: '#ia-12' rel: related - href: '#ma-3' rel: related - href: '#ma-5' rel: related - href: '#ps-2' rel: related - href: '#sa-8' rel: related - href: '#sa-17' rel: related parts: - id: ac-5_smt name: statement parts: - id: ac-5_smt.a name: item props: - name: label value: a. prose: 'Identify and document {{ insert: param, ac-05_odp }} ; and' - id: ac-5_smt.b name: item props: - name: label value: b. prose: Define system access authorizations to support separation of duties. - id: ac-5_gdn name: guidance prose: Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes dividing mission or business functions and support functions among different individuals or roles, conducting system support functions with different individuals, and ensuring that security personnel who administer access control functions do not also administer audit functions. Because separation of duty violations can span systems and application domains, organizations consider the entirety of systems and system components when developing policy on separation of duties. Separation of duties is enforced through the account management activities in [AC-2](#ac-2) , access control mechanisms in [AC-3](#ac-3) , and identity management activities in [IA-2](#ia-2), [IA-4](#ia-4) , and [IA-12](#ia-12). - id: ac-5_obj name: assessment-objective props: - name: label value: AC-05 class: sp800-53a parts: - id: ac-5_obj.a name: assessment-objective props: - name: label value: AC-05a. class: sp800-53a prose: '{{ insert: param, ac-05_odp }} are identified and documented;' links: - href: '#ac-5_smt.a' rel: assessment-for - id: ac-5_obj.b name: assessment-objective props: - name: label value: AC-05b. class: sp800-53a prose: system access authorizations to support separation of duties are defined. links: - href: '#ac-5_smt.b' rel: assessment-for links: - href: '#ac-5_smt' rel: assessment-for - id: ac-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-05-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing divisions of responsibility and separation of duties system configuration settings and associated documentation list of divisions of responsibility and separation of duties system access authorizations system audit records system security plan other relevant documents or records - id: ac-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-05-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for defining appropriate divisions of responsibility and separation of duties organizational personnel with information security responsibilities system/network administrators - id: ac-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-05-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing separation of duties policy - id: ac-6 class: SP800-53 title: Least Privilege props: - name: label value: AC-06 class: zero-padded - name: label value: AC-6 - name: label value: AC-06 class: sp800-53a - name: sort-id value: ac-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-5' rel: related - href: '#ac-16' rel: related - href: '#cm-5' rel: related - href: '#cm-11' rel: related - href: '#pl-2' rel: related - href: '#pm-12' rel: related - href: '#sa-8' rel: related - href: '#sa-15' rel: related - href: '#sa-17' rel: related - href: '#sc-38' rel: related parts: - id: ac-6_smt name: statement prose: Employ the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks. - id: ac-6_gdn name: guidance prose: Organizations employ least privilege for specific duties and systems. The principle of least privilege is also applied to system processes, ensuring that the processes have access to systems and operate at privilege levels no higher than necessary to accomplish organizational missions or business functions. Organizations consider the creation of additional processes, roles, and accounts as necessary to achieve least privilege. Organizations apply least privilege to the development, implementation, and operation of organizational systems. - id: ac-6_obj name: assessment-objective props: - name: label value: AC-06 class: sp800-53a prose: the principle of least privilege is employed, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks. links: - href: '#ac-6_smt' rel: assessment-for - id: ac-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing least privilege list of assigned access authorizations (user privileges) system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system/network administrators - id: ac-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing least privilege functions controls: - id: ac-6.1 class: SP800-53-enhancement title: Authorize Access to Security Functions params: - id: ac-6.1_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-06.01_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-06.01_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-06.01_odp.04 label: organization-defined security functions (deployed in hardware, software, and firmware) - id: ac-06.01_odp.01 props: - name: alt-identifier value: ac-6.1_prm_1 - name: alt-label value: individuals or roles class: sp800-53 - name: label value: AC-06(01)_ODP[01] class: sp800-53a label: individuals and roles guidelines: - prose: individuals and roles with authorized access to security functions and security-relevant information are defined; - id: ac-06.01_odp.02 props: - name: label value: AC-06(01)_ODP[02] class: sp800-53a label: security functions (deployed in hardware) guidelines: - prose: security functions (deployed in hardware) for authorized access are defined; - id: ac-06.01_odp.03 props: - name: label value: AC-06(01)_ODP[03] class: sp800-53a label: security functions (deployed in software) guidelines: - prose: security functions (deployed in software) for authorized access are defined; - id: ac-06.01_odp.04 props: - name: label value: AC-06(01)_ODP[04] class: sp800-53a label: security functions (deployed in firmware) guidelines: - prose: security functions (deployed in firmware) for authorized access are defined; - id: ac-06.01_odp.05 props: - name: alt-identifier value: ac-6.1_prm_3 - name: label value: AC-06(01)_ODP[05] class: sp800-53a label: security-relevant information guidelines: - prose: security-relevant information for authorized access is defined; props: - name: label value: AC-06(01) class: zero-padded - name: label value: AC-6(1) - name: label value: AC-06(01) class: sp800-53a - name: sort-id value: ac-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-6' rel: required - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#au-9' rel: related - href: '#pe-2' rel: related parts: - id: ac-6.1_smt name: statement prose: 'Authorize access for {{ insert: param, ac-06.01_odp.01 }} to:' parts: - id: ac-6.1_smt.a name: item props: - name: label value: (a) prose: '{{ insert: param, ac-6.1_prm_2 }} ; and' - id: ac-6.1_smt.b name: item props: - name: label value: (b) prose: '{{ insert: param, ac-06.01_odp.05 }}.' - id: ac-6.1_gdn name: guidance prose: Security functions include establishing system accounts, configuring access authorizations (i.e., permissions, privileges), configuring settings for events to be audited, and establishing intrusion detection parameters. Security-relevant information includes filtering rules for routers or firewalls, configuration parameters for security services, cryptographic key management information, and access control lists. Authorized personnel include security administrators, system administrators, system security officers, system programmers, and other privileged users. - id: ac-6.1_obj name: assessment-objective props: - name: label value: AC-06(01) class: sp800-53a parts: - id: ac-6.1_obj.a name: assessment-objective props: - name: label value: AC-06(01)(a) class: sp800-53a parts: - id: ac-6.1_obj.a-1 name: assessment-objective props: - name: label value: AC-06(01)(a)[01] class: sp800-53a prose: 'access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.02 }};' links: - href: '#ac-6.1_smt.a' rel: assessment-for - id: ac-6.1_obj.a-2 name: assessment-objective props: - name: label value: AC-06(01)(a)[02] class: sp800-53a prose: 'access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.03 }};' links: - href: '#ac-6.1_smt.a' rel: assessment-for - id: ac-6.1_obj.a-3 name: assessment-objective props: - name: label value: AC-06(01)(a)[03] class: sp800-53a prose: 'access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.04 }};' links: - href: '#ac-6.1_smt.a' rel: assessment-for links: - href: '#ac-6.1_smt.a' rel: assessment-for - id: ac-6.1_obj.b name: assessment-objective props: - name: label value: AC-06(01)(b) class: sp800-53a prose: 'access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.05 }}.' links: - href: '#ac-6.1_smt.b' rel: assessment-for links: - href: '#ac-6.1_smt' rel: assessment-for - id: ac-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing least privilege list of security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system/network administrators - id: ac-6.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing least privilege functions - id: ac-6.2 class: SP800-53-enhancement title: Non-privileged Access for Nonsecurity Functions params: - id: ac-06.02_odp props: - name: alt-identifier value: ac-6.2_prm_1 - name: label value: AC-06(02)_ODP class: sp800-53a label: security functions or security-relevant information guidelines: - prose: security functions or security-relevant information, the access to which requires users to use non-privileged accounts to access non-security functions, are defined; props: - name: label value: AC-06(02) class: zero-padded - name: label value: AC-6(2) - name: label value: AC-06(02) class: sp800-53a - name: sort-id value: ac-06.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-6' rel: required - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#pl-4' rel: related parts: - id: ac-6.2_smt name: statement prose: 'Require that users of system accounts (or roles) with access to {{ insert: param, ac-06.02_odp }} use non-privileged accounts or roles, when accessing nonsecurity functions.' - id: ac-6.2_gdn name: guidance prose: Requiring the use of non-privileged accounts when accessing nonsecurity functions limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies, such as role-based access control, and where a change of role provides the same degree of assurance in the change of access authorizations for the user and the processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account. - id: ac-6.2_obj name: assessment-objective props: - name: label value: AC-06(02) class: sp800-53a prose: 'users of system accounts (or roles) with access to {{ insert: param, ac-06.02_odp }} are required to use non-privileged accounts or roles when accessing non-security functions.' links: - href: '#ac-6.2_smt' rel: assessment-for - id: ac-6.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing least privilege list of system-generated security functions or security-relevant information assigned to system accounts or roles system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-6.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system/network administrators - id: ac-6.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing least privilege functions - id: ac-6.3 class: SP800-53-enhancement title: Network Access to Privileged Commands params: - id: ac-06.03_odp.01 props: - name: alt-identifier value: ac-6.3_prm_1 - name: label value: AC-06(03)_ODP[01] class: sp800-53a label: privileged commands guidelines: - prose: privileged commands to which network access is to be authorized only for compelling operational needs are defined; - id: ac-06.03_odp.02 props: - name: alt-identifier value: ac-6.3_prm_2 - name: label value: AC-06(03)_ODP[02] class: sp800-53a label: compelling operational needs guidelines: - prose: compelling operational needs necessitating network access to privileged commands are defined; props: - name: label value: AC-06(03) class: zero-padded - name: label value: AC-6(3) - name: label value: AC-06(03) class: sp800-53a - name: sort-id value: ac-06.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-6' rel: required - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related parts: - id: ac-6.3_smt name: statement prose: 'Authorize network access to {{ insert: param, ac-06.03_odp.01 }} only for {{ insert: param, ac-06.03_odp.02 }} and document the rationale for such access in the security plan for the system.' - id: ac-6.3_gdn name: guidance prose: Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device). - id: ac-6.3_obj name: assessment-objective props: - name: label value: AC-06(03) class: sp800-53a parts: - id: ac-6.3_obj-1 name: assessment-objective props: - name: label value: AC-06(03)[01] class: sp800-53a prose: 'network access to {{ insert: param, ac-06.03_odp.01 }} is authorized only for {{ insert: param, ac-06.03_odp.02 }};' links: - href: '#ac-6.3_smt' rel: assessment-for - id: ac-6.3_obj-2 name: assessment-objective props: - name: label value: AC-06(03)[02] class: sp800-53a prose: the rationale for authorizing network access to privileged commands is documented in the security plan for the system. links: - href: '#ac-6.3_smt' rel: assessment-for links: - href: '#ac-6.3_smt' rel: assessment-for - id: ac-6.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing least privilege system configuration settings and associated documentation system audit records list of operational needs for authorizing network access to privileged commands system security plan other relevant documents or records - id: ac-6.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities - id: ac-6.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing least privilege functions - id: ac-6.4 class: SP800-53-enhancement title: Separate Processing Domains props: - name: label value: AC-06(04) class: zero-padded - name: label value: AC-6(4) - name: label value: AC-06(04) class: sp800-53a - name: sort-id value: ac-06.04 - 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: '#ac-6' rel: required - href: '#ac-4' rel: related - href: '#sc-2' rel: related - href: '#sc-3' rel: related - href: '#sc-30' rel: related - href: '#sc-32' rel: related - href: '#sc-39' rel: related parts: - id: ac-6.4_smt name: statement prose: Provide separate processing domains to enable finer-grained allocation of user privileges. - id: ac-6.4_gdn name: guidance prose: Providing separate processing domains for finer-grained allocation of user privileges includes using virtualization techniques to permit additional user privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying physical machine, implementing separate physical domains, and employing hardware or software domain separation mechanisms. - id: ac-6.4_obj name: assessment-objective props: - name: label value: AC-06(04) class: sp800-53a prose: separate processing domains are provided to enable finer-grain allocation of user privileges. links: - href: '#ac-6.4_smt' rel: assessment-for - id: ac-6.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing least privilege system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-6.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system developers - id: ac-6.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing least privilege functions - id: ac-6.5 class: SP800-53-enhancement title: Privileged Accounts params: - id: ac-06.05_odp props: - name: alt-identifier value: ac-6.5_prm_1 - name: label value: AC-06(05)_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to which privileged accounts on the system are to be restricted is/are defined; props: - name: label value: AC-06(05) class: zero-padded - name: label value: AC-6(5) - name: label value: AC-06(05) class: sp800-53a - name: sort-id value: ac-06.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-6' rel: required - href: '#ia-2' rel: related - href: '#ma-3' rel: related - href: '#ma-4' rel: related parts: - id: ac-6.5_smt name: statement prose: 'Restrict privileged accounts on the system to {{ insert: param, ac-06.05_odp }}.' - id: ac-6.5_gdn name: guidance prose: Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from accessing privileged information or privileged functions. Organizations may differentiate in the application of restricting privileged accounts between allowed privileges for local accounts and for domain accounts provided that they retain the ability to control system configurations for key parameters and as otherwise necessary to sufficiently mitigate risk. - id: ac-6.5_obj name: assessment-objective props: - name: label value: AC-06(05) class: sp800-53a prose: 'privileged accounts on the system are restricted to {{ insert: param, ac-06.05_odp }}.' links: - href: '#ac-6.5_smt' rel: assessment-for - id: ac-6.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing least privilege list of system-generated privileged accounts list of system administration personnel system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-6.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system/network administrators - id: ac-6.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing least privilege functions - id: ac-6.6 class: SP800-53-enhancement title: Privileged Access by Non-organizational Users props: - name: label value: AC-06(06) class: zero-padded - name: label value: AC-6(6) - name: label value: AC-06(06) class: sp800-53a - name: sort-id value: ac-06.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-6' rel: required - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#ia-2' rel: related - href: '#ia-8' rel: related parts: - id: ac-6.6_smt name: statement prose: Prohibit privileged access to the system by non-organizational users. - id: ac-6.6_gdn name: guidance prose: An organizational user is an employee or an individual considered by the organization to have the equivalent status of an employee. Organizational users include contractors, guest researchers, or individuals detailed from other organizations. A non-organizational user is a user who is not an organizational user. Policies and procedures for granting equivalent status of employees to individuals include a need-to-know, citizenship, and the relationship to the organization. - id: ac-6.6_obj name: assessment-objective props: - name: label value: AC-06(06) class: sp800-53a prose: privileged access to the system by non-organizational users is prohibited. links: - href: '#ac-6.6_smt' rel: assessment-for - id: ac-6.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing least privilege list of system-generated privileged accounts list of non-organizational users system configuration settings and associated documentation audit records system security plan other relevant documents or records - id: ac-6.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system/network administrators - id: ac-6.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms prohibiting privileged access to the system - id: ac-6.7 class: SP800-53-enhancement title: Review of User Privileges params: - id: ac-06.07_odp.01 props: - name: alt-identifier value: ac-6.7_prm_1 - name: label value: AC-06(07)_ODP[01] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to review the privileges assigned to roles or classes of users is defined; - id: ac-06.07_odp.02 props: - name: alt-identifier value: ac-6.7_prm_2 - name: alt-label value: roles or classes of users class: sp800-53 - name: label value: AC-06(07)_ODP[02] class: sp800-53a label: roles and classes guidelines: - prose: roles or classes of users to which privileges are assigned are defined; props: - name: label value: AC-06(07) class: zero-padded - name: label value: AC-6(7) - name: label value: AC-06(07) class: sp800-53a - name: sort-id value: ac-06.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-6' rel: required - href: '#ca-7' rel: related parts: - id: ac-6.7_smt name: statement parts: - id: ac-6.7_smt.a name: item props: - name: label value: (a) prose: 'Review {{ insert: param, ac-06.07_odp.01 }} the privileges assigned to {{ insert: param, ac-06.07_odp.02 }} to validate the need for such privileges; and' - id: ac-6.7_smt.b name: item props: - name: label value: (b) prose: Reassign or remove privileges, if necessary, to correctly reflect organizational mission and business needs. - id: ac-6.7_gdn name: guidance prose: The need for certain assigned user privileges may change over time to reflect changes in organizational mission and business functions, environments of operation, technologies, or threats. A periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions. - id: ac-6.7_obj name: assessment-objective props: - name: label value: AC-06(07) class: sp800-53a parts: - id: ac-6.7_obj.a name: assessment-objective props: - name: label value: AC-06(07)(a) class: sp800-53a prose: 'privileges assigned to {{ insert: param, ac-06.07_odp.02 }} are reviewed {{ insert: param, ac-06.07_odp.01 }} to validate the need for such privileges;' links: - href: '#ac-6.7_smt.a' rel: assessment-for - id: ac-6.7_obj.b name: assessment-objective props: - name: label value: AC-06(07)(b) class: sp800-53a prose: privileges are reassigned or removed, if necessary, to correctly reflect organizational mission and business needs. links: - href: '#ac-6.7_smt.b' rel: assessment-for links: - href: '#ac-6.7_smt' rel: assessment-for - id: ac-6.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing least privilege list of system-generated roles or classes of users and assigned privileges system design documentation system configuration settings and associated documentation validation reviews of privileges assigned to roles or classes or users records of privilege removals or reassignments for roles or classes of users system audit records system security plan other relevant documents or records - id: ac-6.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system/network administrators - id: ac-6.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(07)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing review of user privileges - id: ac-6.8 class: SP800-53-enhancement title: Privilege Levels for Code Execution params: - id: ac-06.08_odp props: - name: alt-identifier value: ac-6.8_prm_1 - name: label value: AC-06(08)_ODP class: sp800-53a label: software guidelines: - prose: software to be prevented from executing at higher privilege levels than users executing the software is defined; props: - name: label value: AC-06(08) class: zero-padded - name: label value: AC-6(8) - name: label value: AC-06(08) class: sp800-53a - name: sort-id value: ac-06.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-6' rel: required parts: - id: ac-6.8_smt name: statement prose: 'Prevent the following software from executing at higher privilege levels than users executing the software: {{ insert: param, ac-06.08_odp }}.' - id: ac-6.8_gdn name: guidance prose: In certain situations, software applications or programs need to execute with elevated privileges to perform required functions. However, depending on the software functionality and configuration, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications or programs, those users may indirectly be provided with greater privileges than assigned. - id: ac-6.8_obj name: assessment-objective props: - name: label value: AC-06(08) class: sp800-53a prose: '{{ insert: param, ac-06.08_odp }} is prevented from executing at higher privilege levels than users executing the software.' links: - href: '#ac-6.8_smt' rel: assessment-for - id: ac-6.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing least privilege list of software that should not execute at higher privilege levels than users executing software system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-6.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system/network administrators system developers - id: ac-6.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(08)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing least privilege functions for software execution - id: ac-6.9 class: SP800-53-enhancement title: Log Use of Privileged Functions props: - name: label value: AC-06(09) class: zero-padded - name: label value: AC-6(9) - name: label value: AC-06(09) class: sp800-53a - name: sort-id value: ac-06.09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-6' rel: required - href: '#au-2' rel: related - href: '#au-3' rel: related - href: '#au-12' rel: related parts: - id: ac-6.9_smt name: statement prose: Log the execution of privileged functions. - id: ac-6.9_gdn name: guidance prose: The misuse of privileged functions, either intentionally or unintentionally by authorized users or by unauthorized external entities that have compromised system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Logging and analyzing the use of privileged functions is one way to detect such misuse and, in doing so, help mitigate the risk from insider threats and the advanced persistent threat. - id: ac-6.9_obj name: assessment-objective props: - name: label value: AC-06(09) class: sp800-53a prose: the execution of privileged functions is logged. links: - href: '#ac-6.9_smt' rel: assessment-for - id: ac-6.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing least privilege system design documentation system configuration settings and associated documentation list of privileged functions to be audited list of audited events system audit records system security plan other relevant documents or records - id: ac-6.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system/network administrators system developers - id: ac-6.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(09)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms auditing the execution of least privilege functions - id: ac-6.10 class: SP800-53-enhancement title: Prohibit Non-privileged Users from Executing Privileged Functions props: - name: label value: AC-06(10) class: zero-padded - name: label value: AC-6(10) - name: label value: AC-06(10) class: sp800-53a - name: sort-id value: ac-06.10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-6' rel: required parts: - id: ac-6.10_smt name: statement prose: Prevent non-privileged users from executing privileged functions. - id: ac-6.10_gdn name: guidance prose: Privileged functions include disabling, circumventing, or altering implemented security or privacy controls, establishing system accounts, performing system integrity checks, and administering cryptographic key management activities. Non-privileged users are individuals who do not possess appropriate authorizations. Privileged functions that require protection from non-privileged users include circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms. Preventing non-privileged users from executing privileged functions is enforced by [AC-3](#ac-3). - id: ac-6.10_obj name: assessment-objective props: - name: label value: AC-06(10) class: sp800-53a prose: non-privileged users are prevented from executing privileged functions. links: - href: '#ac-6.10_smt' rel: assessment-for - id: ac-6.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-06(10)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing least privilege system design documentation system configuration settings and associated documentation list of privileged functions and associated user account assignments system audit records system security plan other relevant documents or records - id: ac-6.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-06(10)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks organizational personnel with information security responsibilities system developers - id: ac-6.10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-06(10)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing least privilege functions for non-privileged users - id: ac-7 class: SP800-53 title: Unsuccessful Logon Attempts params: - id: ac-07_odp.01 props: - name: alt-identifier value: ac-7_prm_1 - name: label value: AC-07_ODP[01] class: sp800-53a label: number guidelines: - prose: the number of consecutive invalid logon attempts by a user allowed during a time period is defined; - id: ac-07_odp.02 props: - name: alt-identifier value: ac-7_prm_2 - name: label value: AC-07_ODP[02] class: sp800-53a label: time period guidelines: - prose: the time period to which the number of consecutive invalid logon attempts by a user is limited is defined; - id: ac-07_odp.03 props: - name: alt-identifier value: ac-7_prm_3 - name: label value: AC-07_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - 'lock the account or node for {{ insert: param, ac-07_odp.04 }} ' - lock the account or node until released by an administrator - 'delay next logon prompt per {{ insert: param, ac-07_odp.05 }} ' - notify system administrator - 'take other {{ insert: param, ac-07_odp.06 }} ' - id: ac-07_odp.04 props: - name: alt-identifier value: ac-7_prm_4 - name: label value: AC-07_ODP[04] class: sp800-53a label: time period guidelines: - prose: time period for an account or node to be locked is defined (if selected); - id: ac-07_odp.05 props: - name: alt-identifier value: ac-7_prm_5 - name: label value: AC-07_ODP[05] class: sp800-53a label: delay algorithm guidelines: - prose: delay algorithm for the next logon prompt is defined (if selected); - id: ac-07_odp.06 props: - name: alt-identifier value: ac-7_prm_6 - name: label value: AC-07_ODP[06] class: sp800-53a label: action guidelines: - prose: other action to be taken when the maximum number of unsuccessful attempts is exceeded is defined (if selected); props: - name: label value: AC-07 class: zero-padded - name: label value: AC-7 - name: label value: AC-07 class: sp800-53a - name: sort-id value: ac-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#0f66be67-85e7-4ca6-bd19-39453e9f4394' rel: reference - href: '#ac-2' rel: related - href: '#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: 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: 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_obj name: assessment-objective props: - name: label value: AC-07 class: sp800-53a parts: - id: ac-7_obj.a name: assessment-objective props: - 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: 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 controls: - id: ac-7.1 class: SP800-53-enhancement title: Automatic Account Lock props: - name: label value: AC-07(01) class: zero-padded - name: label value: AC-7(1) - name: label value: AC-07(01) class: sp800-53a - name: sort-id value: ac-07.01 - name: status value: withdrawn links: - href: '#ac-7' rel: incorporated-into - id: ac-7.2 class: SP800-53-enhancement title: Purge or Wipe Mobile Device params: - id: ac-07.02_odp.01 props: - name: alt-identifier value: ac-7.2_prm_1 - name: label value: AC-07(02)_ODP[01] class: sp800-53a label: mobile devices guidelines: - prose: mobile devices to be purged or wiped of information are defined; - id: ac-07.02_odp.02 props: - name: alt-identifier value: ac-7.2_prm_2 - name: alt-label value: purging or wiping requirements and techniques class: sp800-53 - name: label value: AC-07(02)_ODP[02] class: sp800-53a label: purging or wiping requirements and techniques guidelines: - prose: purging and wiping requirements and techniques to be used when mobile devices are purged or wiped of information are defined; - id: ac-07.02_odp.03 props: - name: alt-identifier value: ac-7.2_prm_3 - name: label value: AC-07(02)_ODP[03] class: sp800-53a label: number guidelines: - prose: the number of consecutive, unsuccessful logon attempts before the information is purged or wiped from mobile devices is defined; props: - name: label value: AC-07(02) class: zero-padded - name: label value: AC-7(2) - name: label value: AC-07(02) class: sp800-53a - name: sort-id value: ac-07.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-7' rel: required - href: '#ac-19' rel: related - href: '#mp-5' rel: related - href: '#mp-6' rel: related parts: - id: ac-7.2_smt name: statement prose: 'Purge or wipe information from {{ insert: param, ac-07.02_odp.01 }} based on {{ insert: param, ac-07.02_odp.02 }} after {{ insert: param, ac-07.02_odp.03 }} consecutive, unsuccessful device logon attempts.' - id: ac-7.2_gdn name: guidance prose: A mobile device is a computing device that has a small form factor such that it can 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. Purging or wiping the device applies only to mobile devices for which the organization-defined number of unsuccessful logons occurs. The logon is to the mobile device, not to any one account on the device. Successful logons to accounts on mobile devices reset the unsuccessful logon count to zero. Purging or wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms. - id: ac-7.2_obj name: assessment-objective props: - name: label value: AC-07(02) class: sp800-53a prose: 'information is purged or wiped from {{ insert: param, ac-07.02_odp.01 }} based on {{ insert: param, ac-07.02_odp.02 }} after {{ insert: param, ac-07.02_odp.03 }} consecutive, unsuccessful device logon attempts.' links: - href: '#ac-7.2_smt' rel: assessment-for - id: ac-7.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-07(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing unsuccessful logon attempts on mobile devices system design documentation system configuration settings and associated documentation list of mobile devices to be purged/wiped after organization-defined consecutive, unsuccessful device logon attempts list of purging/wiping requirements or techniques for mobile devices system audit records system security plan other relevant documents or records - id: ac-7.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-07(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: ac-7.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-07(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access control policy for unsuccessful device logon attempts - id: ac-7.3 class: SP800-53-enhancement title: Biometric Attempt Limiting params: - id: ac-07.03_odp props: - name: alt-identifier value: ac-7.3_prm_1 - name: label value: AC-07(03)_ODP class: sp800-53a label: number guidelines: - prose: the number of unsuccessful biometric logon attempts is defined; props: - name: label value: AC-07(03) class: zero-padded - name: label value: AC-7(3) - name: label value: AC-07(03) class: sp800-53a - name: sort-id value: ac-07.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-7' rel: required - href: '#ia-3' rel: related parts: - id: ac-7.3_smt name: statement prose: 'Limit the number of unsuccessful biometric logon attempts to {{ insert: param, ac-07.03_odp }}.' - id: ac-7.3_gdn name: guidance prose: Biometrics are probabilistic in nature. The ability to successfully authenticate can be impacted by many factors, including matching performance and presentation attack detection mechanisms. Organizations select the appropriate number of attempts for users based on organizationally-defined factors. - id: ac-7.3_obj name: assessment-objective props: - name: label value: AC-07(03) class: sp800-53a prose: 'unsuccessful biometric logon attempts are limited to {{ insert: param, ac-07.03_odp }}.' links: - href: '#ac-7.3_smt' rel: assessment-for - id: ac-7.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-07(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing unsuccessful logon attempts on biometric devices system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-7.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-07(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: ac-7.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-07(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access control policy for unsuccessful logon attempts - id: ac-7.4 class: SP800-53-enhancement title: Use of Alternate Authentication Factor params: - id: ac-07.04_odp.01 props: - name: alt-identifier value: ac-7.4_prm_1 - name: label value: AC-07(04)_ODP[01] class: sp800-53a label: authentication factors guidelines: - prose: authentication factors allowed to be used that are different from the primary authentication factors are defined; - id: ac-07.04_odp.02 props: - name: alt-identifier value: ac-7.4_prm_2 - name: label value: AC-07(04)_ODP[02] class: sp800-53a label: number guidelines: - prose: the number of consecutive, invalid logon attempts through the use of alternative factors for which to enforce a limit by a user is defined; - id: ac-07.04_odp.03 props: - name: alt-identifier value: ac-7.4_prm_3 - name: label value: AC-07(04)_ODP[03] class: sp800-53a label: time period guidelines: - prose: time period during which a user can attempt logons through alternative factors is defined; props: - name: label value: AC-07(04) class: zero-padded - name: label value: AC-7(4) - name: label value: AC-07(04) class: sp800-53a - name: sort-id value: ac-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 links: - href: '#ac-7' rel: required - href: '#ia-3' rel: related parts: - id: ac-7.4_smt name: statement parts: - id: ac-7.4_smt.a name: item props: - name: label value: (a) prose: 'Allow the use of {{ insert: param, ac-07.04_odp.01 }} that are different from the primary authentication factors after the number of organization-defined consecutive invalid logon attempts have been exceeded; and' - id: ac-7.4_smt.b name: item props: - name: label value: (b) prose: 'Enforce a limit of {{ insert: param, ac-07.04_odp.02 }} consecutive invalid logon attempts through use of the alternative factors by a user during a {{ insert: param, ac-07.04_odp.03 }}.' - id: ac-7.4_gdn name: guidance prose: The use of alternate authentication factors supports the objective of availability and allows a user who has inadvertently been locked out to use additional authentication factors to bypass the lockout. - id: ac-7.4_obj name: assessment-objective props: - name: label value: AC-07(04) class: sp800-53a parts: - id: ac-7.4_obj.a name: assessment-objective props: - name: label value: AC-07(04)(a) class: sp800-53a prose: '{{ insert: param, ac-07.04_odp.01 }} that are different from the primary authentication factors are allowed to be used after the number of organization-defined consecutive invalid logon attempts have been exceeded;' links: - href: '#ac-7.4_smt.a' rel: assessment-for - id: ac-7.4_obj.b name: assessment-objective props: - name: label value: AC-07(04)(b) class: sp800-53a prose: 'a limit of {{ insert: param, ac-07.04_odp.02 }} consecutive invalid logon attempts through the use of the alternative factors by the user during a {{ insert: param, ac-07.04_odp.03 }} is enforced.' links: - href: '#ac-7.4_smt.b' rel: assessment-for links: - href: '#ac-7.4_smt' rel: assessment-for - id: ac-7.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-07(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing unsuccessful logon attempts for primary and alternate authentication factors system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-7.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-07(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: ac-7.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-07(04)-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 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 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: 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: 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: 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_obj name: assessment-objective props: - name: label value: AC-08 class: sp800-53a parts: - id: ac-8_obj.a name: assessment-objective props: - 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: 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: 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: 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: 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: 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: 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-9 class: SP800-53 title: Previous Logon Notification props: - name: label value: AC-09 class: zero-padded - name: label value: AC-9 - name: label value: AC-09 class: sp800-53a - name: sort-id value: ac-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-7' rel: related - href: '#pl-4' rel: related parts: - id: ac-9_smt name: statement prose: Notify the user, upon successful logon to the system, of the date and time of the last logon. - id: ac-9_gdn name: guidance prose: Previous logon notification is applicable to system access via human user interfaces and access to systems that occurs in other types of architectures. Information about the last successful logon allows the user to recognize if the date and time provided is not consistent with the user’s last access. - id: ac-9_obj name: assessment-objective props: - name: label value: AC-09 class: sp800-53a prose: the user is notified, upon successful logon to the system, of the date and time of the last logon. links: - href: '#ac-9_smt' rel: assessment-for - id: ac-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-09-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing previous logon notification system design documentation system configuration settings and associated documentation system notification messages system security plan other relevant documents or records - id: ac-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-09-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-09-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access control policy for previous logon notification controls: - id: ac-9.1 class: SP800-53-enhancement title: Unsuccessful Logons props: - name: label value: AC-09(01) class: zero-padded - name: label value: AC-9(1) - name: label value: AC-09(01) class: sp800-53a - name: sort-id value: ac-09.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-9' rel: required parts: - id: ac-9.1_smt name: statement prose: Notify the user, upon successful logon, of the number of unsuccessful logon attempts since the last successful logon. - id: ac-9.1_gdn name: guidance prose: Information about the number of unsuccessful logon attempts since the last successful logon allows the user to recognize if the number of unsuccessful logon attempts is consistent with the user’s actual logon attempts. - id: ac-9.1_obj name: assessment-objective props: - name: label value: AC-09(01) class: sp800-53a prose: the user is notified, upon successful logon, of the number of unsuccessful logon attempts since the last successful logon. links: - href: '#ac-9.1_smt' rel: assessment-for - id: ac-9.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-09(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing previous logon notification system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-9.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-09(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-9.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-09(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access control policy for previous logon notification - id: ac-9.2 class: SP800-53-enhancement title: Successful and Unsuccessful Logons params: - id: ac-09.02_odp.01 props: - name: alt-identifier value: ac-9.2_prm_1 - name: label value: AC-09(02)_ODP[01] class: sp800-53a select: choice: - successful logons - unsuccessful logon attempts - both - id: ac-09.02_odp.02 props: - name: alt-identifier value: ac-9.2_prm_2 - name: label value: AC-09(02)_ODP[02] class: sp800-53a label: time period guidelines: - prose: the time period for which the system notifies the user of the number of successful logons, unsuccessful logon attempts, or both is defined; props: - name: label value: AC-09(02) class: zero-padded - name: label value: AC-9(2) - name: label value: AC-09(02) class: sp800-53a - name: sort-id value: ac-09.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-9' rel: required parts: - id: ac-9.2_smt name: statement prose: 'Notify the user, upon successful logon, of the number of {{ insert: param, ac-09.02_odp.01 }} during {{ insert: param, ac-09.02_odp.02 }}.' - id: ac-9.2_gdn name: guidance prose: Information about the number of successful and unsuccessful logon attempts within a specified time period allows the user to recognize if the number and type of logon attempts are consistent with the user’s actual logon attempts. - id: ac-9.2_obj name: assessment-objective props: - name: label value: AC-09(02) class: sp800-53a prose: 'the user is notified, upon successful logon, of the number of {{ insert: param, ac-09.02_odp.01 }} during {{ insert: param, ac-09.02_odp.02 }}.' links: - href: '#ac-9.2_smt' rel: assessment-for - id: ac-9.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-09(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing previous logon notification system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-9.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-09(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-9.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-09(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access control policy for previous logon notification - id: ac-9.3 class: SP800-53-enhancement title: Notification of Account Changes params: - id: ac-09.03_odp.01 props: - name: alt-identifier value: ac-9.3_prm_1 - name: alt-label value: security-related characteristics or parameters of the user’s account class: sp800-53 - name: label value: AC-09(03)_ODP[01] class: sp800-53a label: security-related characteristics or parameters guidelines: - prose: changes to security-related characteristics or parameters of the user’s account that require notification are defined; - id: ac-09.03_odp.02 props: - name: alt-identifier value: ac-9.3_prm_2 - name: label value: AC-09(03)_ODP[02] class: sp800-53a label: time period guidelines: - prose: the time period for which the system notifies the user of changes to security-related characteristics or parameters of the user’s account is defined; props: - name: label value: AC-09(03) class: zero-padded - name: label value: AC-9(3) - name: label value: AC-09(03) class: sp800-53a - name: sort-id value: ac-09.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-9' rel: required parts: - id: ac-9.3_smt name: statement prose: 'Notify the user, upon successful logon, of changes to {{ insert: param, ac-09.03_odp.01 }} during {{ insert: param, ac-09.03_odp.02 }}.' - id: ac-9.3_gdn name: guidance prose: Information about changes to security-related account characteristics within a specified time period allows users to recognize if changes were made without their knowledge. - id: ac-9.3_obj name: assessment-objective props: - name: label value: AC-09(03) class: sp800-53a prose: 'the user is notified, upon successful logon, of changes to {{ insert: param, ac-09.03_odp.01 }} during {{ insert: param, ac-09.03_odp.02 }}.' links: - href: '#ac-9.3_smt' rel: assessment-for - id: ac-9.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-09(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing previous logon notification system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-9.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-09(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-9.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-09(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access control policy for previous logon notification - id: ac-9.4 class: SP800-53-enhancement title: Additional Logon Information params: - id: ac-09.04_odp props: - name: alt-identifier value: ac-9.4_prm_1 - name: label value: AC-09(04)_ODP class: sp800-53a label: additional information guidelines: - prose: additional information about which to notify the user is defined; props: - name: label value: AC-09(04) class: zero-padded - name: label value: AC-9(4) - name: label value: AC-09(04) class: sp800-53a - name: sort-id value: ac-09.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-9' rel: required parts: - id: ac-9.4_smt name: statement prose: 'Notify the user, upon successful logon, of the following additional information: {{ insert: param, ac-09.04_odp }}.' - id: ac-9.4_gdn name: guidance prose: Organizations can specify additional information to be provided to users upon logon, including the location of the last logon. User location is defined as information that can be determined by systems, such as Internet Protocol (IP) addresses from which network logons occurred, notifications of local logons, or device identifiers. - id: ac-9.4_obj name: assessment-objective props: - name: label value: AC-09(04) class: sp800-53a prose: 'the user is notified, upon successful logon, of {{ insert: param, ac-09.04_odp }}.' links: - href: '#ac-9.4_smt' rel: assessment-for - id: ac-9.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-09(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing previous logon notification system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-9.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-09(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-9.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-09(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access control policy for previous logon notification - id: ac-10 class: SP800-53 title: Concurrent Session Control params: - id: ac-10_odp.01 props: - name: alt-identifier value: ac-10_prm_1 - name: alt-label value: account and/or account type class: sp800-53 - name: label value: AC-10_ODP[01] class: sp800-53a label: account and/or account types guidelines: - prose: accounts and/or account types for which to limit the number of concurrent sessions is defined; - id: ac-10_odp.02 props: - name: alt-identifier value: ac-10_prm_2 - name: label value: AC-10_ODP[02] class: sp800-53a label: number guidelines: - prose: the number of concurrent sessions to be allowed for each account and/or account type is defined; props: - name: label value: AC-10 class: zero-padded - name: label value: AC-10 - name: label value: AC-10 class: sp800-53a - name: sort-id value: ac-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-23' rel: related parts: - id: ac-10_smt name: statement prose: 'Limit the number of concurrent sessions for each {{ insert: param, ac-10_odp.01 }} to {{ insert: param, ac-10_odp.02 }}.' - id: ac-10_gdn name: guidance prose: Organizations may define the maximum number of concurrent sessions for system accounts globally, by account type, by account, or any combination thereof. For example, organizations may limit the number of concurrent sessions for system administrators or other individuals working in particularly sensitive domains or mission-critical applications. Concurrent session control addresses concurrent sessions for system accounts. It does not, however, address concurrent sessions by single users via multiple system accounts. - id: ac-10_obj name: assessment-objective props: - name: label value: AC-10 class: sp800-53a prose: 'the number of concurrent sessions for each {{ insert: param, ac-10_odp.01 }} is limited to {{ insert: param, ac-10_odp.02 }}.' links: - href: '#ac-10_smt' rel: assessment-for - id: ac-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-10-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing concurrent session control system design documentation system configuration settings and associated documentation security plan system security plan other relevant documents or records - id: ac-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-10-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-10-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access control policy for concurrent session control - id: ac-11 class: SP800-53 title: Device Lock params: - id: ac-11_odp.01 props: - name: alt-identifier value: ac-11_prm_1 - name: label value: AC-11_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - 'initiating a device lock after {{ insert: param, ac-11_odp.02 }} of inactivity' - requiring the user to initiate a device lock before leaving the system unattended - id: ac-11_odp.02 props: - name: alt-identifier value: ac-11_prm_2 - name: label value: AC-11_ODP[02] class: sp800-53a label: time period guidelines: - prose: time period of inactivity after which a device lock is initiated is defined (if selected); props: - name: label value: AC-11 class: zero-padded - name: label value: AC-11 - name: label value: AC-11 class: sp800-53a - name: sort-id value: ac-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-2' rel: related - href: '#ac-7' rel: related - href: '#ia-11' rel: related - href: '#pl-4' rel: related parts: - id: ac-11_smt name: statement parts: - id: ac-11_smt.a name: item props: - name: label value: a. prose: 'Prevent further access to the system by {{ insert: param, ac-11_odp.01 }} ; and' - id: ac-11_smt.b name: item props: - name: label value: b. prose: Retain the device lock until the user reestablishes access using established identification and authentication procedures. - id: ac-11_gdn name: guidance prose: Device locks are temporary actions taken to prevent logical access to organizational systems when users stop work and move away from the immediate vicinity of those systems but do not want to log out because of the temporary nature of their absences. Device locks can be implemented at the operating system level or at the application level. A proximity lock may be used to initiate the device lock (e.g., via a Bluetooth-enabled device or dongle). User-initiated device locking is behavior or policy-based and, as such, requires users to take physical action to initiate the device lock. Device locks are not an acceptable substitute for logging out of systems, such as when organizations require users to log out at the end of workdays. - id: ac-11_obj name: assessment-objective props: - name: label value: AC-11 class: sp800-53a parts: - id: ac-11_obj.a name: assessment-objective props: - name: label value: AC-11a. class: sp800-53a prose: 'further access to the system is prevented by {{ insert: param, ac-11_odp.01 }};' links: - href: '#ac-11_smt.a' rel: assessment-for - id: ac-11_obj.b name: assessment-objective props: - name: label value: AC-11b. class: sp800-53a prose: device lock is retained until the user re-establishes access using established identification and authentication procedures. links: - href: '#ac-11_smt.b' rel: assessment-for links: - href: '#ac-11_smt' rel: assessment-for - id: ac-11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-11-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing session lock procedures addressing identification and authentication system design documentation system configuration settings and associated documentation security plan system security plan other relevant documents or records - id: ac-11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-11-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-11-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access control policy for session lock controls: - id: ac-11.1 class: SP800-53-enhancement title: Pattern-hiding Displays props: - name: label value: AC-11(01) class: zero-padded - name: label value: AC-11(1) - name: label value: AC-11(01) class: sp800-53a - name: sort-id value: ac-11.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-11' rel: required parts: - id: ac-11.1_smt name: statement prose: Conceal, via the device lock, information previously visible on the display with a publicly viewable image. - id: ac-11.1_gdn name: guidance prose: The pattern-hiding display can include static or dynamic images, such as patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen with the caveat that controlled unclassified information is not displayed. - id: ac-11.1_obj name: assessment-objective props: - name: label value: AC-11(01) class: sp800-53a prose: information previously visible on the display is concealed, via device lock, with a publicly viewable image. links: - href: '#ac-11.1_smt' rel: assessment-for - id: ac-11.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-11(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing session lock display screen with session lock activated system design documentation system configuration settings and associated documentation system security plan other relevant documents or records - id: ac-11.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-11(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-11.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-11(01)-Test class: sp800-53a parts: - name: assessment-objects prose: System session lock mechanisms - id: ac-12 class: SP800-53 title: Session Termination params: - id: ac-12_odp props: - name: alt-identifier value: ac-12_prm_1 - name: alt-label value: conditions or trigger events requiring session disconnect class: sp800-53 - name: label value: AC-12_ODP class: sp800-53a label: conditions or trigger events guidelines: - prose: conditions or trigger events requiring session disconnect are defined; props: - name: label value: AC-12 class: zero-padded - name: label value: AC-12 - name: label value: AC-12 class: sp800-53a - name: sort-id value: ac-12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ma-4' rel: related - href: '#sc-10' rel: related - href: '#sc-23' rel: related parts: - id: ac-12_smt name: statement prose: 'Automatically terminate a user session after {{ insert: param, ac-12_odp }}.' - id: ac-12_gdn name: guidance prose: Session termination addresses the termination of user-initiated logical sessions (in contrast to [SC-10](#sc-10) , which addresses the termination of network connections associated with communications sessions (i.e., network disconnect)). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational system. Such user sessions can be terminated without terminating network sessions. Session termination ends all processes associated with a user’s logical session except for those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events that require automatic termination of the session include organization-defined periods of user inactivity, targeted responses to certain types of incidents, or time-of-day restrictions on system use. - id: ac-12_obj name: assessment-objective props: - name: label value: AC-12 class: sp800-53a prose: 'a user session is automatically terminated after {{ insert: param, ac-12_odp }}.' links: - href: '#ac-12_smt' rel: assessment-for - id: ac-12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-12-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing session termination system design documentation system configuration settings and associated documentation list of conditions or trigger events requiring session disconnect system audit records system security plan other relevant documents or records - id: ac-12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-12-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-12-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms implementing user session termination controls: - id: ac-12.1 class: SP800-53-enhancement title: User-initiated Logouts params: - id: ac-12.01_odp props: - name: alt-identifier value: ac-12.1_prm_1 - name: label value: AC-12(01)_ODP class: sp800-53a label: information resources guidelines: - prose: information resources for which a logout capability for user-initiated communications sessions is required are defined; props: - name: label value: AC-12(01) class: zero-padded - name: label value: AC-12(1) - name: label value: AC-12(01) class: sp800-53a - name: sort-id value: ac-12.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-12' rel: required parts: - id: ac-12.1_smt name: statement prose: 'Provide a logout capability for user-initiated communications sessions whenever authentication is used to gain access to {{ insert: param, ac-12.01_odp }}.' - id: ac-12.1_gdn name: guidance prose: Information resources to which users gain access via authentication include local workstations, databases, and password-protected websites or web-based services. - id: ac-12.1_obj name: assessment-objective props: - name: label value: AC-12(01) class: sp800-53a prose: 'a logout capability is provided for user-initiated communications sessions whenever authentication is used to gain access to {{ insert: param, ac-12.01_odp }}.' links: - href: '#ac-12.1_smt' rel: assessment-for - id: ac-12.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-12(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing session termination user logout messages system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-12.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-12(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-12.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-12(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- System session termination mechanisms logout capabilities for user-initiated communications sessions - id: ac-12.2 class: SP800-53-enhancement title: Termination Message props: - name: label value: AC-12(02) class: zero-padded - name: label value: AC-12(2) - name: label value: AC-12(02) class: sp800-53a - name: sort-id value: ac-12.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-12' rel: required parts: - id: ac-12.2_smt name: statement prose: Display an explicit logout message to users indicating the termination of authenticated communications sessions. - id: ac-12.2_gdn name: guidance prose: Logout messages for web access can be displayed after authenticated sessions have been terminated. However, for certain types of sessions, including file transfer protocol (FTP) sessions, systems typically send logout messages as final messages prior to terminating sessions. - id: ac-12.2_obj name: assessment-objective props: - name: label value: AC-12(02) class: sp800-53a prose: an explicit logout message is displayed to users indicating the termination of authenticated communication sessions. links: - href: '#ac-12.2_smt' rel: assessment-for - id: ac-12.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-12(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing session termination user logout messages system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-12.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-12(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-12.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-12(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- System session termination mechanisms display of logout messages - id: ac-12.3 class: SP800-53-enhancement title: Timeout Warning Message params: - id: ac-12.03_odp props: - name: alt-identifier value: ac-12.3_prm_1 - name: alt-label value: time until end of session class: sp800-53 - name: label value: AC-12(03)_ODP class: sp800-53a label: time guidelines: - prose: time until the end of session for display to users is defined; props: - name: label value: AC-12(03) class: zero-padded - name: label value: AC-12(3) - name: label value: AC-12(03) class: sp800-53a - name: sort-id value: ac-12.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-12' rel: required parts: - id: ac-12.3_smt name: statement prose: 'Display an explicit message to users indicating that the session will end in {{ insert: param, ac-12.03_odp }}.' - id: ac-12.3_gdn name: guidance prose: To increase usability, notify users of pending session termination and prompt users to continue the session. The pending session termination time period is based on the parameters defined in the [AC-12](#ac-12) base control. - id: ac-12.3_obj name: assessment-objective props: - name: label value: AC-12(03) class: sp800-53a prose: 'an explicit message to users is displayed indicating that the session will end in {{ insert: param, ac-12.03_odp }}.' links: - href: '#ac-12.3_smt' rel: assessment-for - id: ac-12.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-12(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing session termination time until end of session messages system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-12.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-12(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-12.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-12(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- System session termination mechanisms display of end of session time - id: ac-13 class: SP800-53 title: Supervision and Review — Access Control props: - name: label value: AC-13 class: zero-padded - name: label value: AC-13 - name: label value: AC-13 class: sp800-53a - name: sort-id value: ac-13 - name: status value: withdrawn links: - href: '#ac-2' rel: incorporated-into - href: '#au-6' rel: incorporated-into - 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: 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: 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: 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: 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 controls: - id: ac-14.1 class: SP800-53-enhancement title: Necessary Uses props: - name: label value: AC-14(01) class: zero-padded - name: label value: AC-14(1) - name: label value: AC-14(01) class: sp800-53a - name: sort-id value: ac-14.01 - name: status value: withdrawn links: - href: '#ac-14' rel: incorporated-into - id: ac-15 class: SP800-53 title: Automated Marking props: - name: label value: AC-15 class: zero-padded - name: label value: AC-15 - name: label value: AC-15 class: sp800-53a - name: sort-id value: ac-15 - name: status value: withdrawn links: - href: '#mp-3' rel: incorporated-into - id: ac-16 class: SP800-53 title: Security and Privacy Attributes params: - id: ac-16_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16_odp.02 label: organization-defined types of security and privacy attributes - id: ac-16_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16_odp.04 label: organization-defined security and privacy attribute values - id: ac-16_prm_3 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16_odp.06 label: organization-defined systems - id: ac-16_prm_4 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16_odp.07 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16_odp.08 label: organization-defined security and privacy attributes - id: ac-16_prm_6 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16_odp.07 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16_odp.08 label: organization-defined security and privacy attributes - id: ac-16_prm_7 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16_odp.10 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16_odp.11 label: organization-defined frequency - id: ac-16_odp.01 props: - name: label value: AC-16_ODP[01] class: sp800-53a label: types of security attributes guidelines: - prose: types of security attributes to be associated with information security attribute values for information in storage, in process, and/or in transmission are defined; - id: ac-16_odp.02 props: - name: label value: AC-16_ODP[02] class: sp800-53a label: types of privacy attributes guidelines: - prose: types of privacy attributes to be associated with privacy attribute values for information in storage, in process, and/or in transmission are defined; - id: ac-16_odp.03 props: - name: label value: AC-16_ODP[03] class: sp800-53a label: security attribute values guidelines: - prose: security attribute values for types of security attributes are defined; - id: ac-16_odp.04 props: - name: label value: AC-16_ODP[04] class: sp800-53a label: privacy attribute values guidelines: - prose: privacy attribute values for types of privacy attributes are defined; - id: ac-16_odp.05 props: - name: label value: AC-16_ODP[05] class: sp800-53a label: systems guidelines: - prose: systems for which permitted security attributes are to be established are defined; - id: ac-16_odp.06 props: - name: label value: AC-16_ODP[06] class: sp800-53a label: systems guidelines: - prose: systems for which permitted privacy attributes are to be established are defined; - id: ac-16_odp.07 props: - name: label value: AC-16_ODP[07] class: sp800-53a label: security attributes guidelines: - prose: security attributes defined as part of AC-16a that are permitted for systems are defined; - id: ac-16_odp.08 props: - name: label value: AC-16_ODP[08] class: sp800-53a label: privacy attributes guidelines: - prose: privacy attributes defined as part of AC-16a that are permitted for systems are defined; - id: ac-16_odp.09 props: - name: alt-identifier value: ac-16_prm_5 - name: alt-label value: attribute values or ranges for established attributes class: sp800-53 - name: label value: AC-16_ODP[09] class: sp800-53a label: attribute values or ranges guidelines: - prose: attribute values or ranges for established attributes are defined; - id: ac-16_odp.10 props: - name: label value: AC-16_ODP[10] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to review security attributes for applicability is defined; - id: ac-16_odp.11 props: - name: label value: AC-16_ODP[11] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to review privacy attributes for applicability is defined; props: - name: label value: AC-16 class: zero-padded - name: label value: AC-16 - name: label value: AC-16 class: sp800-53a - name: sort-id value: ac-16 - 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: '#2956e175-f674-43f4-b1b9-e074ad9fc39c' rel: reference - href: '#388a3aa2-5d85-4bad-b8a3-77db80d63c4f' rel: reference - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-6' rel: related - href: '#ac-21' rel: related - href: '#ac-25' rel: related - href: '#au-2' rel: related - href: '#au-10' rel: related - href: '#mp-3' rel: related - href: '#pe-22' rel: related - href: '#pt-2' rel: related - href: '#pt-3' rel: related - href: '#pt-4' rel: related - href: '#sc-11' rel: related - href: '#sc-16' rel: related - href: '#si-12' rel: related - href: '#si-18' rel: related parts: - id: ac-16_smt name: statement parts: - id: ac-16_smt.a name: item props: - name: label value: a. prose: 'Provide the means to associate {{ insert: param, ac-16_prm_1 }} with {{ insert: param, ac-16_prm_2 }} for information in storage, in process, and/or in transmission;' - id: ac-16_smt.b name: item props: - name: label value: b. prose: Ensure that the attribute associations are made and retained with the information; - id: ac-16_smt.c name: item props: - name: label value: c. prose: 'Establish the following permitted security and privacy attributes from the attributes defined in [AC-16a](#ac-16_smt.a) for {{ insert: param, ac-16_prm_3 }}: {{ insert: param, ac-16_prm_4 }};' - id: ac-16_smt.d name: item props: - name: label value: d. prose: 'Determine the following permitted attribute values or ranges for each of the established attributes: {{ insert: param, ac-16_odp.09 }};' - id: ac-16_smt.e name: item props: - name: label value: e. prose: Audit changes to attributes; and - id: ac-16_smt.f name: item props: - name: label value: f. prose: 'Review {{ insert: param, ac-16_prm_6 }} for applicability {{ insert: param, ac-16_prm_7 }}.' - id: ac-16_gdn name: guidance prose: |- Information is represented internally within systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures, such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions that represent the basic properties or characteristics of active and passive entities with respect to safeguarding information. Privacy attributes, which may be used independently or in conjunction with security attributes, represent the basic properties or characteristics of active or passive entities with respect to the management of personally identifiable information. Attributes can be either explicitly or implicitly associated with the information contained in organizational systems or system components. Attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, cause information to flow among objects, or change the system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of attributes to subjects and objects by a system is referred to as binding and is inclusive of setting the attribute value and the attribute type. Attributes, when bound to data or information, permit the enforcement of security and privacy policies for access control and information flow control, including data retention limits, permitted uses of personally identifiable information, and identification of personal information within data objects. Such enforcement occurs through organizational processes or system functions or mechanisms. The binding techniques implemented by systems affect the strength of attribute binding to information. Binding strength and the assurance associated with binding techniques play important parts in the trust that organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations. The content or assigned values of attributes can directly affect the ability of individuals to access organizational information. Organizations can define the types of attributes needed for systems to support missions or business functions. There are many values that can be assigned to a security attribute. By specifying the permitted attribute ranges and values, organizations ensure that attribute values are meaningful and relevant. Labeling refers to the association of attributes with the subjects and objects represented by the internal data structures within systems. This facilitates system-based enforcement of information security and privacy policies. Labels include classification of information in accordance with legal and compliance requirements (e.g., top secret, secret, confidential, controlled unclassified), information impact level; high value asset information, access authorizations, nationality; data life cycle protection (i.e., encryption and data expiration), personally identifiable information processing permissions, including individual consent to personally identifiable information processing, and contractor affiliation. A related term to labeling is marking. Marking refers to the association of attributes with objects in a human-readable form and displayed on system media. Marking enables manual, procedural, or process-based enforcement of information security and privacy policies. Security and privacy labels may have the same value as media markings (e.g., top secret, secret, confidential). See [MP-3](#mp-3) (Media Marking). - id: ac-16_obj name: assessment-objective props: - name: label value: AC-16 class: sp800-53a parts: - id: ac-16_obj.a name: assessment-objective props: - name: label value: AC-16a. class: sp800-53a parts: - id: ac-16_obj.a-1 name: assessment-objective props: - name: label value: AC-16a.[01] class: sp800-53a prose: 'the means to associate {{ insert: param, ac-16_odp.01 }} with {{ insert: param, ac-16_odp.03 }} for information in storage, in process, and/or in transmission are provided;' links: - href: '#ac-16_smt.a' rel: assessment-for - id: ac-16_obj.a-2 name: assessment-objective props: - name: label value: AC-16a.[02] class: sp800-53a prose: 'the means to associate {{ insert: param, ac-16_odp.02 }} with {{ insert: param, ac-16_odp.04 }} for information in storage, in process, and/or in transmission are provided;' links: - href: '#ac-16_smt.a' rel: assessment-for links: - href: '#ac-16_smt.a' rel: assessment-for - id: ac-16_obj.b name: assessment-objective props: - name: label value: AC-16b. class: sp800-53a parts: - id: ac-16_obj.b-1 name: assessment-objective props: - name: label value: AC-16b.[01] class: sp800-53a prose: attribute associations are made; links: - href: '#ac-16_smt.b' rel: assessment-for - id: ac-16_obj.b-2 name: assessment-objective props: - name: label value: AC-16b.[02] class: sp800-53a prose: attribute associations are retained with the information; links: - href: '#ac-16_smt.b' rel: assessment-for links: - href: '#ac-16_smt.b' rel: assessment-for - id: ac-16_obj.c name: assessment-objective props: - name: label value: AC-16c. class: sp800-53a parts: - id: ac-16_obj.c-1 name: assessment-objective props: - name: label value: AC-16c.[01] class: sp800-53a prose: 'the following permitted security attributes are established from the attributes defined in AC-16_ODP[01] for {{ insert: param, ac-16_odp.05 }}: {{ insert: param, ac-16_odp.07 }};' links: - href: '#ac-16_smt.c' rel: assessment-for - id: ac-16_obj.c-2 name: assessment-objective props: - name: label value: AC-16c.[02] class: sp800-53a prose: 'the following permitted privacy attributes are established from the attributes defined in AC-16_ODP[02] for {{ insert: param, ac-16_odp.06 }}: {{ insert: param, ac-16_odp.08 }};' links: - href: '#ac-16_smt.c' rel: assessment-for links: - href: '#ac-16_smt.c' rel: assessment-for - id: ac-16_obj.d name: assessment-objective props: - name: label value: AC-16d. class: sp800-53a prose: 'the following permitted attribute values or ranges for each of the established attributes are determined: {{ insert: param, ac-16_odp.09 }};' links: - href: '#ac-16_smt.d' rel: assessment-for - id: ac-16_obj.e name: assessment-objective props: - name: label value: AC-16e. class: sp800-53a prose: changes to attributes are audited; links: - href: '#ac-16_smt.e' rel: assessment-for - id: ac-16_obj.f name: assessment-objective props: - name: label value: AC-16f. class: sp800-53a parts: - id: ac-16_obj.f-1 name: assessment-objective props: - name: label value: AC-16f.[01] class: sp800-53a prose: '{{ insert: param, ac-16_odp.07 }} are reviewed for applicability {{ insert: param, ac-16_odp.10 }};' links: - href: '#ac-16_smt.f' rel: assessment-for - id: ac-16_obj.f-2 name: assessment-objective props: - name: label value: AC-16f.[02] class: sp800-53a prose: '{{ insert: param, ac-16_odp.08 }} are reviewed for applicability {{ insert: param, ac-16_odp.11 }}.' links: - href: '#ac-16_smt.f' rel: assessment-for links: - href: '#ac-16_smt.f' rel: assessment-for links: - href: '#ac-16_smt' rel: assessment-for - id: ac-16_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-16-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing the association of security and privacy attributes to information in storage, in process, and in transmission system design documentation system configuration settings and associated documentation system audit records system security plan privacy plan other relevant documents or records - id: ac-16_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-16-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities system developers - id: ac-16_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-16-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational capability supporting and maintaining the association of security and privacy attributes to information in storage, in process, and in transmission controls: - id: ac-16.1 class: SP800-53-enhancement title: Dynamic Attribute Association params: - id: ac-16.1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.01_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.01_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.01_odp.04 label: organization-defined subjects and objects - id: ac-16.1_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.01_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.01_odp.06 label: organization-defined security and privacy policies - id: ac-16.01_odp.01 props: - name: label value: AC-16(01)_ODP[01] class: sp800-53a label: subjects guidelines: - prose: subjects with which security attributes are to be dynamically associated as information is created and combined are defined; - id: ac-16.01_odp.02 props: - name: label value: AC-16(01)_ODP[02] class: sp800-53a label: objects guidelines: - prose: objects with which security attributes are to be dynamically associated as information is created and combined are defined; - id: ac-16.01_odp.03 props: - name: label value: AC-16(01)_ODP[03] class: sp800-53a label: subjects guidelines: - prose: subjects with which privacy attributes are to be dynamically associated as information is created and combined are defined; - id: ac-16.01_odp.04 props: - name: label value: AC-16(01)_ODP[04] class: sp800-53a label: objects guidelines: - prose: objects with which privacy attributes are to be dynamically associated as information is created and combined are defined; - id: ac-16.01_odp.05 props: - name: label value: AC-16(01)_ODP[05] class: sp800-53a label: security policies guidelines: - prose: security policies requiring dynamic association of security attributes with subjects and objects are defined; - id: ac-16.01_odp.06 props: - name: label value: AC-16(01)_ODP[06] class: sp800-53a label: privacy policies guidelines: - prose: privacy policies requiring dynamic association of privacy attributes with subjects and objects are defined; props: - name: label value: AC-16(01) class: zero-padded - name: label value: AC-16(1) - name: label value: AC-16(01) class: sp800-53a - name: sort-id value: ac-16.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-16' rel: required parts: - id: ac-16.1_smt name: statement prose: 'Dynamically associate security and privacy attributes with {{ insert: param, ac-16.1_prm_1 }} in accordance with the following security and privacy policies as information is created and combined: {{ insert: param, ac-16.1_prm_2 }}.' - id: ac-16.1_gdn name: guidance prose: Dynamic association of attributes is appropriate whenever the security or privacy characteristics of information change over time. Attributes may change due to information aggregation issues (i.e., characteristics of individual data elements are different from the combined elements), changes in individual access authorizations (i.e., privileges), changes in the security category of information, or changes in security or privacy policies. Attributes may also change situationally. - id: ac-16.1_obj name: assessment-objective props: - name: label value: AC-16(01) class: sp800-53a parts: - id: ac-16.1_obj-1 name: assessment-objective props: - name: label value: AC-16(01)[01] class: sp800-53a prose: 'security attributes are dynamically associated with {{ insert: param, ac-16.01_odp.01 }} in accordance with the following security policies as information is created and combined: {{ insert: param, ac-16.01_odp.05 }};' links: - href: '#ac-16.1_smt' rel: assessment-for - id: ac-16.1_obj-2 name: assessment-objective props: - name: label value: AC-16(01)[02] class: sp800-53a prose: 'security attributes are dynamically associated with {{ insert: param, ac-16.01_odp.02 }} in accordance with the following security policies as information is created and combined: {{ insert: param, ac-16.01_odp.05 }};' links: - href: '#ac-16.1_smt' rel: assessment-for - id: ac-16.1_obj-3 name: assessment-objective props: - name: label value: AC-16(01)[03] class: sp800-53a prose: 'privacy attributes are dynamically associated with {{ insert: param, ac-16.01_odp.03 }} in accordance with the following privacy policies as information is created and combined: {{ insert: param, ac-16.01_odp.06 }};' links: - href: '#ac-16.1_smt' rel: assessment-for - id: ac-16.1_obj-4 name: assessment-objective props: - name: label value: AC-16(01)[04] class: sp800-53a prose: 'privacy attributes are dynamically associated with {{ insert: param, ac-16.01_odp.04 }} in accordance with the following privacy policies as information is created and combined: {{ insert: param, ac-16.01_odp.06 }}.' links: - href: '#ac-16.1_smt' rel: assessment-for links: - href: '#ac-16.1_smt' rel: assessment-for - id: ac-16.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-16(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing dynamic association of security and privacy attributes to information system design documentation system configuration settings and associated documentation system audit records system security plan privacy plan other relevant documents or records - id: ac-16.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-16(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities system developers - id: ac-16.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-16(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms implementing dynamic association of security and privacy attributes to information - id: ac-16.2 class: SP800-53-enhancement title: Attribute Value Changes by Authorized Individuals props: - name: label value: AC-16(02) class: zero-padded - name: label value: AC-16(2) - name: label value: AC-16(02) class: sp800-53a - name: sort-id value: ac-16.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-16' rel: required parts: - id: ac-16.2_smt name: statement prose: Provide authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security and privacy attributes. - id: ac-16.2_gdn name: guidance prose: The content or assigned values of attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for systems to be able to limit the ability to create or modify attributes to authorized individuals. - id: ac-16.2_obj name: assessment-objective props: - name: label value: AC-16(02) class: sp800-53a parts: - id: ac-16.2_obj-1 name: assessment-objective props: - name: label value: AC-16(02)[01] class: sp800-53a prose: authorized individuals (or processes acting on behalf of individuals) are provided with the capability to define or change the value of associated security attributes; links: - href: '#ac-16.2_smt' rel: assessment-for - id: ac-16.2_obj-2 name: assessment-objective props: - name: label value: AC-16(02)[02] class: sp800-53a prose: authorized individuals (or processes acting on behalf of individuals) are provided with the capability to define or change the value of associated privacy attributes. links: - href: '#ac-16.2_smt' rel: assessment-for links: - href: '#ac-16.2_smt' rel: assessment-for - id: ac-16.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-16(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing the change of security and privacy attribute values system design documentation system configuration settings and associated documentation list of individuals authorized to change security and privacy attributes system audit records system security plan privacy plan other relevant documents or records - id: ac-16.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-16(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for changing values of security and privacy attributes organizational personnel with information security and privacy responsibilities system developers - id: ac-16.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-16(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms permitting changes to values of security and privacy attributes - id: ac-16.3 class: SP800-53-enhancement title: Maintenance of Attribute Associations by System params: - id: ac-16.3_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.03_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.03_odp.02 label: organization-defined security and privacy attributes - id: ac-16.3_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.03_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.03_odp.04 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.03_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.03_odp.06 label: organization-defined subjects and objects - id: ac-16.03_odp.01 props: - name: label value: AC-16(03)_ODP[01] class: sp800-53a label: security attributes guidelines: - prose: security attributes that require association and integrity maintenance are defined; - id: ac-16.03_odp.02 props: - name: label value: AC-16(03)_ODP[02] class: sp800-53a label: privacy attributes guidelines: - prose: privacy attributes that require association and integrity maintenance are defined; - id: ac-16.03_odp.03 props: - name: label value: AC-16(03)_ODP[03] class: sp800-53a label: subjects guidelines: - prose: subjects requiring the association and integrity of security attributes to such subjects to be maintained are defined; - id: ac-16.03_odp.04 props: - name: label value: AC-16(03)_ODP[04] class: sp800-53a label: objects guidelines: - prose: objects requiring the association and integrity of security attributes to such objects to be maintained are defined; - id: ac-16.03_odp.05 props: - name: label value: AC-16(03)_ODP[05] class: sp800-53a label: subjects guidelines: - prose: subjects requiring the association and integrity of privacy attributes to such subjects to be maintained are defined; - id: ac-16.03_odp.06 props: - name: label value: AC-16(03)_ODP[06] class: sp800-53a label: objects guidelines: - prose: objects requiring the association and integrity of privacy attributes to such objects to be maintained are defined; props: - name: label value: AC-16(03) class: zero-padded - name: label value: AC-16(3) - name: label value: AC-16(03) class: sp800-53a - name: sort-id value: ac-16.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-16' rel: required parts: - id: ac-16.3_smt name: statement prose: 'Maintain the association and integrity of {{ insert: param, ac-16.3_prm_1 }} to {{ insert: param, ac-16.3_prm_2 }}.' - id: ac-16.3_gdn name: guidance prose: Maintaining the association and integrity of security and privacy attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. The integrity of specific items, such as security configuration files, may be maintained through the use of an integrity monitoring mechanism that detects anomalies and changes that deviate from "known good" baselines. Automated policy actions include retention date expirations, access control decisions, information flow control decisions, and information disclosure decisions. - id: ac-16.3_obj name: assessment-objective props: - name: label value: AC-16(03) class: sp800-53a parts: - id: ac-16.3_obj-1 name: assessment-objective props: - name: label value: AC-16(03)[01] class: sp800-53a prose: 'the association and integrity of {{ insert: param, ac-16.03_odp.01 }} to {{ insert: param, ac-16.03_odp.03 }} is maintained;' links: - href: '#ac-16.3_smt' rel: assessment-for - id: ac-16.3_obj-2 name: assessment-objective props: - name: label value: AC-16(03)[02] class: sp800-53a prose: 'the association and integrity of {{ insert: param, ac-16.03_odp.01 }} to {{ insert: param, ac-16.03_odp.04 }} is maintained.' links: - href: '#ac-16.3_smt' rel: assessment-for - id: ac-16.3_obj-3 name: assessment-objective props: - name: label value: AC-16(03)[03] class: sp800-53a prose: 'the association and integrity of {{ insert: param, ac-16.03_odp.02 }} to {{ insert: param, ac-16.03_odp.05 }} is maintained;' links: - href: '#ac-16.3_smt' rel: assessment-for - id: ac-16.3_obj-4 name: assessment-objective props: - name: label value: AC-16(03)[04] class: sp800-53a prose: 'the association and integrity of {{ insert: param, ac-16.03_odp.02 }} to {{ insert: param, ac-16.03_odp.06 }} is maintained.' links: - href: '#ac-16.3_smt' rel: assessment-for links: - href: '#ac-16.3_smt' rel: assessment-for - id: ac-16.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-16(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing the association of security and privacy attributes to information procedures addressing labeling or marking system design documentation system configuration settings and associated documentation system security plan privacy plan other relevant documents or records - id: ac-16.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-16(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy responsibilities system developers - id: ac-16.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-16(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms maintaining association and integrity of security and privacy attributes to information - id: ac-16.4 class: SP800-53-enhancement title: Association of Attributes by Authorized Individuals params: - id: ac-16.4_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.04_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.04_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.04_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.04_odp.04 label: organization-defined security and privacy attributes - id: ac-16.4_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.04_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.04_odp.06 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.04_odp.07 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.04_odp.08 label: organization-defined subjects and objects - id: ac-16.04_odp.01 props: - name: label value: AC-16(04)_ODP[01] class: sp800-53a label: security attributes guidelines: - prose: security attributes to be associated with subjects by authorized individuals (or processes acting on behalf of individuals) are defined; - id: ac-16.04_odp.02 props: - name: label value: AC-16(04)_ODP[02] class: sp800-53a label: security attributes guidelines: - prose: security attributes to be associated with objects by authorized individuals (or processes acting on behalf of individuals) are defined; - id: ac-16.04_odp.03 props: - name: label value: AC-16(04)_ODP[03] class: sp800-53a label: privacy attributes guidelines: - prose: privacy attributes to be associated with subjects by authorized individuals (or processes acting on behalf of individuals) are defined; - id: ac-16.04_odp.04 props: - name: label value: AC-16(04)_ODP[04] class: sp800-53a label: privacy attributes guidelines: - prose: privacy attributes to be associated with objects by authorized individuals (or processes acting on behalf of individuals) are defined; - id: ac-16.04_odp.05 props: - name: label value: AC-16(04)_ODP[05] class: sp800-53a label: subjects guidelines: - prose: subjects requiring the association of security attributes by authorized individuals (or processes acting on behalf of individuals) are defined; - id: ac-16.04_odp.06 props: - name: label value: AC-16(04)_ODP[06] class: sp800-53a label: objects guidelines: - prose: objects requiring the association of security attributes by authorized individuals (or processes acting on behalf of individuals) are defined; - id: ac-16.04_odp.07 props: - name: label value: AC-16(04)_ODP[07] class: sp800-53a label: subjects guidelines: - prose: subjects requiring the association of privacy attributes by authorized individuals (or processes acting on behalf of individuals) are defined; - id: ac-16.04_odp.08 props: - name: label value: AC-16(04)_ODP[08] class: sp800-53a label: objects guidelines: - prose: objects requiring the association of privacy attributes by authorized individuals (or processes acting on behalf of individuals) are defined; props: - name: label value: AC-16(04) class: zero-padded - name: label value: AC-16(4) - name: label value: AC-16(04) class: sp800-53a - name: sort-id value: ac-16.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-16' rel: required parts: - id: ac-16.4_smt name: statement prose: 'Provide the capability to associate {{ insert: param, ac-16.4_prm_1 }} with {{ insert: param, ac-16.4_prm_2 }} by authorized individuals (or processes acting on behalf of individuals).' - id: ac-16.4_gdn name: guidance prose: Systems, in general, provide the capability for privileged users to assign security and privacy attributes to system-defined subjects (e.g., users) and objects (e.g., directories, files, and ports). Some systems provide additional capability for general users to assign security and privacy attributes to additional objects (e.g., files, emails). The association of attributes by authorized individuals is described in the design documentation. The support provided by systems can include prompting users to select security and privacy attributes to be associated with information objects, employing automated mechanisms to categorize information with attributes based on defined policies, or ensuring that the combination of the security or privacy attributes selected is valid. Organizations consider the creation, deletion, or modification of attributes when defining auditable events. - id: ac-16.4_obj name: assessment-objective props: - name: label value: AC-16(04) class: sp800-53a parts: - id: ac-16.4_obj-1 name: assessment-objective props: - name: label value: AC-16(04)[01] class: sp800-53a prose: 'authorized individuals (or processes acting on behalf of individuals) are provided with the capability to associate {{ insert: param, ac-16.04_odp.01 }} with {{ insert: param, ac-16.04_odp.05 }};' links: - href: '#ac-16.4_smt' rel: assessment-for - id: ac-16.4_obj-2 name: assessment-objective props: - name: label value: AC-16(04)[02] class: sp800-53a prose: 'authorized individuals (or processes acting on behalf of individuals) are provided with the capability to associate {{ insert: param, ac-16.04_odp.02 }} with {{ insert: param, ac-16.04_odp.06 }};' links: - href: '#ac-16.4_smt' rel: assessment-for - id: ac-16.4_obj-3 name: assessment-objective props: - name: label value: AC-16(04)[03] class: sp800-53a prose: 'authorized individuals (or processes acting on behalf of individuals) are provided with the capability to associate {{ insert: param, ac-16.04_odp.03 }} with {{ insert: param, ac-16.04_odp.07 }};' links: - href: '#ac-16.4_smt' rel: assessment-for - id: ac-16.4_obj-4 name: assessment-objective props: - name: label value: AC-16(04)[04] class: sp800-53a prose: 'authorized individuals (or processes acting on behalf of individuals) are provided with the capability to associate {{ insert: param, ac-16.04_odp.04 }} with {{ insert: param, ac-16.04_odp.08 }}.' links: - href: '#ac-16.4_smt' rel: assessment-for links: - href: '#ac-16.4_smt' rel: assessment-for - id: ac-16.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-16(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing the association of security and privacy attributes to information system design documentation system configuration settings and associated documentation list of users authorized to associate security and privacy attributes to information system prompts for privileged users to select security and privacy attributes to be associated with information objects system audit records system security plan privacy plan other relevant documents or records - id: ac-16.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-16(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for associating security and privacy attributes to information organizational personnel with information security and privacy responsibilities system developers - id: ac-16.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-16(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting user associations of security and privacy attributes to information - id: ac-16.5 class: SP800-53-enhancement title: Attribute Displays on Objects to Be Output params: - id: ac-16.05_odp.01 props: - name: alt-identifier value: ac-16.5_prm_1 - name: alt-label value: special dissemination, handling, or distribution instructions class: sp800-53 - name: label value: AC-16(05)_ODP[01] class: sp800-53a label: instructions guidelines: - prose: special dissemination, handling, or distribution instructions to be used for each object that the system transmits to output devices are defined; - id: ac-16.05_odp.02 props: - name: alt-identifier value: ac-16.5_prm_2 - name: alt-label value: human-readable, standard naming conventions class: sp800-53 - name: label value: AC-16(05)_ODP[02] class: sp800-53a label: naming conventions guidelines: - prose: human-readable, standard naming conventions for the security and privacy attributes to be displayed in human-readable form on each object that the system transmits to output devices are defined; props: - name: label value: AC-16(05) class: zero-padded - name: label value: AC-16(5) - name: label value: AC-16(05) class: sp800-53a - name: sort-id value: ac-16.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-16' rel: required parts: - id: ac-16.5_smt name: statement prose: 'Display security and privacy attributes in human-readable form on each object that the system transmits to output devices to identify {{ insert: param, ac-16.05_odp.01 }} using {{ insert: param, ac-16.05_odp.02 }}.' - id: ac-16.5_gdn name: guidance prose: System outputs include printed pages, screens, or equivalent items. System output devices include printers, notebook computers, video displays, smart phones, and tablets. To mitigate the risk of unauthorized exposure of information (e.g., shoulder surfing), the outputs display full attribute values when unmasked by the subscriber. - id: ac-16.5_obj name: assessment-objective props: - name: label value: AC-16(05) class: sp800-53a parts: - id: ac-16.5_obj-1 name: assessment-objective props: - name: label value: AC-16(05)[01] class: sp800-53a prose: 'security attributes are displayed in human-readable form on each object that the system transmits to output devices to identify {{ insert: param, ac-16.05_odp.01 }} using {{ insert: param, ac-16.05_odp.02 }};' links: - href: '#ac-16.5_smt' rel: assessment-for - id: ac-16.5_obj-2 name: assessment-objective props: - name: label value: AC-16(05)[02] class: sp800-53a prose: 'privacy attributes are displayed in human-readable form on each object that the system transmits to output devices to identify {{ insert: param, ac-16.05_odp.01 }} using {{ insert: param, ac-16.05_odp.02 }}.' links: - href: '#ac-16.5_smt' rel: assessment-for links: - href: '#ac-16.5_smt' rel: assessment-for - id: ac-16.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-16(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing display of security and privacy attributes in human-readable form special dissemination, handling, or distribution instructions types of human-readable, standard naming conventions system design documentation system configuration settings and associated documentation system audit records system security plan privacy plan other relevant documents or records - id: ac-16.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-16(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy responsibilities system developers - id: ac-16.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-16(05)-Test class: sp800-53a parts: - name: assessment-objects prose: System output devices displaying security and privacy attributes in human-readable form on each object - id: ac-16.6 class: SP800-53-enhancement title: Maintenance of Attribute Association params: - id: ac-16.6_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.06_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.06_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.06_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.06_odp.04 label: organization-defined security and privacy attributes - id: ac-16.6_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.06_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.06_odp.06 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.06_odp.07 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.06_odp.08 label: organization-defined subjects and objects - id: ac-16.6_prm_3 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.06_odp.09 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.06_odp.10 label: organization-defined security and privacy policies - id: ac-16.06_odp.01 props: - name: label value: AC-16(06)_ODP[01] class: sp800-53a label: security attributes guidelines: - prose: security attributes to be associated with subjects are defined; - id: ac-16.06_odp.02 props: - name: label value: AC-16(06)_ODP[02] class: sp800-53a label: security attributes guidelines: - prose: security attributes to be associated with objects are defined; - id: ac-16.06_odp.03 props: - name: label value: AC-16(06)_ODP[03] class: sp800-53a label: privacy attributes guidelines: - prose: privacy attributes to be associated with subjects are defined; - id: ac-16.06_odp.04 props: - name: label value: AC-16(06)_ODP[04] class: sp800-53a label: privacy attributes guidelines: - prose: privacy attributes to be associated with objects are defined; - id: ac-16.06_odp.05 props: - name: label value: AC-16(06)_ODP[05] class: sp800-53a label: subjects guidelines: - prose: subjects to be associated with information security attributes are defined; - id: ac-16.06_odp.06 props: - name: label value: AC-16(06)_ODP[06] class: sp800-53a label: objects guidelines: - prose: objects to be associated with information security attributes are defined; - id: ac-16.06_odp.07 props: - name: label value: AC-16(06)_ODP[07] class: sp800-53a label: subjects guidelines: - prose: subjects to be associated with privacy attributes are defined; - id: ac-16.06_odp.08 props: - name: label value: AC-16(06)_ODP[08] class: sp800-53a label: objects guidelines: - prose: objects to be associated with privacy attributes are defined; - id: ac-16.06_odp.09 props: - name: label value: AC-16(06)_ODP[09] class: sp800-53a label: security policies guidelines: - prose: security policies that require personnel to associate and maintain the association of security and privacy attributes with subjects and objects; - id: ac-16.06_odp.10 props: - name: label value: AC-16(06)_ODP[10] class: sp800-53a label: privacy policies guidelines: - prose: privacy policies that require personnel to associate and maintain the association of security and privacy attributes with subjects and objects; props: - name: label value: AC-16(06) class: zero-padded - name: label value: AC-16(6) - name: label value: AC-16(06) class: sp800-53a - name: sort-id value: ac-16.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-16' rel: required parts: - id: ac-16.6_smt name: statement prose: 'Require personnel to associate and maintain the association of {{ insert: param, ac-16.6_prm_1 }} with {{ insert: param, ac-16.6_prm_2 }} in accordance with {{ insert: param, ac-16.6_prm_3 }}.' - id: ac-16.6_gdn name: guidance prose: Maintaining attribute association requires individual users (as opposed to the system) to maintain associations of defined security and privacy attributes with subjects and objects. - id: ac-16.6_obj name: assessment-objective props: - name: label value: AC-16(06) class: sp800-53a parts: - id: ac-16.6_obj-1 name: assessment-objective props: - name: label value: AC-16(06)[01] class: sp800-53a prose: 'personnel are required to associate and maintain the association of {{ insert: param, ac-16.06_odp.01 }} with {{ insert: param, ac-16.06_odp.05 }} in accordance with {{ insert: param, ac-16.06_odp.09 }};' links: - href: '#ac-16.6_smt' rel: assessment-for - id: ac-16.6_obj-2 name: assessment-objective props: - name: label value: AC-16(06)[02] class: sp800-53a prose: 'personnel are required to associate and maintain the association of {{ insert: param, ac-16.06_odp.02 }} with {{ insert: param, ac-16.06_odp.06 }} in accordance with {{ insert: param, ac-16.06_odp.09 }};' links: - href: '#ac-16.6_smt' rel: assessment-for - id: ac-16.6_obj-3 name: assessment-objective props: - name: label value: AC-16(06)[03] class: sp800-53a prose: 'personnel are required to associate and maintain the association of {{ insert: param, ac-16.06_odp.03 }} with {{ insert: param, ac-16.06_odp.07 }} in accordance with {{ insert: param, ac-16.06_odp.10 }};' links: - href: '#ac-16.6_smt' rel: assessment-for - id: ac-16.6_obj-4 name: assessment-objective props: - name: label value: AC-16(06)[04] class: sp800-53a prose: 'personnel are required to associate and maintain the association of {{ insert: param, ac-16.06_odp.04 }} with {{ insert: param, ac-16.06_odp.08 }} in accordance with {{ insert: param, ac-16.06_odp.10 }}.' links: - href: '#ac-16.6_smt' rel: assessment-for links: - href: '#ac-16.6_smt' rel: assessment-for - id: ac-16.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-16(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing association of security and privacy attributes with subjects and objects system security plan privacy plan other relevant documents or records - id: ac-16.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-16(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for associating and maintaining association of security and privacy attributes with subjects and objects organizational personnel with information security and privacy responsibilities system developers - id: ac-16.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-16(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting associations of security and privacy attributes to subjects and objects - id: ac-16.7 class: SP800-53-enhancement title: Consistent Attribute Interpretation props: - name: label value: AC-16(07) class: zero-padded - name: label value: AC-16(7) - name: label value: AC-16(07) class: sp800-53a - name: sort-id value: ac-16.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-16' rel: required parts: - id: ac-16.7_smt name: statement prose: Provide a consistent interpretation of security and privacy attributes transmitted between distributed system components. - id: ac-16.7_gdn name: guidance prose: To enforce security and privacy policies across multiple system components in distributed systems, organizations provide a consistent interpretation of security and privacy attributes employed in access enforcement and flow enforcement decisions. Organizations can establish agreements and processes to help ensure that distributed system components implement attributes with consistent interpretations in automated access enforcement and flow enforcement actions. - id: ac-16.7_obj name: assessment-objective props: - name: label value: AC-16(07) class: sp800-53a parts: - id: ac-16.7_obj-1 name: assessment-objective props: - name: label value: AC-16(07)[01] class: sp800-53a prose: a consistent interpretation of security attributes transmitted between distributed system components is provided; links: - href: '#ac-16.7_smt' rel: assessment-for - id: ac-16.7_obj-2 name: assessment-objective props: - name: label value: AC-16(07)[02] class: sp800-53a prose: a consistent interpretation of privacy attributes transmitted between distributed system components is provided. links: - href: '#ac-16.7_smt' rel: assessment-for links: - href: '#ac-16.7_smt' rel: assessment-for - id: ac-16.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-16(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policies and procedures procedures addressing consistent interpretation of security and privacy attributes transmitted between distributed system components procedures addressing access enforcement procedures addressing information flow enforcement system design documentation system configuration settings and associated documentation system audit records system security plan privacy access control policy other relevant documents or records - id: ac-16.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-16(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for providing consistent interpretation of security and privacy attributes used in access enforcement and information flow enforcement actions organizational personnel with information security and privacy responsibilities system developers - id: ac-16.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-16(07)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access enforcement and information flow enforcement functions - id: ac-16.8 class: SP800-53-enhancement title: Association Techniques and Technologies params: - id: ac-16.8_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.08_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.08_odp.02 label: organization-defined techniques and technologies - id: ac-16.08_odp.01 props: - name: label value: AC-16(08)_ODP[01] class: sp800-53a label: techniques and technologies guidelines: - prose: techniques and technologies to be implemented in associating security attributes to information are defined; - id: ac-16.08_odp.02 props: - name: label value: AC-16(08)_ODP[02] class: sp800-53a label: techniques and technologies guidelines: - prose: techniques and technologies to be implemented in associating privacy attributes to information are defined; props: - name: label value: AC-16(08) class: zero-padded - name: label value: AC-16(8) - name: label value: AC-16(08) class: sp800-53a - name: sort-id value: ac-16.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-16' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: ac-16.8_smt name: statement prose: 'Implement {{ insert: param, ac-16.8_prm_1 }} in associating security and privacy attributes to information.' - id: ac-16.8_gdn name: guidance prose: The association of security and privacy attributes to information within systems is important for conducting automated access enforcement and flow enforcement actions. The association of such attributes to information (i.e., binding) can be accomplished with technologies and techniques that provide different levels of assurance. For example, systems can cryptographically bind attributes to information using digital signatures that support cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust). - id: ac-16.8_obj name: assessment-objective props: - name: label value: AC-16(08) class: sp800-53a parts: - id: ac-16.8_obj-1 name: assessment-objective props: - name: label value: AC-16(08)[01] class: sp800-53a prose: '{{ insert: param, ac-16.08_odp.01 }} are implemented in associating security attributes to information;' links: - href: '#ac-16.8_smt' rel: assessment-for - id: ac-16.8_obj-2 name: assessment-objective props: - name: label value: AC-16(08)[02] class: sp800-53a prose: '{{ insert: param, ac-16.08_odp.02 }} are implemented in associating privacy attributes to information.' links: - href: '#ac-16.8_smt' rel: assessment-for links: - href: '#ac-16.8_smt' rel: assessment-for - id: ac-16.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-16(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing association of security and privacy attributes to information system design documentation system configuration settings and associated documentation system audit records system security plan privacy plan other relevant documents or records - id: ac-16.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-16(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for associating security and privacy attributes to information organizational personnel with information security and privacy responsibilities system developers - id: ac-16.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-16(08)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing techniques or technologies associating security and privacy attributes to information - id: ac-16.9 class: SP800-53-enhancement title: Attribute Reassignment — Regrading Mechanisms params: - id: ac-16.9_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.09_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-16.09_odp.02 label: organization-defined techniques or procedures - id: ac-16.09_odp.01 props: - name: label value: AC-16(09)_ODP[01] class: sp800-53a label: techniques or procedures guidelines: - prose: techniques or procedures used to validate regrading mechanisms for security attributes are defined; - id: ac-16.09_odp.02 props: - name: label value: AC-16(09)_ODP[02] class: sp800-53a label: techniques or procedures guidelines: - prose: techniques or procedures used to validate regrading mechanisms for privacy attributes are defined; props: - name: label value: AC-16(09) class: zero-padded - name: label value: AC-16(9) - name: label value: AC-16(09) class: sp800-53a - name: sort-id value: ac-16.09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-16' rel: required parts: - id: ac-16.9_smt name: statement prose: 'Change security and privacy attributes associated with information only via regrading mechanisms validated using {{ insert: param, ac-16.9_prm_1 }}.' - id: ac-16.9_gdn name: guidance prose: A regrading mechanism is a trusted process authorized to re-classify and re-label data in accordance with a defined policy exception. Validated regrading mechanisms are used by organizations to provide the requisite levels of assurance for attribute reassignment activities. The validation is facilitated by ensuring that regrading mechanisms are single purpose and of limited function. Since security and privacy attribute changes can directly affect policy enforcement actions, implementing trustworthy regrading mechanisms is necessary to help ensure that such mechanisms perform in a consistent and correct mode of operation. - id: ac-16.9_obj name: assessment-objective props: - name: label value: AC-16(09) class: sp800-53a parts: - id: ac-16.9_obj-1 name: assessment-objective props: - name: label value: AC-16(09)[01] class: sp800-53a prose: 'security attributes associated with information are changed only via regrading mechanisms validated using {{ insert: param, ac-16.09_odp.01 }};' links: - href: '#ac-16.9_smt' rel: assessment-for - id: ac-16.9_obj-2 name: assessment-objective props: - name: label value: AC-16(09)[02] class: sp800-53a prose: 'privacy attributes associated with information are changed only via regrading mechanisms validated using {{ insert: param, ac-16.09_odp.02 }}.' links: - href: '#ac-16.9_smt' rel: assessment-for links: - href: '#ac-16.9_smt' rel: assessment-for - id: ac-16.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-16(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing reassignment of security attributes to information system design documentation system configuration settings and associated documentation system audit records system security plan privacy plan other relevant documents or records - id: ac-16.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-16(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for reassigning association of security and privacy attributes to information organizational personnel with information security and privacy responsibilities system developers - id: ac-16.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-16(09)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing techniques or procedures for reassigning association of security and privacy attributes to information - id: ac-16.10 class: SP800-53-enhancement title: Attribute Configuration by Authorized Individuals props: - name: label value: AC-16(10) class: zero-padded - name: label value: AC-16(10) - name: label value: AC-16(10) class: sp800-53a - name: sort-id value: ac-16.10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-16' rel: required parts: - id: ac-16.10_smt name: statement prose: Provide authorized individuals the capability to define or change the type and value of security and privacy attributes available for association with subjects and objects. - id: ac-16.10_gdn name: guidance prose: The content or assigned values of security and privacy attributes can directly affect the ability of individuals to access organizational information. Thus, it is important for systems to be able to limit the ability to create or modify the type and value of attributes available for association with subjects and objects to authorized individuals only. - id: ac-16.10_obj name: assessment-objective props: - name: label value: AC-16(10) class: sp800-53a parts: - id: ac-16.10_obj-1 name: assessment-objective props: - name: label value: AC-16(10)[01] class: sp800-53a prose: authorized individuals are provided with the capability to define or change the type and value of security attributes available for association with subjects and objects; links: - href: '#ac-16.10_smt' rel: assessment-for - id: ac-16.10_obj-2 name: assessment-objective props: - name: label value: AC-16(10)[02] class: sp800-53a prose: authorized individuals are provided with the capability to define or change the type and value of privacy attributes available for association with subjects and objects. links: - href: '#ac-16.10_smt' rel: assessment-for links: - href: '#ac-16.10_smt' rel: assessment-for - id: ac-16.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-16(10)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing configuration of security and privacy attributes by authorized individuals system design documentation system configuration settings and associated documentation system audit records system security plan privacy plan other relevant documents or records - id: ac-16.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-16(10)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for defining or changing security and privacy attributes associated with information organizational personnel with information security and privacy responsibilities system developers - id: ac-16.10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-16(10)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing capability for defining or changing security and privacy attributes - id: ac-17 class: SP800-53 title: Remote Access props: - name: label value: AC-17 class: zero-padded - name: label value: AC-17 - name: label value: AC-17 class: sp800-53a - name: sort-id value: ac-17 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#83b9d63b-66b1-467c-9f3b-3a0b108771e9' rel: reference - href: '#d4d7c760-2907-403b-8b2a-767ca5370ecd' rel: reference - href: '#6bc4d137-aece-42a8-8081-9ecb1ebe9fb4' rel: reference - href: '#42e37e51-7cc0-4ffa-81c9-0ac942da7e99' rel: reference - href: '#d17ebd7a-ffab-499d-bfff-e705bbb01fa6' rel: reference - href: '#3915a084-b87b-4f02-83d4-c369e746292f' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#ac-20' rel: related - href: '#ca-3' rel: related - href: '#cm-10' rel: related - href: '#ia-2' rel: related - href: '#ia-3' rel: related - href: '#ia-8' rel: related - href: '#ma-4' rel: related - href: '#pe-17' rel: related - href: '#pl-2' rel: related - href: '#pl-4' rel: related - href: '#sc-10' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#si-4' rel: related parts: - id: ac-17_smt name: statement parts: - id: ac-17_smt.a name: item props: - name: 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: 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: 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: label value: AC-17b. class: sp800-53a prose: each type of remote access to the system is authorized prior to allowing such connections. links: - href: '#ac-17_smt.b' rel: assessment-for links: - href: '#ac-17_smt' rel: assessment-for - id: ac-17_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-17-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing remote access implementation and usage (including restrictions) configuration management plan system configuration settings and associated documentation remote access authorizations system audit records system security plan other relevant documents or records - id: ac-17_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-17-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for managing remote access connections system/network administrators organizational personnel with information security responsibilities - id: ac-17_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-17-Test class: sp800-53a parts: - name: assessment-objects prose: Remote access management capability for the system controls: - id: ac-17.1 class: SP800-53-enhancement title: Monitoring and Control props: - name: label value: AC-17(01) class: zero-padded - name: label value: AC-17(1) - name: label value: AC-17(01) class: sp800-53a - name: sort-id value: ac-17.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-17' rel: required - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#au-12' rel: related - href: '#au-14' rel: related parts: - id: ac-17.1_smt name: statement prose: Employ automated mechanisms to monitor and control remote access methods. - id: ac-17.1_gdn name: guidance prose: Monitoring and control of remote access methods allows organizations to detect attacks and help ensure compliance with remote access policies by auditing the connection activities of remote users on a variety of system components, including servers, notebook computers, workstations, smart phones, and tablets. Audit logging for remote access is enforced by [AU-2](#au-2) . Audit events are defined in [AU-2a](#au-2_smt.a). - id: ac-17.1_obj name: assessment-objective props: - name: label value: AC-17(01) class: sp800-53a parts: - id: ac-17.1_obj-1 name: assessment-objective props: - name: label value: AC-17(01)[01] class: sp800-53a prose: automated mechanisms are employed to monitor remote access methods; links: - href: '#ac-17.1_smt' rel: assessment-for - id: ac-17.1_obj-2 name: assessment-objective props: - name: label value: AC-17(01)[02] class: sp800-53a prose: automated mechanisms are employed to control remote access methods. links: - href: '#ac-17.1_smt' rel: assessment-for links: - href: '#ac-17.1_smt' rel: assessment-for - id: ac-17.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-17(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing remote access to the system system design documentation system configuration settings and associated documentation system audit records system monitoring records system security plan other relevant documents or records - id: ac-17.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-17(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-17.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-17(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms monitoring and controlling remote access methods - id: ac-17.2 class: SP800-53-enhancement title: Protection of Confidentiality and Integrity Using Encryption props: - name: label value: AC-17(02) class: zero-padded - name: label value: AC-17(2) - name: label value: AC-17(02) class: sp800-53a - name: sort-id value: ac-17.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-17' rel: required - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: ac-17.2_smt name: statement prose: Implement cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions. - id: ac-17.2_gdn name: guidance prose: Virtual private networks can be used to protect the confidentiality and integrity of remote access sessions. Transport Layer Security (TLS) is an example of a cryptographic protocol that provides end-to-end communications security over networks and is used for Internet communications and online transactions. - id: ac-17.2_obj name: assessment-objective props: - name: label value: AC-17(02) class: sp800-53a prose: cryptographic mechanisms are implemented to protect the confidentiality and integrity of remote access sessions. links: - href: '#ac-17.2_smt' rel: assessment-for - id: ac-17.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-17(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing remote access to the system system design documentation system configuration settings and associated documentation cryptographic mechanisms and associated configuration documentation system audit records system security plan other relevant documents or records - id: ac-17.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-17(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-17.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-17(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Cryptographic mechanisms protecting confidentiality and integrity of remote access sessions - id: ac-17.3 class: SP800-53-enhancement title: Managed Access Control Points props: - name: label value: AC-17(03) class: zero-padded - name: label value: AC-17(3) - name: label value: AC-17(03) class: sp800-53a - name: sort-id value: ac-17.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-17' rel: required - href: '#sc-7' rel: related parts: - id: ac-17.3_smt name: statement prose: Route remote accesses through authorized and managed network access control points. - id: ac-17.3_gdn name: guidance prose: Organizations consider the Trusted Internet Connections (TIC) initiative [DHS TIC](#4f42ee6e-86cc-403b-a51f-76c2b4f81b54) requirements for external network connections since limiting the number of access control points for remote access reduces attack surfaces. - id: ac-17.3_obj name: assessment-objective props: - name: label value: AC-17(03) class: sp800-53a prose: remote accesses are routed through authorized and managed network access control points. links: - href: '#ac-17.3_smt' rel: assessment-for - id: ac-17.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-17(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing remote access to the system system design documentation list of all managed network access control points system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-17.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-17(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: ac-17.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-17(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms routing all remote accesses through managed network access control points - id: ac-17.4 class: SP800-53-enhancement title: Privileged Commands and Access params: - id: ac-17.4_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-17.04_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-17.04_odp.02 label: organization-defined needs - id: ac-17.04_odp.01 props: - name: label value: AC-17(04)_ODP[01] class: sp800-53a label: needs requiring remote access guidelines: - prose: needs requiring execution of privileged commands via remote access are defined; - id: ac-17.04_odp.02 props: - name: label value: AC-17(04)_ODP[02] class: sp800-53a label: needs requiring remote access guidelines: - prose: needs requiring access to security-relevant information via remote access are defined; props: - name: label value: AC-17(04) class: zero-padded - name: label value: AC-17(4) - name: label value: AC-17(04) class: sp800-53a - name: sort-id value: ac-17.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-17' rel: required - href: '#ac-6' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: ac-17.4_smt name: statement parts: - id: ac-17.4_smt.a name: item props: - name: label value: (a) prose: 'Authorize the execution of privileged commands and access to security-relevant information via remote access only in a format that provides assessable evidence and for the following needs: {{ insert: param, ac-17.4_prm_1 }} ; and' - id: ac-17.4_smt.b name: item props: - name: label value: (b) prose: Document the rationale for remote access in the security plan for the system. - id: ac-17.4_gdn name: guidance prose: Remote access to systems represents a significant potential vulnerability that can be exploited by adversaries. As such, restricting the execution of privileged commands and access to security-relevant information via remote access reduces the exposure of the organization and the susceptibility to threats by adversaries to the remote access capability. - id: ac-17.4_obj name: assessment-objective props: - name: label value: AC-17(04) class: sp800-53a parts: - id: ac-17.4_obj.a name: assessment-objective props: - name: label value: AC-17(04)(a) class: sp800-53a parts: - id: ac-17.4_obj.a-1 name: assessment-objective props: - name: label value: AC-17(04)(a)[01] class: sp800-53a prose: the execution of privileged commands via remote access is authorized only in a format that provides assessable evidence; links: - href: '#ac-17.4_smt.a' rel: assessment-for - id: ac-17.4_obj.a-2 name: assessment-objective props: - name: label value: AC-17(04)(a)[02] class: sp800-53a prose: access to security-relevant information via remote access is authorized only in a format that provides assessable evidence; links: - href: '#ac-17.4_smt.a' rel: assessment-for - id: ac-17.4_obj.a-3 name: assessment-objective props: - name: label value: AC-17(04)(a)[03] class: sp800-53a prose: 'the execution of privileged commands via remote access is authorized only for the following needs: {{ insert: param, ac-17.04_odp.01 }};' links: - href: '#ac-17.4_smt.a' rel: assessment-for - id: ac-17.4_obj.a-4 name: assessment-objective props: - name: label value: AC-17(04)(a)[04] class: sp800-53a prose: 'access to security-relevant information via remote access is authorized only for the following needs: {{ insert: param, ac-17.04_odp.02 }};' links: - href: '#ac-17.4_smt.a' rel: assessment-for links: - href: '#ac-17.4_smt.a' rel: assessment-for - id: ac-17.4_obj.b name: assessment-objective props: - name: label value: AC-17(04)(b) class: sp800-53a prose: the rationale for remote access is documented in the security plan for the system. links: - href: '#ac-17.4_smt.b' rel: assessment-for links: - href: '#ac-17.4_smt' rel: assessment-for - id: ac-17.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-17(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing remote access to the system system configuration settings and associated documentation security plan system audit records system security plan other relevant documents or records - id: ac-17.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-17(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: ac-17.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-17(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing remote access management - id: ac-17.5 class: SP800-53-enhancement title: Monitoring for Unauthorized Connections props: - name: label value: AC-17(05) class: zero-padded - name: label value: AC-17(5) - name: label value: AC-17(05) class: sp800-53a - name: sort-id value: ac-17.05 - name: status value: withdrawn links: - href: '#si-4' rel: incorporated-into - id: ac-17.6 class: SP800-53-enhancement title: Protection of Mechanism Information props: - name: label value: AC-17(06) class: zero-padded - name: label value: AC-17(6) - name: label value: AC-17(06) class: sp800-53a - name: sort-id value: ac-17.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-17' rel: required - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#ps-6' rel: related parts: - id: ac-17.6_smt name: statement prose: Protect information about remote access mechanisms from unauthorized use and disclosure. - id: ac-17.6_gdn name: guidance prose: Remote access to organizational information by non-organizational entities can increase the risk of unauthorized use and disclosure about remote access mechanisms. The organization considers including remote access requirements in the information exchange agreements with other organizations, as applicable. Remote access requirements can also be included in rules of behavior (see [PL-4](#pl-4) ) and access agreements (see [PS-6](#ps-6)). - id: ac-17.6_obj name: assessment-objective props: - name: label value: AC-17(06) class: sp800-53a prose: information about remote access mechanisms is protected from unauthorized use and disclosure. links: - href: '#ac-17.6_smt' rel: assessment-for - id: ac-17.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-17(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing remote access to the system system security plan other relevant documents or records - id: ac-17.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-17(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for implementing or monitoring remote access to the system system users with knowledge of information about remote access mechanisms organizational personnel with information security responsibilities - id: ac-17.7 class: SP800-53-enhancement title: Additional Protection for Security Function Access props: - name: label value: AC-17(07) class: zero-padded - name: label value: AC-17(7) - name: label value: AC-17(07) class: sp800-53a - name: sort-id value: ac-17.07 - name: status value: withdrawn links: - href: '#ac-3.10' rel: incorporated-into - id: ac-17.8 class: SP800-53-enhancement title: Disable Nonsecure Network Protocols props: - name: label value: AC-17(08) class: zero-padded - name: label value: AC-17(8) - name: label value: AC-17(08) class: sp800-53a - name: sort-id value: ac-17.08 - name: status value: withdrawn links: - href: '#cm-7' rel: incorporated-into - id: ac-17.9 class: SP800-53-enhancement title: Disconnect or Disable Access params: - id: ac-17.09_odp props: - name: alt-identifier value: ac-17.9_prm_1 - name: label value: AC-17(09)_ODP class: sp800-53a label: time period guidelines: - prose: the time period within which to disconnect or disable remote access to the system is defined; props: - name: label value: AC-17(09) class: zero-padded - name: label value: AC-17(9) - name: label value: AC-17(09) class: sp800-53a - name: sort-id value: ac-17.09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-17' rel: required parts: - id: ac-17.9_smt name: statement prose: 'Provide the capability to disconnect or disable remote access to the system within {{ insert: param, ac-17.09_odp }}.' - id: ac-17.9_gdn name: guidance prose: The speed of system disconnect or disablement varies based on the criticality of missions or business functions and the need to eliminate immediate or future remote access to systems. - id: ac-17.9_obj name: assessment-objective props: - name: label value: AC-17(09) class: sp800-53a prose: 'the capability to disconnect or disable remote access to the system within {{ insert: param, ac-17.09_odp }} is provided.' links: - href: '#ac-17.9_smt' rel: assessment-for - id: ac-17.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-17(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing disconnecting or disabling remote access to the system system design documentation system configuration settings and associated documentation security plan, system audit records system security plan other relevant documents or records - id: ac-17.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-17(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-17.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-17(09)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing capability to disconnect or disable remote access to system - id: ac-17.10 class: SP800-53-enhancement title: Authenticate Remote Commands params: - id: ac-17.10_odp.01 props: - name: alt-identifier value: ac-17.10_prm_1 - name: label value: AC-17(10)_ODP[01] class: sp800-53a label: mechanisms guidelines: - prose: mechanisms implemented to authenticate remote commands are defined; - id: ac-17.10_odp.02 props: - name: alt-identifier value: ac-17.10_prm_2 - name: label value: AC-17(10)_ODP[02] class: sp800-53a label: remote commands guidelines: - prose: remote commands to be authenticated by mechanisms are defined; props: - name: label value: AC-17(10) class: zero-padded - name: label value: AC-17(10) - name: label value: AC-17(10) class: sp800-53a - name: sort-id value: ac-17.10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-17' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-23' rel: related parts: - id: ac-17.10_smt name: statement prose: 'Implement {{ insert: param, ac-17.10_odp.01 }} to authenticate {{ insert: param, ac-17.10_odp.02 }}.' - id: ac-17.10_gdn name: guidance prose: Authenticating remote commands protects against unauthorized commands and the replay of authorized commands. The ability to authenticate remote commands is important for remote systems for which loss, malfunction, misdirection, or exploitation would have immediate or serious consequences, such as injury, death, property damage, loss of high value assets, failure of mission or business functions, or compromise of classified or controlled unclassified information. Authentication mechanisms for remote commands ensure that systems accept and execute commands in the order intended, execute only authorized commands, and reject unauthorized commands. Cryptographic mechanisms can be used, for example, to authenticate remote commands. - id: ac-17.10_obj name: assessment-objective props: - name: label value: AC-17(10) class: sp800-53a prose: '{{ insert: param, ac-17.10_odp.01 }} are implemented to authenticate {{ insert: param, ac-17.10_odp.02 }}.' links: - href: '#ac-17.10_smt' rel: assessment-for - id: ac-17.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-17(10)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing authentication of remote commands system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-17.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-17(10)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-17.10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-17(10)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing authentication of remote commands - id: ac-18 class: SP800-53 title: Wireless Access props: - name: label value: AC-18 class: zero-padded - name: label value: AC-18 - name: label value: AC-18 class: sp800-53a - name: sort-id value: ac-18 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#25e3e57b-dc2f-4934-af9b-050b020c6f0e' rel: reference - href: '#03fb73bc-1b12-4182-bd96-e5719254ea61' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-17' rel: related - href: '#ac-19' rel: related - href: '#ca-9' rel: related - href: '#cm-7' rel: related - href: '#ia-2' rel: related - href: '#ia-3' rel: related - href: '#ia-8' rel: related - href: '#pl-4' rel: related - href: '#sc-40' rel: related - href: '#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: 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: 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: 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: label value: AC-18b. class: sp800-53a prose: each type of wireless access to the system is authorized prior to allowing such connections. links: - href: '#ac-18_smt.b' rel: assessment-for links: - href: '#ac-18_smt' rel: assessment-for - id: ac-18_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-18-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing wireless access implementation and usage (including restrictions) configuration management plan system design documentation system configuration settings and associated documentation wireless access authorizations system audit records system security plan other relevant documents or records - id: ac-18_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-18-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for managing wireless access connections organizational personnel with information security responsibilities - id: ac-18_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-18-Test class: sp800-53a parts: - name: assessment-objects prose: Wireless access management capability for the system controls: - id: ac-18.1 class: SP800-53-enhancement title: Authentication and Encryption params: - id: ac-18.01_odp props: - name: alt-identifier value: ac-18.1_prm_1 - name: label value: AC-18(01)_ODP class: sp800-53a select: how-many: one-or-more choice: - users - devices props: - name: label value: AC-18(01) class: zero-padded - name: label value: AC-18(1) - name: label value: AC-18(01) class: sp800-53a - name: sort-id value: ac-18.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-18' rel: required - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: ac-18.1_smt name: statement prose: 'Protect wireless access to the system using authentication of {{ insert: param, ac-18.01_odp }} and encryption.' - id: ac-18.1_gdn name: guidance prose: Wireless networking capabilities represent a significant potential vulnerability that can be exploited by adversaries. To protect systems with wireless access points, strong authentication of users and devices along with strong encryption can reduce susceptibility to threats by adversaries involving wireless technologies. - id: ac-18.1_obj name: assessment-objective props: - name: label value: AC-18(01) class: sp800-53a parts: - id: ac-18.1_obj-1 name: assessment-objective props: - name: label value: AC-18(01)[01] class: sp800-53a prose: 'wireless access to the system is protected using authentication of {{ insert: param, ac-18.01_odp }};' links: - href: '#ac-18.1_smt' rel: assessment-for - id: ac-18.1_obj-2 name: assessment-objective props: - name: label value: AC-18(01)[02] class: sp800-53a prose: wireless access to the system is protected using encryption. links: - href: '#ac-18.1_smt' rel: assessment-for links: - href: '#ac-18.1_smt' rel: assessment-for - id: ac-18.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-18(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing wireless implementation and usage (including restrictions) system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-18.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-18(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-18.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-18(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing wireless access protections to the system - id: ac-18.2 class: SP800-53-enhancement title: Monitoring Unauthorized Connections props: - name: label value: AC-18(02) class: zero-padded - name: label value: AC-18(2) - name: label value: AC-18(02) class: sp800-53a - name: sort-id value: ac-18.02 - name: status value: withdrawn links: - href: '#si-4' rel: incorporated-into - id: ac-18.3 class: SP800-53-enhancement title: Disable Wireless Networking props: - name: label value: AC-18(03) class: zero-padded - name: label value: AC-18(3) - name: label value: AC-18(03) class: sp800-53a - name: sort-id value: ac-18.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-18' rel: required parts: - id: ac-18.3_smt name: statement prose: Disable, when not intended for use, wireless networking capabilities embedded within system components prior to issuance and deployment. - id: ac-18.3_gdn name: guidance prose: Wireless networking capabilities that are embedded within system components represent a significant potential vulnerability that can be exploited by adversaries. Disabling wireless capabilities when not needed for essential organizational missions or functions can reduce susceptibility to threats by adversaries involving wireless technologies. - id: ac-18.3_obj name: assessment-objective props: - name: label value: AC-18(03) class: sp800-53a prose: when not intended for use, wireless networking capabilities embedded within system components are disabled prior to issuance and deployment. links: - href: '#ac-18.3_smt' rel: assessment-for - id: ac-18.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-18(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing wireless implementation and usage (including restrictions) system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-18.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-18(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: ac-18.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-18(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms managing the disabling of wireless networking capabilities internally embedded within system components - id: ac-18.4 class: SP800-53-enhancement title: Restrict Configurations by Users props: - name: label value: AC-18(04) class: zero-padded - name: label value: AC-18(4) - name: label value: AC-18(04) class: sp800-53a - name: sort-id value: ac-18.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-18' rel: required - href: '#sc-7' rel: related - href: '#sc-15' rel: related parts: - id: ac-18.4_smt name: statement prose: Identify and explicitly authorize users allowed to independently configure wireless networking capabilities. - id: ac-18.4_gdn name: guidance prose: Organizational authorizations to allow selected users to configure wireless networking capabilities are enforced, in part, by the access enforcement mechanisms employed within organizational systems. - id: ac-18.4_obj name: assessment-objective props: - name: label value: AC-18(04) class: sp800-53a parts: - id: ac-18.4_obj-1 name: assessment-objective props: - name: label value: AC-18(04)[01] class: sp800-53a prose: users allowed to independently configure wireless networking capabilities are identified; links: - href: '#ac-18.4_smt' rel: assessment-for - id: ac-18.4_obj-2 name: assessment-objective props: - name: label value: AC-18(04)[02] class: sp800-53a prose: users allowed to independently configure wireless networking capabilities are explicitly authorized. links: - href: '#ac-18.4_smt' rel: assessment-for links: - href: '#ac-18.4_smt' rel: assessment-for - id: ac-18.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-18(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing wireless implementation and usage (including restrictions) system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-18.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-18(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: ac-18.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-18(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms authorizing independent user configuration of wireless networking capabilities - id: ac-18.5 class: SP800-53-enhancement title: Antennas and Transmission Power Levels props: - name: label value: AC-18(05) class: zero-padded - name: label value: AC-18(5) - name: label value: AC-18(05) class: sp800-53a - name: sort-id value: ac-18.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-18' rel: required - href: '#pe-19' rel: related parts: - id: ac-18.5_smt name: statement prose: Select radio antennas and calibrate transmission power levels to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries. - id: ac-18.5_gdn name: guidance prose: Actions that may be taken to limit unauthorized use of wireless communications outside of organization-controlled boundaries include reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be captured outside of the physical perimeters of the organization, employing measures such as emissions security to control wireless emanations, and using directional or beamforming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such mitigating actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational systems as well as other systems that may be operating in the area. - id: ac-18.5_obj name: assessment-objective props: - name: label value: AC-18(05) class: sp800-53a parts: - id: ac-18.5_obj-1 name: assessment-objective props: - name: label value: AC-18(05)[01] class: sp800-53a prose: radio antennas are selected to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries; links: - href: '#ac-18.5_smt' rel: assessment-for - id: ac-18.5_obj-2 name: assessment-objective props: - name: label value: AC-18(05)[02] class: sp800-53a prose: transmission power levels are calibrated to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries. links: - href: '#ac-18.5_smt' rel: assessment-for links: - href: '#ac-18.5_smt' rel: assessment-for - id: ac-18.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-18(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing wireless implementation and usage (including restrictions) system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-18.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-18(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: ac-18.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-18(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Calibration of transmission power levels for wireless access radio antenna signals for wireless access wireless access reception outside of organization-controlled boundaries - id: ac-19 class: SP800-53 title: Access Control for Mobile Devices props: - name: label value: AC-19 class: zero-padded - name: label value: AC-19 - name: label value: AC-19 class: sp800-53a - name: sort-id value: ac-19 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#42e37e51-7cc0-4ffa-81c9-0ac942da7e99' rel: reference - href: '#0f66be67-85e7-4ca6-bd19-39453e9f4394' rel: reference - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-7' rel: related - href: '#ac-11' rel: related - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-20' rel: related - href: '#ca-9' rel: related - href: '#cm-2' rel: related - href: '#cm-6' rel: related - href: '#ia-2' rel: related - href: '#ia-3' rel: related - href: '#mp-2' rel: related - href: '#mp-4' rel: related - href: '#mp-5' rel: related - href: '#mp-7' rel: related - href: '#pl-4' rel: related - href: '#sc-7' rel: related - href: '#sc-34' rel: related - href: '#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: 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: 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: 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: label value: AC-19b. class: sp800-53a prose: the connection of mobile devices to organizational systems is authorized. links: - href: '#ac-19_smt.b' rel: assessment-for links: - href: '#ac-19_smt' rel: assessment-for - id: ac-19_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-19-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing access control for mobile device usage (including restrictions) configuration management plan system design documentation system configuration settings and associated documentation authorizations for mobile device connections to organizational systems system audit records system security plan other relevant documents or records - id: ac-19_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-19-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel using mobile devices to access organizational systems system/network administrators organizational personnel with information security responsibilities - id: ac-19_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-19-Test class: sp800-53a parts: - name: assessment-objects prose: |- Access control capability for mobile device connections to organizational systems configurations of mobile devices controls: - id: ac-19.1 class: SP800-53-enhancement title: Use of Writable and Portable Storage Devices props: - name: label value: AC-19(01) class: zero-padded - name: label value: AC-19(1) - name: label value: AC-19(01) class: sp800-53a - name: sort-id value: ac-19.01 - name: status value: withdrawn links: - href: '#mp-7' rel: incorporated-into - id: ac-19.2 class: SP800-53-enhancement title: Use of Personally Owned Portable Storage Devices props: - name: label value: AC-19(02) class: zero-padded - name: label value: AC-19(2) - name: label value: AC-19(02) class: sp800-53a - name: sort-id value: ac-19.02 - name: status value: withdrawn links: - href: '#mp-7' rel: incorporated-into - id: ac-19.3 class: SP800-53-enhancement title: Use of Portable Storage Devices with No Identifiable Owner props: - name: label value: AC-19(03) class: zero-padded - name: label value: AC-19(3) - name: label value: AC-19(03) class: sp800-53a - name: sort-id value: ac-19.03 - name: status value: withdrawn links: - href: '#mp-7' rel: incorporated-into - id: ac-19.4 class: SP800-53-enhancement title: Restrictions for Classified Information params: - id: ac-19.04_odp.01 props: - name: alt-identifier value: ac-19.4_prm_1 - name: label value: AC-19(04)_ODP[01] class: sp800-53a label: security officials guidelines: - prose: security officials responsible for the review and inspection of unclassified mobile devices and the information stored on those devices are defined; - id: ac-19.04_odp.02 props: - name: alt-identifier value: ac-19.4_prm_2 - name: label value: AC-19(04)_ODP[02] class: sp800-53a label: security policies guidelines: - prose: security policies restricting the connection of classified mobile devices to classified systems are defined; props: - name: label value: AC-19(04) class: zero-padded - name: label value: AC-19(4) - name: label value: AC-19(04) class: sp800-53a - name: sort-id value: ac-19.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-19' rel: required - href: '#cm-8' rel: related - href: '#ir-4' rel: related parts: - id: ac-19.4_smt name: statement parts: - id: ac-19.4_smt.a name: item props: - name: label value: (a) prose: Prohibit the use of unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and - id: ac-19.4_smt.b name: item props: - name: label value: (b) prose: 'Enforce the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information:' parts: - id: ac-19.4_smt.b.1 name: item props: - name: label value: (1) prose: Connection of unclassified mobile devices to classified systems is prohibited; - id: ac-19.4_smt.b.2 name: item props: - name: label value: (2) prose: Connection of unclassified mobile devices to unclassified systems requires approval from the authorizing official; - id: ac-19.4_smt.b.3 name: item props: - name: label value: (3) prose: Use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and - id: ac-19.4_smt.b.4 name: item props: - name: label value: (4) prose: 'Unclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by {{ insert: param, ac-19.04_odp.01 }} , and if classified information is found, the incident handling policy is followed.' - id: ac-19.4_smt.c name: item props: - name: label value: (c) prose: 'Restrict the connection of classified mobile devices to classified systems in accordance with {{ insert: param, ac-19.04_odp.02 }}.' - id: ac-19.4_gdn name: guidance prose: None. - id: ac-19.4_obj name: assessment-objective props: - name: label value: AC-19(04) class: sp800-53a parts: - id: ac-19.4_obj.a name: assessment-objective props: - name: label value: AC-19(04)(a) class: sp800-53a prose: the use of unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information is prohibited unless specifically permitted by the authorizing official; links: - href: '#ac-19.4_smt.a' rel: assessment-for - id: ac-19.4_obj.b name: assessment-objective props: - name: label value: AC-19(04)(b) class: sp800-53a parts: - id: ac-19.4_obj.b.1 name: assessment-objective props: - name: label value: AC-19(04)(b)(01) class: sp800-53a prose: prohibition of the connection of unclassified mobile devices to classified systems is enforced on individuals permitted by an authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information; links: - href: '#ac-19.4_smt.b.1' rel: assessment-for - id: ac-19.4_obj.b.2 name: assessment-objective props: - name: label value: AC-19(04)(b)(02) class: sp800-53a prose: approval by the authorizing official for the connection of unclassified mobile devices to unclassified systems is enforced on individuals permitted to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information; links: - href: '#ac-19.4_smt.b.2' rel: assessment-for - id: ac-19.4_obj.b.3 name: assessment-objective props: - name: label value: AC-19(04)(b)(03) class: sp800-53a prose: prohibition of the use of internal or external modems or wireless interfaces within unclassified mobile devices is enforced on individuals permitted by an authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information; links: - href: '#ac-19.4_smt.b.3' rel: assessment-for - id: ac-19.4_obj.b.4 name: assessment-objective props: - name: label value: AC-19(04)(b)(04) class: sp800-53a parts: - id: ac-19.4_obj.b.4-1 name: assessment-objective props: - name: label value: AC-19(04)(b)(04)[01] class: sp800-53a prose: 'random review and inspection of unclassified mobile devices and the information stored on those devices by {{ insert: param, ac-19.04_odp.01 }} are enforced;' links: - href: '#ac-19.4_smt.b.4' rel: assessment-for - id: ac-19.4_obj.b.4-2 name: assessment-objective props: - name: label value: AC-19(04)(b)(04)[02] class: sp800-53a prose: following of the incident handling policy is enforced if classified information is found during a random review and inspection of unclassified mobile devices; links: - href: '#ac-19.4_smt.b.4' rel: assessment-for links: - href: '#ac-19.4_smt.b.4' rel: assessment-for links: - href: '#ac-19.4_smt.b' rel: assessment-for - id: ac-19.4_obj.c name: assessment-objective props: - name: label value: AC-19(04)(c) class: sp800-53a prose: 'the connection of classified mobile devices to classified systems is restricted in accordance with {{ insert: param, ac-19.04_odp.02 }}.' links: - href: '#ac-19.4_smt.c' rel: assessment-for links: - href: '#ac-19.4_smt' rel: assessment-for - id: ac-19.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-19(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy incident handling policy procedures addressing access control for mobile devices system design documentation system configuration settings and associated documentation evidentiary documentation for random inspections and reviews of mobile devices system audit records system security plan other relevant documents or records - id: ac-19.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-19(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for random reviews/inspections of mobile devices organizational personnel using mobile devices in facilities containing systems processing, storing, or transmitting classified information organizational personnel with incident response responsibilities system/network administrators organizational personnel with information security responsibilities - id: ac-19.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-19(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms prohibiting the use of internal or external modems or wireless interfaces with mobile devices - id: ac-19.5 class: SP800-53-enhancement title: Full Device or Container-based Encryption params: - id: ac-19.05_odp.01 props: - name: alt-identifier value: ac-19.5_prm_1 - name: label value: AC-19(05)_ODP[01] class: sp800-53a select: choice: - full-device encryption - container-based encryption - id: ac-19.05_odp.02 props: - name: alt-identifier value: ac-19.5_prm_2 - name: label value: AC-19(05)_ODP[02] class: sp800-53a label: mobile devices guidelines: - prose: mobile devices on which to employ encryption are defined; props: - name: label value: AC-19(05) class: zero-padded - name: label value: AC-19(5) - name: label value: AC-19(05) class: sp800-53a - name: sort-id value: ac-19.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-19' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-28' rel: related parts: - id: ac-19.5_smt name: statement prose: 'Employ {{ insert: param, ac-19.05_odp.01 }} to protect the confidentiality and integrity of information on {{ insert: param, ac-19.05_odp.02 }}.' - id: ac-19.5_gdn name: guidance prose: Container-based encryption provides a more fine-grained approach to data and information encryption on mobile devices, including encrypting selected data structures such as files, records, or fields. - id: ac-19.5_obj name: assessment-objective props: - name: label value: AC-19(05) class: sp800-53a prose: '{{ insert: param, ac-19.05_odp.01 }} is employed to protect the confidentiality and integrity of information on {{ insert: param, ac-19.05_odp.02 }}.' links: - href: '#ac-19.5_smt' rel: assessment-for - id: ac-19.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-19(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing access control for mobile devices system design documentation system configuration settings and associated documentation encryption mechanisms and associated configuration documentation system audit records system security plan other relevant documents or records - id: ac-19.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-19(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with access control responsibilities for mobile devices system/network administrators organizational personnel with information security responsibilities - id: ac-19.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-19(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Encryption mechanisms protecting confidentiality and integrity of information on mobile devices - id: ac-20 class: SP800-53 title: Use of External Systems params: - id: ac-20_odp.01 props: - name: alt-identifier value: ac-20_prm_1 - name: label value: AC-20_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - 'establish {{ insert: param, ac-20_odp.02 }} ' - 'identify {{ insert: param, ac-20_odp.03 }} ' - id: ac-20_odp.02 props: - name: alt-identifier value: ac-20_prm_2 - name: label value: AC-20_ODP[02] class: sp800-53a label: terms and conditions guidelines: - prose: terms and conditions consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems are defined (if selected); - id: ac-20_odp.03 props: - name: alt-identifier value: ac-20_prm_3 - name: alt-label value: controls asserted to be implemented on external systems class: sp800-53 - name: label value: AC-20_ODP[03] class: sp800-53a label: controls asserted guidelines: - prose: controls asserted to be implemented on external systems consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems are defined (if selected); - id: ac-20_odp.04 props: - name: alt-identifier value: ac-20_prm_4 - name: alt-label value: organizationally-defined types of external systems class: sp800-53 - name: label value: AC-20_ODP[04] class: sp800-53a label: prohibited types of external systems guidelines: - prose: types of external systems prohibited from use are defined; props: - name: label value: AC-20 class: zero-padded - name: label value: AC-20 - name: label value: AC-20 class: sp800-53a - name: sort-id value: ac-20 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849' rel: reference - href: '#f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-17' rel: related - href: '#ac-19' rel: related - href: '#ca-3' rel: related - href: '#pl-2' rel: related - href: '#pl-4' rel: related - href: '#sa-9' rel: related - href: '#sc-7' rel: related parts: - id: ac-20_smt name: statement parts: - id: ac-20_smt.a name: item props: - name: 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: 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_obj name: assessment-objective props: - name: label value: AC-20 class: sp800-53a parts: - id: ac-20_obj.a name: assessment-objective props: - 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: label value: AC-20b. class: sp800-53a prose: 'the use of {{ insert: param, ac-20_odp.04 }} is prohibited (if applicable).' links: - href: '#ac-20_smt.b' rel: assessment-for links: - href: '#ac-20_smt' rel: assessment-for - id: ac-20_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-20-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing the use of external systems external systems terms and conditions list of types of applications accessible from external systems maximum security categorization for information processed, stored, or transmitted on external systems system configuration settings and associated documentation system security plan other relevant documents or records - id: ac-20_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-20-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for defining terms and conditions for use of external systems to access organizational systems system/network administrators organizational personnel with information security responsibilities - id: ac-20_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-20-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing terms and conditions on the use of external systems controls: - id: ac-20.1 class: SP800-53-enhancement title: Limits on Authorized Use props: - name: label value: AC-20(01) class: zero-padded - name: label value: AC-20(1) - name: label value: AC-20(01) class: sp800-53a - name: sort-id value: ac-20.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-20' rel: required - href: '#ca-2' rel: related parts: - id: ac-20.1_smt name: statement prose: 'Permit authorized individuals to use an external system to access the system or to process, store, or transmit organization-controlled information only after:' parts: - id: ac-20.1_smt.a name: item props: - name: label value: (a) prose: Verification of the implementation of controls on the external system as specified in the organization’s security and privacy policies and security and privacy plans; or - id: ac-20.1_smt.b name: item props: - name: label value: (b) prose: Retention of approved system connection or processing agreements with the organizational entity hosting the external system. - id: ac-20.1_gdn name: guidance prose: Limiting authorized use recognizes circumstances where individuals using external systems may need to access organizational systems. Organizations need assurance that the external systems contain the necessary controls so as not to compromise, damage, or otherwise harm organizational systems. Verification that the required controls have been implemented can be achieved by external, independent assessments, attestations, or other means, depending on the confidence level required by organizations. - id: ac-20.1_obj name: assessment-objective props: - name: label value: AC-20(01) class: sp800-53a parts: - id: ac-20.1_obj.a name: assessment-objective props: - name: label value: AC-20(01)(a) class: sp800-53a prose: authorized individuals are permitted to use an external system to access the system or to process, store, or transmit organization-controlled information only after verification of the implementation of controls on the external system as specified in the organization’s security and privacy policies and security and privacy plans (if applicable); links: - href: '#ac-20.1_smt.a' rel: assessment-for - id: ac-20.1_obj.b name: assessment-objective props: - name: label value: AC-20(01)(b) class: sp800-53a prose: authorized individuals are permitted to use an external system to access the system or to process, store, or transmit organization-controlled information only after retention of approved system connection or processing agreements with the organizational entity hosting the external system (if applicable). links: - href: '#ac-20.1_smt.b' rel: assessment-for links: - href: '#ac-20.1_smt' rel: assessment-for - id: ac-20.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-20(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing the use of external systems system connection or processing agreements account management documents system security plan other relevant documents or records - id: ac-20.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-20(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: ac-20.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-20(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing limits on use of external systems - id: ac-20.2 class: SP800-53-enhancement title: Portable Storage Devices — Restricted Use params: - id: ac-20.02_odp props: - name: alt-identifier value: ac-20.2_prm_1 - name: label value: AC-20(02)_ODP class: sp800-53a label: restrictions guidelines: - prose: restrictions on the use of organization-controlled portable storage devices by authorized individuals on external systems are defined; props: - name: label value: AC-20(02) class: zero-padded - name: label value: AC-20(2) - name: label value: AC-20(02) class: sp800-53a - name: sort-id value: ac-20.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-20' rel: required - href: '#mp-7' rel: related - href: '#sc-41' rel: related parts: - id: ac-20.2_smt name: statement prose: 'Restrict the use of organization-controlled portable storage devices by authorized individuals on external systems using {{ insert: param, ac-20.02_odp }}.' - id: ac-20.2_gdn name: guidance prose: Limits on the use of organization-controlled portable storage devices in external systems include restrictions on how the devices may be used and under what conditions the devices may be used. - id: ac-20.2_obj name: assessment-objective props: - name: label value: AC-20(02) class: sp800-53a prose: 'the use of organization-controlled portable storage devices by authorized individuals is restricted on external systems using {{ insert: param, ac-20.02_odp }}.' links: - href: '#ac-20.2_smt' rel: assessment-for - id: ac-20.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-20(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing the use of external systems system configuration settings and associated documentation system connection or processing agreements account management documents system security plan other relevant documents or records - id: ac-20.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-20(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for restricting or prohibiting the use of organization-controlled storage devices on external systems system/network administrators organizational personnel with information security responsibilities - id: ac-20.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-20(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing restrictions on the use of portable storage devices - id: ac-20.3 class: SP800-53-enhancement title: Non-organizationally Owned Systems — Restricted Use params: - id: ac-20.03_odp props: - name: alt-identifier value: ac-20.3_prm_1 - name: label value: AC-20(03)_ODP class: sp800-53a label: restrictions guidelines: - prose: restrictions on the use of non-organizationally owned systems or system components to process, store, or transmit organizational information are defined; props: - name: label value: AC-20(03) class: zero-padded - name: label value: AC-20(3) - name: label value: AC-20(03) class: sp800-53a - name: sort-id value: ac-20.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-20' rel: required parts: - id: ac-20.3_smt name: statement prose: 'Restrict the use of non-organizationally owned systems or system components to process, store, or transmit organizational information using {{ insert: param, ac-20.03_odp }}.' - id: ac-20.3_gdn name: guidance prose: Non-organizationally owned systems or system components include systems or system components owned by other organizations as well as personally owned devices. There are potential risks to using non-organizationally owned systems or components. In some cases, the risk is sufficiently high as to prohibit such use (see [AC-20 b.](#ac-20_smt.b) ). In other cases, the use of such systems or system components may be allowed but restricted in some way. Restrictions include requiring the implementation of approved controls prior to authorizing the connection of non-organizationally owned systems and components; limiting access to types of information, services, or applications; using virtualization techniques to limit processing and storage activities to servers or system components provisioned by the organization; and agreeing to the terms and conditions for usage. Organizations consult with the Office of the General Counsel regarding legal issues associated with using personally owned devices, including requirements for conducting forensic analyses during investigations after an incident. - id: ac-20.3_obj name: assessment-objective props: - name: label value: AC-20(03) class: sp800-53a prose: 'the use of non-organizationally owned systems or system components to process, store, or transmit organizational information is restricted using {{ insert: param, ac-20.03_odp }}.' links: - href: '#ac-20.3_smt' rel: assessment-for - id: ac-20.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-20(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing the use of external systems system design documentation system configuration settings and associated documentation system connection or processing agreements account management documents system audit records, other relevant documents or records - id: ac-20.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-20(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for restricting or prohibiting the use of non-organizationally owned systems, system components, or devices system/network administrators organizational personnel with information security responsibilities - id: ac-20.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-20(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing restrictions on the use of non-organizationally owned systems, components, or devices - id: ac-20.4 class: SP800-53-enhancement title: Network Accessible Storage Devices — Prohibited Use params: - id: ac-20.04_odp props: - name: alt-identifier value: ac-20.4_prm_1 - name: alt-label value: network accessible storage devices class: sp800-53 - name: label value: AC-20(04)_ODP class: sp800-53a label: network-accessible storage devices guidelines: - prose: network-accessible storage devices prohibited from use in external systems are defined; props: - name: label value: AC-20(04) class: zero-padded - name: label value: AC-20(4) - name: label value: AC-20(04) class: sp800-53a - name: sort-id value: ac-20.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-20' rel: required parts: - id: ac-20.4_smt name: statement prose: 'Prohibit the use of {{ insert: param, ac-20.04_odp }} in external systems.' - id: ac-20.4_gdn name: guidance prose: Network-accessible storage devices in external systems include online storage devices in public, hybrid, or community cloud-based systems. - id: ac-20.4_obj name: assessment-objective props: - name: label value: AC-20(04) class: sp800-53a prose: 'the use of {{ insert: param, ac-20.04_odp }} is prohibited in external systems.' links: - href: '#ac-20.4_smt' rel: assessment-for - id: ac-20.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-20(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing use of network-accessible storage devices in external systems system design documentation system configuration settings and associated documentation system connection or processing agreements list of network-accessible storage devices prohibited from use in external systems system audit records system security plan other relevant documents or records - id: ac-20.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-20(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for prohibiting the use of network-accessible storage devices in external systems system/network administrators organizational personnel with information security responsibilities - id: ac-20.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-20(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms prohibiting the use of network-accessible storage devices in external systems - id: ac-20.5 class: SP800-53-enhancement title: Portable Storage Devices — Prohibited Use props: - name: label value: AC-20(05) class: zero-padded - name: label value: AC-20(5) - name: label value: AC-20(05) class: sp800-53a - name: sort-id value: ac-20.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-20' rel: required - href: '#mp-7' rel: related - href: '#pl-4' rel: related - href: '#ps-6' rel: related - href: '#sc-41' rel: related parts: - id: ac-20.5_smt name: statement prose: Prohibit the use of organization-controlled portable storage devices by authorized individuals on external systems. - id: ac-20.5_gdn name: guidance prose: Limits on the use of organization-controlled portable storage devices in external systems include a complete prohibition of the use of such devices. Prohibiting such use is enforced using technical methods and/or nontechnical (i.e., process-based) methods. - id: ac-20.5_obj name: assessment-objective props: - name: label value: AC-20(05) class: sp800-53a prose: the use of organization-controlled portable storage devices by authorized individuals is prohibited on external systems. links: - href: '#ac-20.5_smt' rel: assessment-for - id: ac-20.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-20(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing use of portable storage devices in external systems system design documentation system configuration settings and associated documentation system connection or processing agreements system audit records system security plan other relevant documents or records - id: ac-20.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-20(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for prohibiting the use of portable storage devices in external systems system/network administrators organizational personnel with information security responsibilities - id: ac-21 class: SP800-53 title: Information Sharing params: - id: ac-21_odp.01 props: - name: alt-identifier value: ac-21_prm_1 - name: alt-label value: information sharing circumstances where user discretion is required class: sp800-53 - name: label value: AC-21_ODP[01] class: sp800-53a label: information-sharing circumstances guidelines: - prose: information-sharing circumstances where user discretion is required to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions are defined; - id: ac-21_odp.02 props: - name: alt-identifier value: ac-21_prm_2 - name: alt-label value: automated mechanisms or manual processes class: sp800-53 - name: label value: AC-21_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms or manual processes that assist users in making information-sharing and collaboration decisions are defined; props: - name: label value: AC-21 class: zero-padded - name: label value: AC-21 - name: label value: AC-21 class: sp800-53a - name: sort-id value: ac-21 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#9ef4b43c-42a4-4316-87dc-ffaf528bc05c' rel: reference - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-16' rel: related - href: '#pt-2' rel: related - href: '#pt-7' rel: related - href: '#ra-3' rel: related - href: '#sc-15' rel: related parts: - id: ac-21_smt name: statement parts: - id: ac-21_smt.a name: item props: - name: label value: a. prose: 'Enable authorized users to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions for {{ insert: param, ac-21_odp.01 }} ; and' - id: ac-21_smt.b name: item props: - name: label value: b. prose: 'Employ {{ insert: param, ac-21_odp.02 }} to assist users in making information sharing and collaboration decisions.' - id: ac-21_gdn name: guidance prose: Information sharing applies to information that may be restricted in some manner based on some formal or administrative determination. Examples of such information include, contract-sensitive information, classified information related to special access programs or compartments, privileged information, proprietary information, and personally identifiable information. Security and privacy risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to these determinations. Depending on the circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program or compartment. Access restrictions may include non-disclosure agreements (NDA). Information flow techniques and security attributes may be used to provide automated assistance to users making sharing and collaboration decisions. - id: ac-21_obj name: assessment-objective props: - name: label value: AC-21 class: sp800-53a parts: - id: ac-21_obj.a name: assessment-objective props: - name: label value: AC-21a. class: sp800-53a prose: 'authorized users are enabled to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions for {{ insert: param, ac-21_odp.01 }};' links: - href: '#ac-21_smt.a' rel: assessment-for - id: ac-21_obj.b name: assessment-objective props: - name: label value: AC-21b. class: sp800-53a prose: '{{ insert: param, ac-21_odp.02 }} are employed to assist users in making information-sharing and collaboration decisions.' links: - href: '#ac-21_smt.b' rel: assessment-for links: - href: '#ac-21_smt' rel: assessment-for - id: ac-21_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-21-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing user-based collaboration and information sharing (including restrictions) system design documentation system configuration settings and associated documentation list of users authorized to make information-sharing/collaboration decisions list of information-sharing circumstances requiring user discretion non-disclosure agreements acquisitions/contractual agreements system security plan privacy plan privacy impact assessment security and privacy risk assessments other relevant documents or records - id: ac-21_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-21-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for information-sharing/collaboration decisions organizational personnel with responsibility for acquisitions/contractual agreements system/network administrators organizational personnel with information security and privacy responsibilities - id: ac-21_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-21-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms or manual process implementing access authorizations supporting information-sharing/user collaboration decisions controls: - id: ac-21.1 class: SP800-53-enhancement title: Automated Decision Support params: - id: ac-21.01_odp props: - name: alt-identifier value: ac-21.1_prm_1 - name: label value: AC-21(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms employed to enforce information-sharing decisions by authorized users are defined; props: - name: label value: AC-21(01) class: zero-padded - name: label value: AC-21(1) - name: label value: AC-21(01) class: sp800-53a - name: sort-id value: ac-21.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-21' rel: required parts: - id: ac-21.1_smt name: statement prose: 'Employ {{ insert: param, ac-21.01_odp }} to enforce information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.' - id: ac-21.1_gdn name: guidance prose: Automated mechanisms are used to enforce information sharing decisions. - id: ac-21.1_obj name: assessment-objective props: - name: label value: AC-21(01) class: sp800-53a prose: '{{ insert: param, ac-21.01_odp }} are employed to enforce information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.' links: - href: '#ac-21.1_smt' rel: assessment-for - id: ac-21.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-21(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing user-based collaboration and information sharing (including restrictions) system design documentation system configuration settings and associated documentation system-generated list of users authorized to make information-sharing/collaboration decisions system-generated list of sharing partners and access authorizations system-generated list of access restrictions regarding information to be shared system security plan other relevant documents or records - id: ac-21.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-21(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: ac-21.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-21(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms implementing access authorizations supporting information-sharing/user collaboration decisions - id: ac-21.2 class: SP800-53-enhancement title: Information Search and Retrieval params: - id: ac-21.02_odp props: - name: alt-identifier value: ac-21.2_prm_1 - name: alt-label value: information sharing restrictions class: sp800-53 - name: label value: AC-21(02)_ODP class: sp800-53a label: information-sharing restrictions guidelines: - prose: information-sharing restrictions to be enforced by information search and retrieval services are defined; props: - name: label value: AC-21(02) class: zero-padded - name: label value: AC-21(2) - name: label value: AC-21(02) class: sp800-53a - name: sort-id value: ac-21.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-21' rel: required parts: - id: ac-21.2_smt name: statement prose: 'Implement information search and retrieval services that enforce {{ insert: param, ac-21.02_odp }}.' - id: ac-21.2_gdn name: guidance prose: Information search and retrieval services identify information system resources relevant to an information need. - id: ac-21.2_obj name: assessment-objective props: - name: label value: AC-21(02) class: sp800-53a prose: 'information search and retrieval services that enforce {{ insert: param, ac-21.02_odp }} are implemented.' links: - href: '#ac-21.2_smt' rel: assessment-for - id: ac-21.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-21(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing user-based collaboration and information sharing (including restrictions) system design documentation system configuration settings and associated documentation system-generated list of access restrictions regarding information to be shared information search and retrieval records system audit records system security plan other relevant documents or records - id: ac-21.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-21(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with access enforcement responsibilities for system search and retrieval services system/network administrators organizational personnel with information security responsibilities system developers - id: ac-21.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-21(02)-Test class: sp800-53a parts: - name: assessment-objects prose: System search and retrieval services enforcing information-sharing restrictions - 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 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: '#au-13' rel: related parts: - id: ac-22_smt name: statement parts: - id: ac-22_smt.a name: item props: - name: label value: a. prose: Designate individuals authorized to make information publicly accessible; - id: ac-22_smt.b name: item props: - 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: 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: 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: 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: 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: 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: 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: ac-23 class: SP800-53 title: Data Mining Protection params: - id: ac-23_odp.01 props: - name: alt-identifier value: ac-23_prm_1 - name: alt-label value: data mining prevention and detection techniques class: sp800-53 - name: label value: AC-23_ODP[01] class: sp800-53a label: techniques guidelines: - prose: data mining prevention and detection techniques are defined; - id: ac-23_odp.02 props: - name: alt-identifier value: ac-23_prm_2 - name: label value: AC-23_ODP[02] class: sp800-53a label: data storage objects guidelines: - prose: data storage objects to be protected against unauthorized data mining are defined; props: - name: label value: AC-23 class: zero-padded - name: label value: AC-23 - name: label value: AC-23 class: sp800-53a - name: sort-id value: ac-23 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#0af071a6-cf8e-48ee-8c82-fe91efa20f94' rel: reference - href: '#pm-12' rel: related - href: '#pt-2' rel: related parts: - id: ac-23_smt name: statement prose: 'Employ {{ insert: param, ac-23_odp.01 }} for {{ insert: param, ac-23_odp.02 }} to detect and protect against unauthorized data mining.' - id: ac-23_gdn name: guidance prose: |- Data mining is an analytical process that attempts to find correlations or patterns in large data sets for the purpose of data or knowledge discovery. Data storage objects include database records and database fields. Sensitive information can be extracted from data mining operations. When information is personally identifiable information, it may lead to unanticipated revelations about individuals and give rise to privacy risks. Prior to performing data mining activities, organizations determine whether such activities are authorized. Organizations may be subject to applicable laws, executive orders, directives, regulations, or policies that address data mining requirements. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements. Data mining prevention and detection techniques include limiting the number and frequency of database queries to increase the work factor needed to determine the contents of databases, limiting types of responses provided to database queries, applying differential privacy techniques or homomorphic encryption, and notifying personnel when atypical database queries or accesses occur. Data mining protection focuses on protecting information from data mining while such information resides in organizational data stores. In contrast, [AU-13](#au-13) focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is available as open-source information residing on external sites, such as social networking or social media websites. [EO 13587](#0af071a6-cf8e-48ee-8c82-fe91efa20f94) requires the establishment of an insider threat program for deterring, detecting, and mitigating insider threats, including the safeguarding of sensitive information from exploitation, compromise, or other unauthorized disclosure. Data mining protection requires organizations to identify appropriate techniques to prevent and detect unnecessary or unauthorized data mining. Data mining can be used by an insider to collect organizational information for the purpose of exfiltration. - id: ac-23_obj name: assessment-objective props: - name: label value: AC-23 class: sp800-53a prose: '{{ insert: param, ac-23_odp.01 }} are employed for {{ insert: param, ac-23_odp.02 }} to detect and protect against unauthorized data mining.' links: - href: '#ac-23_smt' rel: assessment-for - id: ac-23_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-23-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures for preventing and detecting data mining policies and procedures addressing authorized data mining techniques procedures addressing protection of data storage objects against data mining system design documentation system configuration settings and associated documentation system audit logs system audit records procedures addressing differential privacy techniques notifications of atypical database queries or accesses documentation or reports of insider threat program system security plan privacy plan other relevant documents or records - id: ac-23_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-23-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for implementing data mining detection and prevention techniques for data storage objects legal counsel organizational personnel with information security and privacy responsibilities system developers - id: ac-23_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-23-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing data mining prevention and detection - id: ac-24 class: SP800-53 title: Access Control Decisions params: - id: ac-24_odp.01 props: - name: alt-identifier value: ac-24_prm_1 - name: label value: AC-24_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - establish procedures - implement mechanisms - id: ac-24_odp.02 props: - name: alt-identifier value: ac-24_prm_2 - name: label value: AC-24_ODP[02] class: sp800-53a label: access control decisions guidelines: - prose: access control decisions applied to each access request prior to access enforcement are defined; props: - name: label value: AC-24 class: zero-padded - name: label value: AC-24 - name: label value: AC-24 class: sp800-53a - name: sort-id value: ac-24 - 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: '#ac-2' rel: related - href: '#ac-3' rel: related parts: - id: ac-24_smt name: statement prose: '{{ insert: param, ac-24_odp.01 }} to ensure {{ insert: param, ac-24_odp.02 }} are applied to each access request prior to access enforcement.' - id: ac-24_gdn name: guidance prose: Access control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when systems enforce access control decisions. While it is common to have access control decisions and access enforcement implemented by the same entity, it is not required, and it is not always an optimal implementation choice. For some architectures and distributed systems, different entities may make access control decisions and enforce access. - id: ac-24_obj name: assessment-objective props: - name: label value: AC-24 class: sp800-53a prose: '{{ insert: param, ac-24_odp.01 }} are taken to ensure that {{ insert: param, ac-24_odp.02 }} are applied to each access request prior to access enforcement.' links: - href: '#ac-24_smt' rel: assessment-for - id: ac-24_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-24-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing access control decisions system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: ac-24_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-24-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for establishing procedures regarding access control decisions to the system organizational personnel with information security responsibilities - id: ac-24_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-24-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms applying established access control decisions and procedures controls: - id: ac-24.1 class: SP800-53-enhancement title: Transmit Access Authorization Information params: - id: ac-24.01_odp.01 props: - name: alt-identifier value: ac-24.1_prm_1 - name: label value: AC-24(01)_ODP[01] class: sp800-53a label: access authorization information guidelines: - prose: access authorization information transmitted to systems that enforce access control decisions is defined; - id: ac-24.01_odp.02 props: - name: alt-identifier value: ac-24.1_prm_2 - name: label value: AC-24(01)_ODP[02] class: sp800-53a label: controls guidelines: - prose: controls to be used when authorization information is transmitted to systems that enforce access control decisions are defined; - id: ac-24.01_odp.03 props: - name: alt-identifier value: ac-24.1_prm_3 - name: label value: AC-24(01)_ODP[03] class: sp800-53a label: systems guidelines: - prose: systems that enforce access control decisions are defined; props: - name: label value: AC-24(01) class: zero-padded - name: label value: AC-24(1) - name: label value: AC-24(01) class: sp800-53a - name: sort-id value: ac-24.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-24' rel: required - href: '#au-10' rel: related parts: - id: ac-24.1_smt name: statement prose: 'Transmit {{ insert: param, ac-24.01_odp.01 }} using {{ insert: param, ac-24.01_odp.02 }} to {{ insert: param, ac-24.01_odp.03 }} that enforce access control decisions.' - id: ac-24.1_gdn name: guidance prose: Authorization processes and access control decisions may occur in separate parts of systems or in separate systems. In such instances, authorization information is transmitted securely (e.g., using cryptographic mechanisms) so that timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit as part of the access authorization information supporting security and privacy attributes. This is because in distributed systems, there are various access control decisions that need to be made, and different entities make these decisions in a serial fashion, each requiring those attributes to make the decisions. Protecting access authorization information ensures that such information cannot be altered, spoofed, or compromised during transmission. - id: ac-24.1_obj name: assessment-objective props: - name: label value: AC-24(01) class: sp800-53a prose: '{{ insert: param, ac-24.01_odp.01 }} is transmitted using {{ insert: param, ac-24.01_odp.02 }} to {{ insert: param, ac-24.01_odp.03 }} that enforce access control decisions.' links: - href: '#ac-24.1_smt' rel: assessment-for - id: ac-24.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-24(01)-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 system audit records system security plan other relevant documents or records - id: ac-24.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-24(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with access enforcement responsibilities system/network administrators organizational personnel with information security responsibilities system developers - id: ac-24.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-24(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access enforcement functions - id: ac-24.2 class: SP800-53-enhancement title: No User or Process Identity params: - id: ac-24.2_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-24.02_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ac-24.02_odp.02 label: organization-defined security or privacy attributes - id: ac-24.02_odp.01 props: - name: label value: AC-24(02)_ODP[01] class: sp800-53a label: security attributes guidelines: - prose: security attributes that do not include the identity of the user or process acting on behalf of the user are defined (if selected); - id: ac-24.02_odp.02 props: - name: label value: AC-24(02)_ODP[02] class: sp800-53a label: privacy attributes guidelines: - prose: privacy attributes that do not include the identity of the user or process acting on behalf of the user are defined (if selected); props: - name: label value: AC-24(02) class: zero-padded - name: label value: AC-24(2) - name: label value: AC-24(02) class: sp800-53a - name: sort-id value: ac-24.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-24' rel: required parts: - id: ac-24.2_smt name: statement prose: 'Enforce access control decisions based on {{ insert: param, ac-24.2_prm_1 }} that do not include the identity of the user or process acting on behalf of the user.' - id: ac-24.2_gdn name: guidance prose: In certain situations, it is important that access control decisions can be made without information regarding the identity of the users issuing the requests. These are generally instances where preserving individual privacy is of paramount importance. In other situations, user identification information is simply not needed for access control decisions, and especially in the case of distributed systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish. MAC, RBAC, ABAC, and label-based control policies, for example, might not include user identity as an attribute. - id: ac-24.2_obj name: assessment-objective props: - name: label value: AC-24(02) class: sp800-53a parts: - id: ac-24.2_obj-1 name: assessment-objective props: - name: label value: AC-24(02)[01] class: sp800-53a prose: 'access control decisions are enforced based on {{ insert: param, ac-24.02_odp.01 }} that do not include the identity of the user or process acting on behalf of the user (if selected);' links: - href: '#ac-24.2_smt' rel: assessment-for - id: ac-24.2_obj-2 name: assessment-objective props: - name: label value: AC-24(02)[02] class: sp800-53a prose: 'access control decisions are enforced based on {{ insert: param, ac-24.02_odp.02 }} that do not include the identity of the user or process acting on behalf of the user (if selected).' links: - href: '#ac-24.2_smt' rel: assessment-for links: - href: '#ac-24.2_smt' rel: assessment-for - id: ac-24.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-24(02)-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 system audit records system security plan privacy plan other relevant documents or records - id: ac-24.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-24(02)-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-24.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-24(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access enforcement functions - id: ac-25 class: SP800-53 title: Reference Monitor params: - id: ac-25_odp props: - name: alt-identifier value: ac-25_prm_1 - name: label value: AC-25_ODP class: sp800-53a label: access control policies guidelines: - prose: access control policies for which a reference monitor is implemented are defined; props: - name: label value: AC-25 class: zero-padded - name: label value: AC-25 - name: label value: AC-25 class: sp800-53a - name: sort-id value: ac-25 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ac-3' rel: related - href: '#ac-16' rel: related - href: '#sa-8' rel: related - href: '#sa-17' rel: related - href: '#sc-3' rel: related - href: '#sc-11' rel: related - href: '#sc-39' rel: related - href: '#si-13' rel: related parts: - id: ac-25_smt name: statement prose: 'Implement a reference monitor for {{ insert: param, ac-25_odp }} that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.' - id: ac-25_gdn name: guidance prose: A reference monitor is a set of design requirements on a reference validation mechanism that, as a key component of an operating system, enforces an access control policy over all subjects and objects. A reference validation mechanism is always invoked, tamper-proof, and small enough to be subject to analysis and tests, the completeness of which can be assured (i.e., verifiable). Information is represented internally within systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are associated with data structures, such as records, buffers, communications ports, tables, files, and inter-process pipes. Reference monitors enforce access control policies that restrict access to objects based on the identity of subjects or groups to which the subjects belong. The system enforces the access control policy based on the rule set established by the policy. The tamper-proof property of the reference monitor prevents determined adversaries from compromising the functioning of the reference validation mechanism. The always invoked property prevents adversaries from bypassing the mechanism and violating the security policy. The smallness property helps to ensure completeness in the analysis and testing of the mechanism to detect any weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of the security policy. - id: ac-25_obj name: assessment-objective props: - name: label value: AC-25 class: sp800-53a prose: 'a reference monitor is implemented for {{ insert: param, ac-25_odp }} that is tamper-proof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.' links: - href: '#ac-25_smt' rel: assessment-for - id: ac-25_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AC-25-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 system audit records system security plan other relevant documents or records - id: ac-25_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AC-25-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with access enforcement responsibilities system/network administrators organizational personnel with information security responsibilities system developers - id: ac-25_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AC-25-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing access enforcement functions - 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 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 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 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: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 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 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 guidelines: - prose: the frequency at which to update literacy training and awareness content is defined; - id: at-02_odp.07 props: - name: alt-identifier value: at-2_prm_5 - name: label value: AT-02_ODP[07] class: sp800-53a label: events guidelines: - prose: events that would require literacy training and awareness content to be updated are defined; props: - name: label value: AT-02 class: zero-padded - name: label value: AT-2 - name: label value: AT-02 class: sp800-53a - name: sort-id value: at-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#511f6832-23ca-49a3-8c0f-ce493373cab8' rel: reference - href: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference - href: '#276bd50a-7e58-48e5-a405-8c8cb91d7a5f' rel: reference - href: '#89f2a08d-fc49-46d0-856e-bf974c9b1573' rel: reference - href: '#ac-3' rel: related - href: '#ac-17' rel: related - href: '#ac-22' rel: related - href: '#at-3' rel: related - href: '#at-4' rel: related - href: '#cp-3' rel: related - href: '#ia-4' rel: related - href: '#ir-2' rel: related - href: '#ir-7' rel: related - href: '#ir-9' rel: related - href: '#pl-4' rel: related - href: '#pm-13' rel: related - href: '#pm-21' rel: related - href: '#ps-7' rel: related - href: '#pt-2' rel: related - href: '#sa-8' rel: related - href: '#sa-16' rel: related parts: - id: at-2_smt name: statement parts: - id: at-2_smt.a name: item props: - name: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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-2.1 class: SP800-53-enhancement title: Practical Exercises props: - name: label value: AT-02(01) class: zero-padded - name: label value: AT-2(1) - name: label value: AT-02(01) class: sp800-53a - name: sort-id value: at-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: '#at-2' rel: required - href: '#ca-2' rel: related - href: '#ca-7' rel: related - href: '#cp-4' rel: related - href: '#ir-3' rel: related parts: - id: at-2.1_smt name: statement prose: Provide practical exercises in literacy training that simulate events and incidents. - id: at-2.1_gdn name: guidance prose: Practical exercises include no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking, via spear phishing attacks, malicious web links. - id: at-2.1_obj name: assessment-objective props: - name: label value: AT-02(01) class: sp800-53a prose: practical exercises in literacy training that simulate events and incidents are provided. links: - href: '#at-2.1_smt' rel: assessment-for - id: at-2.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AT-02(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System security plan privacy plan security awareness and training policy procedures addressing security awareness training implementation security awareness training curriculum security awareness training materials other relevant documents or records - id: at-2.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AT-02(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel who receive literacy training and awareness organizational personnel with responsibilities for security awareness training organizational personnel with information security responsibilities - id: at-2.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AT-02(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing cyber-attack simulations in practical exercises - 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: '#pm-12' rel: related parts: - id: at-2.2_smt name: statement 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: label value: AT-02(02) class: sp800-53a parts: - id: at-2.2_obj-1 name: assessment-objective props: - name: label value: AT-02(02)[01] class: sp800-53a prose: literacy training on recognizing potential indicators of insider threat is provided; links: - href: '#at-2.2_smt' rel: assessment-for - id: at-2.2_obj-2 name: assessment-objective props: - name: label value: AT-02(02)[02] class: sp800-53a prose: literacy training on reporting potential indicators of insider threat is provided. links: - href: '#at-2.2_smt' rel: assessment-for links: - href: '#at-2.2_smt' rel: assessment-for - id: at-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AT-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System security plan privacy plan literacy training and awareness policy procedures addressing literacy training and awareness implementation literacy training and awareness curriculum literacy training and awareness materials other relevant documents or records - id: at-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AT-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel who receive literacy training and awareness organizational personnel with responsibilities for literacy training and awareness organizational personnel with information security and privacy responsibilities - id: at-2.3 class: SP800-53-enhancement title: Social Engineering and Mining props: - name: label value: AT-02(03) class: zero-padded - name: label value: AT-2(3) - name: label value: AT-02(03) class: sp800-53a - name: sort-id value: at-02.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#at-2' rel: required parts: - id: at-2.3_smt name: statement prose: Provide literacy training on recognizing and reporting potential and actual instances of social engineering and social mining. - id: at-2.3_gdn name: guidance prose: Social engineering is an attempt to trick an individual into revealing information or taking an action that can be used to breach, compromise, or otherwise adversely impact a system. Social engineering includes phishing, pretexting, impersonation, baiting, quid pro quo, thread-jacking, social media exploitation, and tailgating. Social mining is an attempt to gather information about the organization that may be used to support future attacks. Literacy training includes information on how to communicate the concerns of employees and management regarding potential and actual instances of social engineering and data mining through organizational channels based on established policies and procedures. - id: at-2.3_obj name: assessment-objective props: - name: label value: AT-02(03) class: sp800-53a parts: - id: at-2.3_obj-1 name: assessment-objective props: - name: label value: AT-02(03)[01] class: sp800-53a prose: literacy training on recognizing potential and actual instances of social engineering is provided; links: - href: '#at-2.3_smt' rel: assessment-for - id: at-2.3_obj-2 name: assessment-objective props: - name: label value: AT-02(03)[02] class: sp800-53a prose: literacy training on reporting potential and actual instances of social engineering is provided; links: - href: '#at-2.3_smt' rel: assessment-for - id: at-2.3_obj-3 name: assessment-objective props: - name: label value: AT-02(03)[03] class: sp800-53a prose: literacy training on recognizing potential and actual instances of social mining is provided; links: - href: '#at-2.3_smt' rel: assessment-for - id: at-2.3_obj-4 name: assessment-objective props: - name: label value: AT-02(03)[04] class: sp800-53a prose: literacy training on reporting potential and actual instances of social mining is provided. links: - href: '#at-2.3_smt' rel: assessment-for links: - href: '#at-2.3_smt' rel: assessment-for - id: at-2.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AT-02(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System security plan privacy plan literacy training and awareness policy procedures addressing literacy training and awareness implementation literacy training and awareness curriculum literacy training and awareness materials other relevant documents or records - id: at-2.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AT-02(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel who receive literacy training and awareness organizational personnel with responsibilities for literacy training and awareness organizational personnel with information security and privacy responsibilities - id: at-2.4 class: SP800-53-enhancement title: Suspicious Communications and Anomalous System Behavior params: - id: at-02.04_odp props: - name: alt-identifier value: at-2.4_prm_1 - name: label value: AT-02(04)_ODP class: sp800-53a label: indicators of malicious code guidelines: - prose: indicators of malicious code are defined; props: - name: label value: AT-02(04) class: zero-padded - name: label value: AT-2(4) - name: label value: AT-02(04) class: sp800-53a - name: sort-id value: at-02.04 - 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: '#at-2' rel: required parts: - id: at-2.4_smt name: statement prose: 'Provide literacy training on recognizing suspicious communications and anomalous behavior in organizational systems using {{ insert: param, at-02.04_odp }}.' - id: at-2.4_gdn name: guidance prose: A well-trained workforce provides another organizational control that can be employed as part of a defense-in-depth strategy to protect against malicious code coming into organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender that appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to suspicious email or web communications. For this process to work effectively, personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in systems can provide organizations with early warning for the presence of malicious code. Recognition of anomalous behavior by organizational personnel can supplement malicious code detection and protection tools and systems employed by organizations. - id: at-2.4_obj name: assessment-objective props: - name: label value: AT-02(04) class: sp800-53a prose: 'literacy training on recognizing suspicious communications and anomalous behavior in organizational systems using {{ insert: param, at-02.04_odp }} is provided.' links: - href: '#at-2.4_smt' rel: assessment-for - id: at-2.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AT-02(04)-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-2.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AT-02(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel who receive literacy training and awareness organizational personnel with responsibilities for basic literacy training and awareness organizational personnel with information security and privacy responsibilities - id: at-2.5 class: SP800-53-enhancement title: Advanced Persistent Threat props: - name: label value: AT-02(05) class: zero-padded - name: label value: AT-2(5) - name: label value: AT-02(05) class: sp800-53a - name: sort-id value: at-02.05 - 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: '#at-2' rel: required parts: - id: at-2.5_smt name: statement prose: Provide literacy training on the advanced persistent threat. - id: at-2.5_gdn name: guidance prose: An effective way to detect advanced persistent threats (APT) and to preclude successful attacks is to provide specific literacy training for individuals. Threat literacy training includes educating individuals on the various ways that APTs can infiltrate the organization (e.g., through websites, emails, advertisement pop-ups, articles, and social engineering). Effective training includes techniques for recognizing suspicious emails, use of removable systems in non-secure settings, and the potential targeting of individuals at home. - id: at-2.5_obj name: assessment-objective props: - name: label value: AT-02(05) class: sp800-53a prose: literacy training on the advanced persistent threat is provided. links: - href: '#at-2.5_smt' rel: assessment-for - id: at-2.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AT-02(05)-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-2.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AT-02(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel who receive literacy training and awareness organizational personnel with responsibilities for basic literacy training and awareness organizational personnel with information security and privacy responsibilities - id: at-2.6 class: SP800-53-enhancement title: Cyber Threat Environment props: - name: label value: AT-02(06) class: zero-padded - name: label value: AT-2(6) - name: label value: AT-02(06) class: sp800-53a - name: sort-id value: at-02.06 - 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: '#at-2' rel: required - href: '#ra-3' rel: related parts: - id: at-2.6_smt name: statement parts: - id: at-2.6_smt.a name: item props: - name: label value: (a) prose: Provide literacy training on the cyber threat environment; and - id: at-2.6_smt.b name: item props: - name: label value: (b) prose: Reflect current cyber threat information in system operations. - id: at-2.6_gdn name: guidance prose: Since threats continue to change over time, threat literacy training by the organization is dynamic. Moreover, threat literacy training is not performed in isolation from the system operations that support organizational mission and business functions. - id: at-2.6_obj name: assessment-objective props: - name: label value: AT-02(06) class: sp800-53a parts: - id: at-2.6_obj.a name: assessment-objective props: - name: label value: AT-02(06)(a) class: sp800-53a prose: literacy training on the cyber threat environment is provided; links: - href: '#at-2.6_smt.a' rel: assessment-for - id: at-2.6_obj.b name: assessment-objective props: - name: label value: AT-02(06)(b) class: sp800-53a prose: system operations reflects current cyber threat information. links: - href: '#at-2.6_smt.b' rel: assessment-for links: - href: '#at-2.6_smt' rel: assessment-for - id: at-2.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AT-02(06)-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 training implementation literacy training and awareness curriculum literacy training and awareness materials other relevant documents or records - id: at-2.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AT-02(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel who receive literacy training and awareness organizational personnel with responsibilities for basic 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 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 guidelines: - prose: the frequency at which to update role-based training content is defined; - id: at-03_odp.05 props: - name: alt-identifier value: at-3_prm_4 - name: label value: AT-03_ODP[05] class: sp800-53a label: events guidelines: - prose: events that require role-based training content to be updated are defined; props: - name: label value: AT-03 class: zero-padded - name: label value: AT-3 - name: label value: AT-03 class: sp800-53a - name: sort-id value: at-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#511f6832-23ca-49a3-8c0f-ce493373cab8' rel: reference - href: '#276bd50a-7e58-48e5-a405-8c8cb91d7a5f' rel: reference - href: '#ac-3' rel: related - href: '#ac-17' rel: related - href: '#ac-22' rel: related - href: '#at-2' rel: related - href: '#at-4' rel: related - href: '#cp-3' rel: related - href: '#ir-2' rel: related - href: '#ir-4' rel: related - href: '#ir-7' rel: related - href: '#ir-9' rel: related - href: '#pl-4' rel: related - href: '#pm-13' rel: related - href: '#pm-23' rel: related - href: '#ps-7' rel: related - href: '#ps-9' rel: related - href: '#sa-3' rel: related - href: '#sa-8' rel: related - href: '#sa-11' rel: related - href: '#sa-16' rel: related - href: '#sr-5' rel: related - href: '#sr-6' rel: related - href: '#sr-11' rel: related parts: - id: at-3_smt name: statement parts: - id: at-3_smt.a name: item props: - name: 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: 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: 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: 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: 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: 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: 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 controls: - id: at-3.1 class: SP800-53-enhancement title: Environmental Controls params: - id: at-03.01_odp.01 props: - name: alt-identifier value: at-3.1_prm_1 - name: label value: AT-03(01)_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be provided with initial and refresher training in the employment and operation of environmental controls are defined; - id: at-03.01_odp.02 props: - name: alt-identifier value: at-3.1_prm_2 - name: label value: AT-03(01)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to provide refresher training in the employment and operation of environmental controls is defined; props: - name: label value: AT-03(01) class: zero-padded - name: label value: AT-3(1) - name: label value: AT-03(01) class: sp800-53a - name: sort-id value: at-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: '#at-3' rel: required - href: '#pe-1' rel: related - href: '#pe-11' rel: related - href: '#pe-13' rel: related - href: '#pe-14' rel: related - href: '#pe-15' rel: related parts: - id: at-3.1_smt name: statement prose: 'Provide {{ insert: param, at-03.01_odp.01 }} with initial and {{ insert: param, at-03.01_odp.02 }} training in the employment and operation of environmental controls.' - id: at-3.1_gdn name: guidance prose: Environmental controls include fire suppression and detection devices or systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature or humidity, heating, ventilation, air conditioning, and power within the facility. - id: at-3.1_obj name: assessment-objective props: - name: label value: AT-03(01) class: sp800-53a prose: '{{ insert: param, at-03.01_odp.01 }} are provided with initial and refresher training {{ insert: param, at-03.01_odp.02 }} in the employment and operation of environmental controls.' links: - href: '#at-3.1_smt' rel: assessment-for - id: at-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AT-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Security and privacy awareness and training policy procedures addressing security and privacy training implementation security and privacy training curriculum security and privacy training materials system security plan privacy plan training records other relevant documents or records - id: at-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AT-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for role-based security and privacy training organizational personnel with responsibilities for employing and operating environmental controls - id: at-3.2 class: SP800-53-enhancement title: Physical Security Controls params: - id: at-03.02_odp.01 props: - name: alt-identifier value: at-3.2_prm_1 - name: label value: AT-03(02)_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be provided with initial and refresher training in the employment and operation of physical security controls is/are defined; - id: at-03.02_odp.02 props: - name: alt-identifier value: at-3.2_prm_2 - name: label value: AT-03(02)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to provide refresher training in the employment and operation of physical security controls is defined; props: - name: label value: AT-03(02) class: zero-padded - name: label value: AT-3(2) - name: label value: AT-03(02) class: sp800-53a - name: sort-id value: at-03.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#at-3' rel: required - href: '#pe-2' rel: related - href: '#pe-3' rel: related - href: '#pe-4' rel: related parts: - id: at-3.2_smt name: statement prose: 'Provide {{ insert: param, at-03.02_odp.01 }} with initial and {{ insert: param, at-03.02_odp.02 }} training in the employment and operation of physical security controls.' - id: at-3.2_gdn name: guidance prose: Physical security controls include physical access control devices, physical intrusion and detection alarms, operating procedures for facility security guards, and monitoring or surveillance equipment. - id: at-3.2_obj name: assessment-objective props: - name: label value: AT-03(02) class: sp800-53a prose: '{{ insert: param, at-03.02_odp.01 }} is/are provided with initial and refresher training {{ insert: param, at-03.02_odp.02 }} in the employment and operation of physical security controls.' links: - href: '#at-3.2_smt' rel: assessment-for - id: at-3.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AT-03(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Security and privacy awareness and training policy procedures addressing security and privacy training implementation security and privacy training curriculum security and privacy training materials system security plan privacy plan training records other relevant documents or records - id: at-3.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AT-03(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for role-based security and privacy training organizational personnel with responsibilities for employing and operating physical security controls - id: at-3.3 class: SP800-53-enhancement title: Practical Exercises props: - name: label value: AT-03(03) class: zero-padded - name: label value: AT-3(3) - name: label value: AT-03(03) class: sp800-53a - name: sort-id value: at-03.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#at-3' rel: required parts: - id: at-3.3_smt name: statement prose: Provide practical exercises in security and privacy training that reinforce training objectives. - id: at-3.3_gdn name: guidance prose: Practical exercises for security include training for software developers that addresses simulated attacks that exploit common software vulnerabilities or spear or whale phishing attacks targeted at senior leaders or executives. Practical exercises for privacy include modules with quizzes on identifying and processing personally identifiable information in various scenarios or scenarios on conducting privacy impact assessments. - id: at-3.3_obj name: assessment-objective props: - name: label value: AT-03(03) class: sp800-53a parts: - id: at-3.3_obj-1 name: assessment-objective props: - name: label value: AT-03(03)[01] class: sp800-53a prose: practical exercises in security training that reinforce training objectives are provided; links: - href: '#at-3.3_smt' rel: assessment-for - id: at-3.3_obj-2 name: assessment-objective props: - name: label value: AT-03(03)[02] class: sp800-53a prose: practical exercises in privacy training that reinforce training objectives are provided. links: - href: '#at-3.3_smt' rel: assessment-for links: - href: '#at-3.3_smt' rel: assessment-for - id: at-3.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AT-03(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Security and privacy awareness and training policy procedures addressing security and privacy awareness training implementation security and privacy awareness training curriculum security and privacy awareness training materials security and privacy awareness training reports and results system security plan privacy plan other relevant documents or records - id: at-3.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AT-03(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for role-based security and privacy training organizational personnel who participate in security and privacy awareness training - id: at-3.4 class: SP800-53-enhancement title: Suspicious Communications and Anomalous System Behavior props: - name: label value: AT-03(04) class: zero-padded - name: label value: AT-3(4) - name: label value: AT-03(04) class: sp800-53a - name: sort-id value: at-03.04 - name: status value: withdrawn links: - href: '#at-2.4' rel: moved-to - id: at-3.5 class: SP800-53-enhancement title: Processing Personally Identifiable Information params: - id: at-03.05_odp.01 props: - name: alt-identifier value: at-3.5_prm_1 - name: label value: AT-03(05)_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be provided with initial and refresher training in the employment and operation of personally identifiable information processing and transparency controls is/are defined; - id: at-03.05_odp.02 props: - name: alt-identifier value: at-3.5_prm_2 - name: label value: AT-03(05)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to provide refresher training in the employment and operation of personally identifiable information processing and transparency controls is defined; props: - name: label value: AT-03(05) class: zero-padded - name: label value: AT-3(5) - name: label value: AT-03(05) class: sp800-53a - name: sort-id value: at-03.05 - 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: '#at-3' rel: required - href: '#pt-2' rel: related - href: '#pt-3' rel: related - href: '#pt-5' rel: related - href: '#pt-6' rel: related parts: - id: at-3.5_smt name: statement prose: 'Provide {{ insert: param, at-03.05_odp.01 }} with initial and {{ insert: param, at-03.05_odp.02 }} training in the employment and operation of personally identifiable information processing and transparency controls.' - id: at-3.5_gdn name: guidance prose: Personally identifiable information processing and transparency controls include the organization’s authority to process personally identifiable information and personally identifiable information processing purposes. Role-based training for federal agencies addresses the types of information that may constitute personally identifiable information and the risks, considerations, and obligations associated with its processing. Such training also considers the authority to process personally identifiable information documented in privacy policies and notices, system of records notices, computer matching agreements and notices, privacy impact assessments, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statements, contracts, information sharing agreements, memoranda of understanding, and/or other documentation. - id: at-3.5_obj name: assessment-objective props: - name: label value: AT-03(05) class: sp800-53a prose: '{{ insert: param, at-03.05_odp.01 }} are provided with initial and refresher training {{ insert: param, at-03.05_odp.02 }} in the employment and operation of personally identifiable information processing and transparency controls.' links: - href: '#at-3.5_smt' rel: assessment-for - id: at-3.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AT-03(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Security and privacy awareness and training policy procedures addressing security and privacy awareness training implementation security and privacy awareness training curriculum security and privacy awareness training materials system security plan privacy plan organizational privacy notices organizational policies system of records notices Privacy Act statements computer matching agreements and notices privacy impact assessments information sharing agreements other relevant documents or records - id: at-3.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AT-03(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for role-based security and privacy training organizational personnel who participate in security and privacy awareness 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 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: '#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: 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: 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: 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: 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: at-5 class: SP800-53 title: Contacts with Security Groups and Associations props: - name: label value: AT-05 class: zero-padded - name: label value: AT-5 - name: label value: AT-05 class: sp800-53a - name: sort-id value: at-05 - name: status value: withdrawn links: - href: '#pm-15' rel: incorporated-into - id: at-6 class: SP800-53 title: Training Feedback params: - id: at-06_odp.01 props: - name: alt-identifier value: at-6_prm_1 - name: label value: AT-06_ODP[01] class: sp800-53a label: frequency guidelines: - prose: frequency at which to provide feedback on organizational training results is defined; - id: at-06_odp.02 props: - name: alt-identifier value: at-6_prm_2 - name: label value: AT-06_ODP[02] class: sp800-53a label: personnel guidelines: - prose: personnel to whom feedback on organizational training results will be provided is/are assigned; props: - name: label value: AT-06 class: zero-padded - name: label value: AT-6 - name: label value: AT-06 class: sp800-53a - name: sort-id value: at-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" parts: - id: at-6_smt name: statement prose: 'Provide feedback on organizational training results to the following personnel {{ insert: param, at-06_odp.01 }}: {{ insert: param, at-06_odp.02 }}.' - id: at-6_gdn name: guidance prose: Training feedback includes awareness training results and role-based training results. Training results, especially failures of personnel in critical roles, can be indicative of a potentially serious problem. Therefore, it is important that senior managers are made aware of such situations so that they can take appropriate response actions. Training feedback supports the evaluation and update of organizational training described in [AT-2b](#at-2_smt.b) and [AT-3b](#at-3_smt.b). - id: at-6_obj name: assessment-objective props: - name: label value: AT-06 class: sp800-53a prose: 'feedback on organizational training results is provided {{ insert: param, at-06_odp.01 }} to {{ insert: param, at-06_odp.02 }}.' links: - href: '#at-6_smt' rel: assessment-for - id: at-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AT-06-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Security awareness and training policy procedures addressing security training records security awareness and training records security plan other relevant documents or records - id: at-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AT-06-Interview class: sp800-53a parts: - name: assessment-objects prose: Organizational personnel with information security training record retention responsibilities - id: at-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AT-06-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting the management of security 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 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 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 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: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 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]) 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 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 guidelines: - prose: the frequency of event types selected for logging are reviewed and updated; props: - name: label value: AU-02 class: zero-padded - name: label value: AU-2 - name: label value: AU-02 class: sp800-53a - name: sort-id value: au-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#5eee45d8-3313-4fdc-8d54-1742092bbdd6' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-6' rel: related - href: '#ac-7' rel: related - href: '#ac-8' rel: related - href: '#ac-16' rel: related - href: '#ac-17' rel: related - href: '#au-3' rel: related - href: '#au-4' rel: related - href: '#au-5' rel: related - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#au-11' rel: related - href: '#au-12' rel: related - href: '#cm-3' rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: '#cm-13' rel: related - href: '#ia-3' rel: related - href: '#ma-4' rel: related - href: '#mp-4' rel: related - href: '#pe-3' rel: related - href: '#pm-21' rel: related - href: '#pt-2' rel: related - href: '#pt-7' rel: related - href: '#ra-8' rel: related - href: '#sa-8' rel: related - href: '#sc-7' rel: related - href: '#sc-18' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related - href: '#si-10' rel: related - href: '#si-11' rel: related parts: - id: au-2_smt name: statement parts: - id: au-2_smt.a name: item props: - name: 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: 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: 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: 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: label value: e. prose: 'Review and update the event types selected for logging {{ insert: param, au-02_odp.04 }}.' - id: au-2_gdn name: guidance prose: |- An event is an observable occurrence in a system. The types of events that require logging are those events that are significant and relevant to the security of systems and the privacy of individuals. Event logging also supports specific monitoring and auditing needs. Event types include password changes, failed logons or failed accesses related to systems, security or privacy attribute changes, administrative privilege usage, PIV credential usage, data action changes, query parameters, or external credential usage. In determining the set of event types that require logging, organizations consider the monitoring and auditing appropriate for each of the controls to be implemented. For completeness, event logging includes all protocols that are operational and supported by the system. To balance monitoring and auditing requirements with other system needs, event logging requires identifying the subset of event types that are logged at a given point in time. For example, organizations may determine that systems need the capability to log every file access successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. The types of events that organizations desire to be logged may change. Reviewing and updating the set of logged events is necessary to help ensure that the events remain relevant and continue to support the needs of the organization. Organizations consider how the types of logging events can reveal information about individuals that may give rise to privacy risk and how best to mitigate such risks. For example, there is the potential to reveal personally identifiable information in the audit trail, especially if the logging event is based on patterns or time of usage. Event logging requirements, including the need to log specific event types, may be referenced in other controls and control enhancements. These include [AC-2(4)](#ac-2.4), [AC-3(10)](#ac-3.10), [AC-6(9)](#ac-6.9), [AC-17(1)](#ac-17.1), [CM-3f](#cm-3_smt.f), [CM-5(1)](#cm-5.1), [IA-3(3)(b)](#ia-3.3_smt.b), [MA-4(1)](#ma-4.1), [MP-4(2)](#mp-4.2), [PE-3](#pe-3), [PM-21](#pm-21), [PT-7](#pt-7), [RA-8](#ra-8), [SC-7(9)](#sc-7.9), [SC-7(15)](#sc-7.15), [SI-3(8)](#si-3.8), [SI-4(22)](#si-4.22), [SI-7(8)](#si-7.8) , and [SI-10(1)](#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_obj name: assessment-objective props: - name: label value: AU-02 class: sp800-53a parts: - id: au-2_obj.a name: assessment-objective props: - 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: 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: 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: 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: 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: 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 controls: - id: au-2.1 class: SP800-53-enhancement title: Compilation of Audit Records from Multiple Sources props: - name: label value: AU-02(01) class: zero-padded - name: label value: AU-2(1) - name: label value: AU-02(01) class: sp800-53a - name: sort-id value: au-02.01 - name: status value: withdrawn links: - href: '#au-12' rel: incorporated-into - id: au-2.2 class: SP800-53-enhancement title: Selection of Audit Events by Component props: - name: label value: AU-02(02) class: zero-padded - name: label value: AU-2(2) - name: label value: AU-02(02) class: sp800-53a - name: sort-id value: au-02.02 - name: status value: withdrawn links: - href: '#au-12' rel: incorporated-into - id: au-2.3 class: SP800-53-enhancement title: Reviews and Updates props: - name: label value: AU-02(03) class: zero-padded - name: label value: AU-2(3) - name: label value: AU-02(03) class: sp800-53a - name: sort-id value: au-02.03 - name: status value: withdrawn links: - href: '#au-2' rel: incorporated-into - id: au-2.4 class: SP800-53-enhancement title: Privileged Functions props: - name: label value: AU-02(04) class: zero-padded - name: label value: AU-2(4) - name: label value: AU-02(04) class: sp800-53a - name: sort-id value: au-02.04 - name: status value: withdrawn links: - href: '#ac-6.9' rel: incorporated-into - id: au-3 class: SP800-53 title: Content of Audit Records props: - 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: '#au-14' rel: related - href: '#ma-4' rel: related - href: '#pl-9' rel: related - href: '#sa-8' rel: related - href: '#si-7' rel: related - href: '#si-11' rel: related parts: - id: au-3_smt name: statement prose: 'Ensure that audit records contain information that establishes the following:' parts: - id: au-3_smt.a name: item props: - name: label value: a. prose: What type of event occurred; - id: au-3_smt.b name: item props: - name: label value: b. prose: When the event occurred; - id: au-3_smt.c name: item props: - name: label value: c. prose: Where the event occurred; - id: au-3_smt.d name: item props: - name: label value: d. prose: Source of the event; - id: au-3_smt.e name: item props: - name: label value: e. prose: Outcome of the event; and - id: au-3_smt.f name: item props: - 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: label value: AU-03 class: sp800-53a parts: - id: au-3_obj.a name: assessment-objective props: - name: label value: AU-03a. class: sp800-53a prose: audit records contain information that establishes what type of event occurred; links: - href: '#au-3_smt.a' rel: assessment-for - id: au-3_obj.b name: assessment-objective props: - name: label value: AU-03b. class: sp800-53a prose: audit records contain information that establishes when the event occurred; links: - href: '#au-3_smt.b' rel: assessment-for - id: au-3_obj.c name: assessment-objective props: - name: label value: AU-03c. class: sp800-53a prose: audit records contain information that establishes where the event occurred; links: - href: '#au-3_smt.c' rel: assessment-for - id: au-3_obj.d name: assessment-objective props: - name: label value: AU-03d. class: sp800-53a prose: audit records contain information that establishes the source of the event; links: - href: '#au-3_smt.d' rel: assessment-for - id: au-3_obj.e name: assessment-objective props: - name: label value: AU-03e. class: sp800-53a prose: audit records contain information that establishes the outcome of the event; links: - href: '#au-3_smt.e' rel: assessment-for - id: au-3_obj.f name: assessment-objective props: - name: label value: AU-03f. class: sp800-53a prose: audit records contain information that establishes the identity of any individuals, subjects, or objects/entities associated with the event. links: - href: '#au-3_smt.f' rel: assessment-for links: - href: '#au-3_smt' rel: assessment-for - id: au-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-03-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing content of audit records system design documentation system configuration settings and associated documentation list of organization-defined auditable events system audit records system incident reports other relevant documents or records - id: au-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-03-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators - id: au-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-03-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing system auditing of auditable events controls: - id: au-3.1 class: SP800-53-enhancement title: Additional Audit Information params: - id: au-03.01_odp props: - name: alt-identifier value: au-3.1_prm_1 - name: label value: AU-03(01)_ODP class: sp800-53a label: additional information guidelines: - prose: additional information to be included in audit records is defined; props: - name: label value: AU-03(01) class: zero-padded - name: label value: AU-3(1) - name: label value: AU-03(01) class: sp800-53a - name: sort-id value: au-03.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-3' rel: required parts: - id: au-3.1_smt name: statement prose: 'Generate audit records containing the following additional information: {{ insert: param, au-03.01_odp }}.' - id: au-3.1_gdn name: guidance prose: The ability to add information generated in audit records is dependent on system functionality to configure the audit record content. Organizations may consider additional information in audit records including, but not limited to, access control or flow control rules invoked and individual identities of group account users. Organizations may also consider limiting additional audit record information to only information that is explicitly needed for audit requirements. This facilitates the use of audit trails and audit logs by not including information in audit records that could potentially be misleading, make it more difficult to locate information of interest, or increase the risk to individuals' privacy. - id: au-3.1_obj name: assessment-objective props: - name: label value: AU-03(01) class: sp800-53a prose: 'generated audit records contain the following {{ insert: param, au-03.01_odp }}.' links: - href: '#au-3.1_smt' rel: assessment-for - id: au-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy procedures addressing content of audit records system security plan privacy plan system design documentation system configuration settings and associated documentation list of organization-defined auditable events system audit records other relevant documents or records - id: au-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-03(01)-Test class: sp800-53a parts: - name: assessment-objects prose: system audit capability - id: au-3.2 class: SP800-53-enhancement title: Centralized Management of Planned Audit Record Content props: - name: label value: AU-03(02) class: zero-padded - name: label value: AU-3(2) - name: label value: AU-03(02) class: sp800-53a - name: sort-id value: au-03.02 - name: status value: withdrawn links: - href: '#pl-9' rel: incorporated-into - id: au-3.3 class: SP800-53-enhancement title: Limit Personally Identifiable Information Elements params: - id: au-03.03_odp props: - name: alt-identifier value: au-3.3_prm_1 - name: label value: AU-03(03)_ODP class: sp800-53a label: elements guidelines: - prose: elements identified in the privacy risk assessment are defined; props: - name: label value: AU-03(03) class: zero-padded - name: label value: AU-3(3) - name: label value: AU-03(03) class: sp800-53a - name: sort-id value: au-03.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#au-3' rel: required - href: '#ra-3' rel: related parts: - id: au-3.3_smt name: statement prose: 'Limit personally identifiable information contained in audit records to the following elements identified in the privacy risk assessment: {{ insert: param, au-03.03_odp }}.' - id: au-3.3_gdn name: guidance prose: Limiting personally identifiable information in audit records when such information is not needed for operational purposes helps reduce the level of privacy risk created by a system. - id: au-3.3_obj name: assessment-objective props: - name: label value: AU-03(03) class: sp800-53a prose: 'personally identifiable information contained in audit records is limited to {{ insert: param, au-03.03_odp }} identified in the privacy risk assessment.' links: - href: '#au-3.3_smt' rel: assessment-for - id: au-3.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-03(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan privacy risk assessment privacy risk assessment results procedures addressing content of audit records system design documentation system configuration settings and associated documentation list of organization-defined auditable events system audit records third party contracts other relevant documents or records - id: au-3.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-03(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-3.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-03(03)-Test class: sp800-53a parts: - name: assessment-objects prose: system audit capability - id: au-4 class: SP800-53 title: Audit Log Storage Capacity params: - id: au-04_odp props: - name: alt-identifier value: au-4_prm_1 - name: label value: AU-04_ODP class: sp800-53a label: audit log retention requirements guidelines: - prose: audit log retention requirements are defined; props: - name: label value: AU-04 class: zero-padded - name: label value: AU-4 - name: label value: AU-04 class: sp800-53a - name: sort-id value: au-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-2' rel: related - href: '#au-5' rel: related - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#au-9' rel: related - href: '#au-11' rel: related - href: '#au-12' rel: related - href: '#au-14' rel: related - href: '#si-4' rel: related parts: - id: au-4_smt name: statement 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: 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 controls: - id: au-4.1 class: SP800-53-enhancement title: Transfer to Alternate Storage params: - id: au-04.01_odp props: - name: alt-identifier value: au-4.1_prm_1 - name: label value: AU-04(01)_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency of audit logs transferred to a different system, system component, or media other than the system or system component conducting the logging is defined; props: - name: label value: AU-04(01) class: zero-padded - name: label value: AU-4(1) - name: label value: AU-04(01) class: sp800-53a - name: sort-id value: au-04.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-4' rel: required parts: - id: au-4.1_smt name: statement prose: 'Transfer audit logs {{ insert: param, au-04.01_odp }} to a different system, system component, or media other than the system or system component conducting the logging.' - id: au-4.1_gdn name: guidance prose: Audit log transfer, also known as off-loading, is a common process in systems with limited audit log storage capacity and thus supports availability of the audit logs. The initial audit log storage is only used in a transitory fashion until the system can communicate with the secondary or alternate system allocated to audit log storage, at which point the audit logs are transferred. Transferring audit logs to alternate storage is similar to [AU-9(2)](#au-9.2) in that audit logs are transferred to a different entity. However, the purpose of selecting [AU-9(2)](#au-9.2) is to protect the confidentiality and integrity of audit records. Organizations can select either control enhancement to obtain the benefit of increased audit log storage capacity and preserving the confidentiality, integrity, and availability of audit records and logs. - id: au-4.1_obj name: assessment-objective props: - name: label value: AU-04(01) class: sp800-53a prose: 'audit logs are transferred {{ insert: param, au-04.01_odp }} to a different system, system component, or media other than the system or system component conducting the logging.' links: - href: '#au-4.1_smt' rel: assessment-for - id: au-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing audit storage capacity procedures addressing transfer of system audit records to secondary or alternate systems system design documentation system configuration settings and associated documentation logs of audit record transfers to secondary or alternate systems system audit records transferred to secondary or alternate systems other relevant documents or records - id: au-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit storage capacity planning responsibilities organizational personnel with information security and privacy responsibilities system/network administrators - id: au-4.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-04(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting the transfer of audit records onto a different system - 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 guidelines: - prose: additional actions to be taken in the event of an audit logging process failure are defined; props: - name: label value: AU-05 class: zero-padded - name: label value: AU-5 - name: label value: AU-05 class: sp800-53a - name: sort-id value: au-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-2' rel: related - href: '#au-4' rel: related - href: '#au-7' rel: related - href: '#au-9' rel: related - href: '#au-11' rel: related - href: '#au-12' rel: related - href: '#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: 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: 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: 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: label value: AU-05b. class: sp800-53a prose: '{{ insert: param, au-05_odp.03 }} are taken in the event of an audit logging process failure.' links: - href: '#au-5_smt.b' rel: assessment-for links: - href: '#au-5_smt' rel: assessment-for - id: au-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-05-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy procedures addressing response to audit processing failures system design documentation system security plan privacy plan system configuration settings and associated documentation list of personnel to be notified in case of an audit processing failure system audit records other relevant documents or records - id: au-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-05-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-05-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing system response to audit processing failures controls: - id: au-5.1 class: SP800-53-enhancement title: Storage Capacity Warning params: - id: au-05.01_odp.01 props: - name: alt-identifier value: au-5.1_prm_1 - name: label value: AU-05(01)_ODP[01] class: sp800-53a label: personnel, roles, and/or locations guidelines: - prose: personnel, roles, and/or locations to be warned when allocated audit log storage volume reaches a percentage of repository maximum audit log storage capacity. - id: au-05.01_odp.02 props: - name: alt-identifier value: au-5.1_prm_2 - name: label value: AU-05(01)_ODP[02] class: sp800-53a label: time period guidelines: - prose: time period for defined personnel, roles, and/or locations to be warned when allocated audit log storage volume reaches a percentage of repository maximum audit log storage capacity is defined; - id: au-05.01_odp.03 props: - name: alt-identifier value: au-5.1_prm_3 - name: label value: AU-05(01)_ODP[03] class: sp800-53a label: percentage guidelines: - prose: percentage of repository maximum audit log storage capacity is defined; props: - name: label value: AU-05(01) class: zero-padded - name: label value: AU-5(1) - name: label value: AU-05(01) class: sp800-53a - name: sort-id value: au-05.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-5' rel: required parts: - id: au-5.1_smt name: statement prose: 'Provide a warning to {{ insert: param, au-05.01_odp.01 }} within {{ insert: param, au-05.01_odp.02 }} when allocated audit log storage volume reaches {{ insert: param, au-05.01_odp.03 }} of repository maximum audit log storage capacity.' - id: au-5.1_gdn name: guidance prose: Organizations may have multiple audit log storage repositories distributed across multiple system components with each repository having different storage volume capacities. - id: au-5.1_obj name: assessment-objective props: - name: label value: AU-05(01) class: sp800-53a prose: 'a warning is provided to {{ insert: param, au-05.01_odp.01 }} within {{ insert: param, au-05.01_odp.02 }} when allocated audit log storage volume reaches {{ insert: param, au-05.01_odp.03 }} of repository maximum audit log storage capacity.' links: - href: '#au-5.1_smt' rel: assessment-for - id: au-5.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-05(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy procedures addressing response to audit processing failures system design documentation system security plan privacy system configuration settings and associated documentation system audit records other relevant documents or records - id: au-5.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-05(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-5.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-05(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing audit storage limit warnings - id: au-5.2 class: SP800-53-enhancement title: Real-time Alerts params: - id: au-05.02_odp.01 props: - name: alt-identifier value: au-5.2_prm_1 - name: label value: AU-05(02)_ODP[01] class: sp800-53a label: real-time period guidelines: - prose: real-time period requiring alerts when audit failure events (defined in AU-05(02)_ODP[03]) occur is defined; - id: au-05.02_odp.02 props: - name: alt-identifier value: au-5.2_prm_2 - name: label value: AU-05(02)_ODP[02] class: sp800-53a label: personnel, roles, and/or locations guidelines: - prose: personnel, roles, and/or locations to be alerted in real time when audit failure events (defined in AU-05(02)_ODP[03]) occur is/are defined; - id: au-05.02_odp.03 props: - name: alt-identifier value: au-5.2_prm_3 - name: label value: AU-05(02)_ODP[03] class: sp800-53a label: audit logging failure events requiring real-time alerts guidelines: - prose: audit logging failure events requiring real-time alerts are defined; props: - name: label value: AU-05(02) class: zero-padded - name: label value: AU-5(2) - name: label value: AU-05(02) class: sp800-53a - name: sort-id value: au-05.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-5' rel: required parts: - id: au-5.2_smt name: statement prose: 'Provide an alert within {{ insert: param, au-05.02_odp.01 }} to {{ insert: param, au-05.02_odp.02 }} when the following audit failure events occur: {{ insert: param, au-05.02_odp.03 }}.' - id: au-5.2_gdn name: guidance prose: Alerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less). - id: au-5.2_obj name: assessment-objective props: - name: label value: AU-05(02) class: sp800-53a prose: 'an alert is provided within {{ insert: param, au-05.02_odp.01 }} to {{ insert: param, au-05.02_odp.02 }} when {{ insert: param, au-05.02_odp.03 }} occur.' links: - href: '#au-5.2_smt' rel: assessment-for - id: au-5.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-05(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy procedures addressing response to audit processing failures system design documentation system security plan privacy plan system configuration settings and associated documentation system audit records other relevant documents or records - id: au-5.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-05(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-5.3 class: SP800-53-enhancement title: Configurable Traffic Volume Thresholds params: - id: au-05.03_odp props: - name: alt-identifier value: au-5.3_prm_1 - name: label value: AU-05(03)_ODP class: sp800-53a select: how-many: one-or-more choice: - reject - delay props: - name: label value: AU-05(03) class: zero-padded - name: label value: AU-5(3) - name: label value: AU-05(03) class: sp800-53a - name: sort-id value: au-05.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-5' rel: required parts: - id: au-5.3_smt name: statement prose: 'Enforce configurable network communications traffic volume thresholds reflecting limits on audit log storage capacity and {{ insert: param, au-05.03_odp }} network traffic above those thresholds.' - id: au-5.3_gdn name: guidance prose: Organizations have the capability to reject or delay the processing of network communications traffic if audit logging information about such traffic is determined to exceed the storage capacity of the system audit logging function. The rejection or delay response is triggered by the established organizational traffic volume thresholds that can be adjusted based on changes to audit log storage capacity. - id: au-5.3_obj name: assessment-objective props: - name: label value: AU-05(03) class: sp800-53a parts: - id: au-5.3_obj-1 name: assessment-objective props: - name: label value: AU-05(03)[01] class: sp800-53a prose: configurable network communications traffic volume thresholds reflecting limits on audit log storage capacity are enforced; links: - href: '#au-5.3_smt' rel: assessment-for - id: au-5.3_obj-2 name: assessment-objective props: - name: label value: AU-05(03)[02] class: sp800-53a prose: 'network traffic is {{ insert: param, au-05.03_odp }} if network traffic volume is above configured thresholds.' links: - href: '#au-5.3_smt' rel: assessment-for links: - href: '#au-5.3_smt' rel: assessment-for - id: au-5.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-05(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy procedures addressing response to audit processing failures system design documentation system security plan privacy plan system configuration settings and associated documentation system audit records other relevant documents or records - id: au-5.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-05(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-5.4 class: SP800-53-enhancement title: Shutdown on Failure params: - id: au-05.04_odp.01 props: - name: alt-identifier value: au-5.4_prm_1 - name: label value: AU-05(04)_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - full system shutdown - partial system shutdown - degraded operational mode with limited mission or business functionality available - id: au-05.04_odp.02 props: - name: alt-identifier value: au-5.4_prm_2 - name: label value: AU-05(04)_ODP[02] class: sp800-53a label: audit logging failures guidelines: - prose: audit logging failures that trigger a change in operational mode are defined; props: - name: label value: AU-05(04) class: zero-padded - name: label value: AU-5(4) - name: label value: AU-05(04) class: sp800-53a - name: sort-id value: au-05.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-5' rel: required - href: '#au-15' rel: related parts: - id: au-5.4_smt name: statement prose: 'Invoke a {{ insert: param, au-05.04_odp.01 }} in the event of {{ insert: param, au-05.04_odp.02 }} , unless an alternate audit logging capability exists.' - id: au-5.4_gdn name: guidance prose: Organizations determine the types of audit logging failures that can trigger automatic system shutdowns or degraded operations. Because of the importance of ensuring mission and business continuity, organizations may determine that the nature of the audit logging failure is not so severe that it warrants a complete shutdown of the system supporting the core organizational mission and business functions. In those instances, partial system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives. - id: au-5.4_obj name: assessment-objective props: - name: label value: AU-05(04) class: sp800-53a prose: '{{ insert: param, au-05.04_odp.01 }} is/are invoked in the event of {{ insert: param, au-05.04_odp.02 }} , unless an alternate audit logging capability exists.' links: - href: '#au-5.4_smt' rel: assessment-for - id: au-5.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-05(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy procedures addressing response to audit processing failures system design documentation system security plan privacy plan system configuration settings and associated documentation system audit records other relevant documents or records - id: au-5.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-05(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-5.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-05(04)-Test class: sp800-53a parts: - name: assessment-objects prose: System capability invoking system shutdown or degraded operational mode in the event of an audit processing failure - id: au-5.5 class: SP800-53-enhancement title: Alternate Audit Logging Capability params: - id: au-05.05_odp props: - name: alt-identifier value: au-5.5_prm_1 - name: label value: AU-05(05)_ODP class: sp800-53a label: alternate audit logging functionality guidelines: - prose: an alternate audit logging functionality in the event of a failure in primary audit logging capability is defined; props: - name: label value: AU-05(05) class: zero-padded - name: label value: AU-5(5) - name: label value: AU-05(05) class: sp800-53a - name: sort-id value: au-05.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#au-5' rel: required - href: '#au-9' rel: related parts: - id: au-5.5_smt name: statement prose: 'Provide an alternate audit logging capability in the event of a failure in primary audit logging capability that implements {{ insert: param, au-05.05_odp }}.' - id: au-5.5_gdn name: guidance prose: Since an alternate audit logging capability may be a short-term protection solution employed until the failure in the primary audit logging capability is corrected, organizations may determine that the alternate audit logging capability need only provide a subset of the primary audit logging functionality that is impacted by the failure. - id: au-5.5_obj name: assessment-objective props: - name: label value: AU-05(05) class: sp800-53a prose: 'an alternate audit logging capability is provided in the event of a failure in primary audit logging capability that implements {{ insert: param, au-05.05_odp }}.' links: - href: '#au-5.5_smt' rel: assessment-for - id: au-5.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-05(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 system audit records other relevant documents or records - id: au-5.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-05(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-5.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-05(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Alternate audit logging capability - 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 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: label value: AU-06 class: zero-padded - name: label value: AU-6 - name: label value: AU-06 class: sp800-53a - name: sort-id value: au-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cfdb1858-c473-46b3-89f9-a700308d0be2' rel: reference - href: '#10cf2fad-a216-41f9-bb1a-531b7e3119e3' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-5' rel: related - href: '#ac-6' rel: related - href: '#ac-7' rel: related - href: '#ac-17' rel: related - href: '#au-7' rel: related - href: '#au-16' rel: related - href: '#ca-2' rel: related - href: '#ca-7' rel: related - href: '#cm-2' rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: '#cm-10' rel: related - href: '#cm-11' rel: related - href: '#ia-2' rel: related - href: '#ia-3' rel: related - href: '#ia-5' rel: related - href: '#ia-8' rel: related - href: '#ir-5' rel: related - href: '#ma-4' rel: related - href: '#mp-4' rel: related - href: '#pe-3' rel: related - href: '#pe-6' rel: related - href: '#ra-5' rel: related - href: '#sa-8' rel: related - href: '#sc-7' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related parts: - id: au-6_smt name: statement parts: - id: au-6_smt.a name: item props: - name: 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: label value: b. prose: 'Report findings to {{ insert: param, au-06_odp.03 }} ; and' - id: au-6_smt.c name: item props: - 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_obj name: assessment-objective props: - name: label value: AU-06 class: sp800-53a parts: - id: au-6_obj.a name: assessment-objective props: - 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: 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: label value: AU-06c. class: sp800-53a prose: the level of audit record review, analysis, and reporting within the system is adjusted when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information. links: - href: '#au-6_smt.c' rel: assessment-for links: - href: '#au-6_smt' rel: assessment-for - id: au-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-06-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing audit review, analysis, and reporting reports of audit findings records of actions taken in response to reviews/analyses of audit records other relevant documents or records - id: au-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-06-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit review, analysis, and reporting responsibilities organizational personnel with information security and privacy responsibilities controls: - id: au-6.1 class: SP800-53-enhancement title: Automated Process Integration params: - id: au-06.01_odp props: - name: alt-identifier value: au-6.1_prm_1 - name: label value: AU-06(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used for integrating audit record review, analysis, and reporting processes are defined; props: - name: label value: AU-06(01) class: zero-padded - name: label value: AU-6(1) - name: label value: AU-06(01) class: sp800-53a - name: sort-id value: au-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#au-6' rel: required - href: '#pm-7' rel: related parts: - id: au-6.1_smt name: statement prose: 'Integrate audit record review, analysis, and reporting processes using {{ insert: param, au-06.01_odp }}.' - id: au-6.1_gdn name: guidance prose: Organizational processes that benefit from integrated audit record review, analysis, and reporting include incident response, continuous monitoring, contingency planning, investigation and response to suspicious activities, and Inspector General audits. - id: au-6.1_obj name: assessment-objective props: - name: label value: AU-06(01) class: sp800-53a prose: 'audit record review, analysis, and reporting processes are integrated using {{ insert: param, au-06.01_odp }}.' links: - href: '#au-6.1_smt' rel: assessment-for - id: au-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-06(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing audit review, analysis, and reporting procedures addressing investigation and response to suspicious activities system design documentation system configuration settings and associated documentation system audit records other relevant documents or records - id: au-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-06(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit review, analysis, and reporting responsibilities organizational personnel with information security and privacy responsibilities - id: au-6.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-06(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms integrating audit review, analysis, and reporting processes - id: au-6.2 class: SP800-53-enhancement title: Automated Security Alerts props: - name: label value: AU-06(02) class: zero-padded - name: label value: AU-6(2) - name: label value: AU-06(02) class: sp800-53a - name: sort-id value: au-06.02 - name: status value: withdrawn links: - href: '#si-4' rel: incorporated-into - id: au-6.3 class: SP800-53-enhancement title: Correlate Audit Record Repositories props: - name: label value: AU-06(03) class: zero-padded - name: label value: AU-6(3) - name: label value: AU-06(03) class: sp800-53a - name: sort-id value: au-06.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#au-6' rel: required - href: '#au-12' rel: related - href: '#ir-4' rel: related parts: - id: au-6.3_smt name: statement prose: Analyze and correlate audit records across different repositories to gain organization-wide situational awareness. - id: au-6.3_gdn name: guidance prose: Organization-wide situational awareness includes awareness across all three levels of risk management (i.e., organizational level, mission/business process level, and information system level) and supports cross-organization awareness. - id: au-6.3_obj name: assessment-objective props: - name: label value: AU-06(03) class: sp800-53a prose: audit records across different repositories are analyzed and correlated to gain organization-wide situational awareness. links: - href: '#au-6.3_smt' rel: assessment-for - id: au-6.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-06(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing audit review, analysis, and reporting system design documentation system configuration settings and associated documentation system audit records across different repositories other relevant documents or records - id: au-6.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-06(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit review, analysis, and reporting responsibilities organizational personnel with information security and privacy responsibilities - id: au-6.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-06(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting the analysis and correlation of audit records - id: au-6.4 class: SP800-53-enhancement title: Central Review and Analysis props: - name: label value: AU-06(04) class: zero-padded - name: label value: AU-6(4) - name: label value: AU-06(04) class: sp800-53a - name: sort-id value: au-06.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#au-6' rel: required - href: '#au-2' rel: related - href: '#au-12' rel: related parts: - id: au-6.4_smt name: statement prose: Provide and implement the capability to centrally review and analyze audit records from multiple components within the system. - id: au-6.4_gdn name: guidance prose: Automated mechanisms for centralized reviews and analyses include Security Information and Event Management products. - id: au-6.4_obj name: assessment-objective props: - name: label value: AU-06(04) class: sp800-53a parts: - id: au-6.4_obj-1 name: assessment-objective props: - name: label value: AU-06(04)[01] class: sp800-53a prose: the capability to centrally review and analyze audit records from multiple components within the system is provided; links: - href: '#au-6.4_smt' rel: assessment-for - id: au-6.4_obj-2 name: assessment-objective props: - name: label value: AU-06(04)[02] class: sp800-53a prose: the capability to centrally review and analyze audit records from multiple components within the system is implemented. links: - href: '#au-6.4_smt' rel: assessment-for links: - href: '#au-6.4_smt' rel: assessment-for - id: au-6.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-06(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy procedures addressing audit review, analysis, and reporting system design documentation system configuration settings and associated documentation system security plan privacy plan system audit records other relevant documents or records - id: au-6.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-06(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit review, analysis, and reporting responsibilities organizational personnel with information security and privacy responsibilities system developers - id: au-6.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-06(04)-Test class: sp800-53a parts: - name: assessment-objects prose: System capability to centralize review and analysis of audit records - id: au-6.5 class: SP800-53-enhancement title: Integrated Analysis of Audit Records params: - id: au-06.05_odp.01 props: - name: alt-identifier value: au-6.5_prm_1 - name: label value: AU-06(05)_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - vulnerability scanning information - performance data - system monitoring information - '{{ insert: param, au-06.05_odp.02 }} ' - id: au-06.05_odp.02 props: - name: alt-identifier value: au-6.5_prm_2 - name: label value: AU-06(05)_ODP[02] class: sp800-53a label: data/information collected from other sources guidelines: - prose: data/information collected from other sources to be analyzed is defined (if selected); props: - name: label value: AU-06(05) class: zero-padded - name: label value: AU-6(5) - name: label value: AU-06(05) class: sp800-53a - name: sort-id value: au-06.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#au-6' rel: required - href: '#au-12' rel: related - href: '#ir-4' rel: related parts: - id: au-6.5_smt name: statement prose: 'Integrate analysis of audit records with analysis of {{ insert: param, au-06.05_odp.01 }} to further enhance the ability to identify inappropriate or unusual activity.' - id: au-6.5_gdn name: guidance prose: Integrated analysis of audit records does not require vulnerability scanning, the generation of performance data, or system monitoring. Rather, integrated analysis requires that the analysis of information generated by scanning, monitoring, or other data collection activities is integrated with the analysis of audit record information. Security Information and Event Management tools can facilitate audit record aggregation or consolidation from multiple system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans of the system and in correlating attack detection events with scanning results. Correlation with performance data can uncover denial-of-service attacks or other types of attacks that result in the unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations. - id: au-6.5_obj name: assessment-objective props: - name: label value: AU-06(05) class: sp800-53a prose: 'analysis of audit records is integrated with analysis of {{ insert: param, au-06.05_odp.01 }} to further enhance the ability to identify inappropriate or unusual activity.' links: - href: '#au-6.5_smt' rel: assessment-for - id: au-6.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-06(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing audit review, analysis, and reporting system design documentation system configuration settings and associated documentation integrated analysis of audit records, vulnerability scanning information, performance data, network monitoring information, and associated documentation other relevant documents or records - id: au-6.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-06(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit review, analysis, and reporting responsibilities organizational personnel with information security and privacy responsibilities - id: au-6.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-06(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing the capability to integrate analysis of audit records with analysis of data/information sources - id: au-6.6 class: SP800-53-enhancement title: Correlation with Physical Monitoring props: - name: label value: AU-06(06) class: zero-padded - name: label value: AU-6(6) - name: label value: AU-06(06) class: sp800-53a - name: sort-id value: au-06.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#au-6' rel: required parts: - id: au-6.6_smt name: statement prose: Correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity. - id: au-6.6_gdn name: guidance prose: The correlation of physical audit record information and the audit records from systems may assist organizations in identifying suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual’s identity for logical access to certain systems with the additional physical security information that the individual was present at the facility when the logical access occurred may be useful in investigations. - id: au-6.6_obj name: assessment-objective props: - name: label value: AU-06(06) class: sp800-53a prose: information from audit records is correlated with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity. links: - href: '#au-6.6_smt' rel: assessment-for - id: au-6.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-06(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy procedures addressing audit review, analysis, and reporting procedures addressing physical access monitoring system design documentation system configuration settings and associated documentation documentation providing evidence of correlated information obtained from audit records and physical access monitoring records system security plan privacy plan other relevant documents or records - id: au-6.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-06(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit review, analysis, and reporting responsibilities organizational personnel with physical access monitoring responsibilities organizational personnel with information security and privacy responsibilities - id: au-6.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-06(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing the capability to correlate information from audit records with information from monitoring physical access - id: au-6.7 class: SP800-53-enhancement title: Permitted Actions params: - id: au-06.07_odp props: - name: alt-identifier value: au-6.7_prm_1 - name: label value: AU-06(07)_ODP class: sp800-53a select: how-many: one-or-more choice: - system process - role - user props: - name: label value: AU-06(07) class: zero-padded - name: label value: AU-6(7) - name: label value: AU-06(07) class: sp800-53a - name: sort-id value: au-06.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#au-6' rel: required parts: - id: au-6.7_smt name: statement prose: 'Specify the permitted actions for each {{ insert: param, au-06.07_odp }} associated with the review, analysis, and reporting of audit record information.' - id: au-6.7_gdn name: guidance prose: Organizations specify permitted actions for system processes, roles, and users associated with the review, analysis, and reporting of audit records through system account management activities. Specifying permitted actions on audit record information is a way to enforce the principle of least privilege. Permitted actions are enforced by the system and include read, write, execute, append, and delete. - id: au-6.7_obj name: assessment-objective props: - name: label value: AU-06(07) class: sp800-53a prose: 'the permitted actions for each {{ insert: param, au-06.07_odp }} associated with the review, analysis, and reporting of audit record information are specified.' links: - href: '#au-6.7_smt' rel: assessment-for - id: au-6.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-06(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy procedures addressing process, role and/or user permitted actions from audit review, analysis, and reporting system security plan privacy plan other relevant documents or records - id: au-6.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-06(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit review, analysis, and reporting responsibilities organizational personnel with information security and privacy responsibilities - id: au-6.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-06(07)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting permitted actions for the review, analysis, and reporting of audit information - id: au-6.8 class: SP800-53-enhancement title: Full Text Analysis of Privileged Commands props: - name: label value: AU-06(08) class: zero-padded - name: label value: AU-6(8) - name: label value: AU-06(08) class: sp800-53a - name: sort-id value: au-06.08 - 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: '#au-6' rel: required - href: '#au-3' rel: related - href: '#au-9' rel: related - href: '#au-11' rel: related - href: '#au-12' rel: related parts: - id: au-6.8_smt name: statement prose: Perform a full text analysis of logged privileged commands in a physically distinct component or subsystem of the system, or other system that is dedicated to that analysis. - id: au-6.8_gdn name: guidance prose: Full text analysis of privileged commands requires a distinct environment for the analysis of audit record information related to privileged users without compromising such information on the system where the users have elevated privileges, including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes the use of pattern matching and heuristics. - id: au-6.8_obj name: assessment-objective props: - name: label value: AU-06(08) class: sp800-53a prose: a full text analysis of logged privileged commands in a physically distinct component or subsystem of the system or other system that is dedicated to that analysis is performed. links: - href: '#au-6.8_smt' rel: assessment-for - id: au-6.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-06(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy procedures addressing audit review, analysis, and reporting system design documentation system configuration settings and associated documentation text analysis tools and techniques text analysis documentation of audited privileged commands system security plan privacy plan other relevant documents or records - id: au-6.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-06(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit review, analysis, and reporting responsibilities organizational personnel with information security and privacy responsibilities - id: au-6.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-06(08)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing the capability to perform a full text analysis of audited privilege commands - id: au-6.9 class: SP800-53-enhancement title: Correlation with Information from Nontechnical Sources props: - name: label value: AU-06(09) class: zero-padded - name: label value: AU-6(9) - name: label value: AU-06(09) class: sp800-53a - name: sort-id value: au-06.09 - 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: '#au-6' rel: required - href: '#pm-12' rel: related parts: - id: au-6.9_smt name: statement prose: Correlate information from nontechnical sources with audit record information to enhance organization-wide situational awareness. - id: au-6.9_gdn name: guidance prose: Nontechnical sources include records that document organizational policy violations related to harassment incidents and the improper use of information assets. Such information can lead to a directed analytical effort to detect potential malicious insider activity. Organizations limit access to information that is available from nontechnical sources due to its sensitive nature. Limited access minimizes the potential for inadvertent release of privacy-related information to individuals who do not have a need to know. The correlation of information from nontechnical sources with audit record information generally occurs only when individuals are suspected of being involved in an incident. Organizations obtain legal advice prior to initiating such actions. - id: au-6.9_obj name: assessment-objective props: - name: label value: AU-06(09) class: sp800-53a prose: information from non-technical sources is correlated with audit record information to enhance organization-wide situational awareness. links: - href: '#au-6.9_smt' rel: assessment-for - id: au-6.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-06(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing audit review, analysis, and reporting system design documentation system configuration settings and associated documentation documentation providing evidence of correlated information obtained from audit records and organization-defined non-technical sources list of information types from non-technical sources for correlation with audit information other relevant documents or records - id: au-6.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-06(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit review, analysis, and reporting responsibilities organizational personnel with information security and privacy responsibilities - id: au-6.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-06(09)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing capability to correlate information from non-technical sources - id: au-6.10 class: SP800-53-enhancement title: Audit Level Adjustment props: - name: label value: AU-06(10) class: zero-padded - name: label value: AU-6(10) - name: label value: AU-06(10) class: sp800-53a - name: sort-id value: au-06.10 - name: status value: withdrawn links: - href: '#au-6' rel: incorporated-into - id: au-7 class: SP800-53 title: Audit Record Reduction and Report Generation props: - name: label value: AU-07 class: zero-padded - name: label value: AU-7 - name: label value: AU-07 class: sp800-53a - name: sort-id value: au-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ac-2' rel: related - href: '#au-2' rel: related - href: '#au-3' rel: related - href: '#au-4' rel: related - href: '#au-5' rel: related - href: '#au-6' rel: related - href: '#au-12' rel: related - href: '#au-16' rel: related - href: '#cm-5' rel: related - href: '#ia-5' rel: related - href: '#ir-4' rel: related - href: '#pm-12' rel: related - href: '#si-4' rel: related parts: - id: au-7_smt name: statement prose: 'Provide and implement an audit record reduction and report generation capability that:' parts: - id: au-7_smt.a name: item props: - name: label value: a. prose: Supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents; and - id: au-7_smt.b name: item props: - name: label value: b. prose: Does not alter the original content or time ordering of audit records. - id: au-7_gdn name: guidance prose: Audit record reduction is a process that manipulates collected audit log information and organizes it into a summary format that is more meaningful to analysts. Audit record reduction and report generation capabilities do not always emanate from the same system or from the same organizational entities that conduct audit logging activities. The audit record reduction capability includes modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the system can generate customizable reports. Time ordering of audit records can be an issue if the granularity of the timestamp in the record is insufficient. - id: au-7_obj name: assessment-objective props: - name: label value: AU-07 class: sp800-53a parts: - id: au-7_obj.a name: assessment-objective props: - name: label value: AU-07a. class: sp800-53a parts: - id: au-7_obj.a-1 name: assessment-objective props: - name: label value: AU-07a.[01] class: sp800-53a prose: an audit record reduction and report generation capability is provided that supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents; links: - href: '#au-7_smt.a' rel: assessment-for - id: au-7_obj.a-2 name: assessment-objective props: - name: label value: AU-07a.[02] class: sp800-53a prose: an audit record reduction and report generation capability is implemented that supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents; links: - href: '#au-7_smt.a' rel: assessment-for links: - href: '#au-7_smt.a' rel: assessment-for - id: au-7_obj.b name: assessment-objective props: - name: label value: AU-07b. class: sp800-53a parts: - id: au-7_obj.b-1 name: assessment-objective props: - name: label value: AU-07b.[01] class: sp800-53a prose: an audit record reduction and report generation capability is provided that does not alter the original content or time ordering of audit records; links: - href: '#au-7_smt.b' rel: assessment-for - id: au-7_obj.b-2 name: assessment-objective props: - name: label value: AU-07b.[02] class: sp800-53a prose: an audit record reduction and report generation capability is implemented that does not alter the original content or time ordering of audit records. links: - href: '#au-7_smt.b' rel: assessment-for links: - href: '#au-7_smt.b' rel: assessment-for links: - href: '#au-7_smt' rel: assessment-for - id: au-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-07-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing audit reduction and report generation system design documentation system configuration settings and associated documentation audit reduction, review, analysis, and reporting tools system audit records other relevant documents or records - id: au-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-07-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit reduction and report generation responsibilities organizational personnel with information security and privacy responsibilities - id: au-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-07-Test class: sp800-53a parts: - name: assessment-objects prose: Audit reduction and report generation capability controls: - id: au-7.1 class: SP800-53-enhancement title: Automatic Processing params: - id: au-07.01_odp props: - name: alt-identifier value: au-7.1_prm_1 - name: label value: AU-07(01)_ODP class: sp800-53a label: fields within audit records guidelines: - prose: fields within audit records that can be processed, sorted, or searched are defined; props: - name: label value: AU-07(01) class: zero-padded - name: label value: AU-7(1) - name: label value: AU-07(01) class: sp800-53a - name: sort-id value: au-07.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#au-7' rel: required parts: - id: au-7.1_smt name: statement prose: 'Provide and implement the capability to process, sort, and search audit records for events of interest based on the following content: {{ insert: param, au-07.01_odp }}.' - id: au-7.1_gdn name: guidance prose: Events of interest can be identified by the content of audit records, including system resources involved, information objects accessed, identities of individuals, event types, event locations, event dates and times, Internet Protocol addresses involved, or event success or failure. Organizations may define event criteria to any degree of granularity required, such as locations selectable by a general networking location or by specific system component. - id: au-7.1_obj name: assessment-objective props: - name: label value: AU-07(01) class: sp800-53a parts: - id: au-7.1_obj-1 name: assessment-objective props: - name: label value: AU-07(01)[01] class: sp800-53a prose: 'the capability to process, sort, and search audit records for events of interest based on {{ insert: param, au-07.01_odp }} are provided;' links: - href: '#au-7.1_smt' rel: assessment-for - id: au-7.1_obj-2 name: assessment-objective props: - name: label value: AU-07(01)[02] class: sp800-53a prose: 'the capability to process, sort, and search audit records for events of interest based on {{ insert: param, au-07.01_odp }} are implemented.' links: - href: '#au-7.1_smt' rel: assessment-for links: - href: '#au-7.1_smt' rel: assessment-for - id: au-7.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-07(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing audit reduction and report generation system design documentation system configuration settings and associated documentation audit reduction, review, analysis, and reporting tools audit record criteria (fields) establishing events of interest system audit records other relevant documents or records - id: au-7.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-07(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit reduction and report generation responsibilities organizational personnel with information security and privacy responsibilities system developers - id: au-7.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-07(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Audit reduction and report generation capability - id: au-7.2 class: SP800-53-enhancement title: Automatic Sort and Search props: - name: label value: AU-07(02) class: zero-padded - name: label value: AU-7(2) - name: label value: AU-07(02) class: sp800-53a - name: sort-id value: au-07.02 - name: status value: withdrawn links: - href: '#au-7.1' rel: incorporated-into - 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 guidelines: - prose: granularity of time measurement for audit record timestamps is defined; props: - 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: '#au-14' rel: related - href: '#sc-45' rel: related parts: - id: au-8_smt name: statement parts: - id: au-8_smt.a name: item props: - name: 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: 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: 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: 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 controls: - id: au-8.1 class: SP800-53-enhancement title: Synchronization with Authoritative Time Source props: - name: label value: AU-08(01) class: zero-padded - name: label value: AU-8(1) - name: label value: AU-08(01) class: sp800-53a - name: sort-id value: au-08.01 - name: status value: withdrawn links: - href: '#sc-45.1' rel: moved-to - id: au-8.2 class: SP800-53-enhancement title: Secondary Authoritative Time Source props: - name: label value: AU-08(02) class: zero-padded - name: label value: AU-8(2) - name: label value: AU-08(02) class: sp800-53a - name: sort-id value: au-08.02 - name: status value: withdrawn links: - href: '#sc-45.2' rel: moved-to - id: au-9 class: SP800-53 title: Protection of Audit Information params: - id: au-09_odp props: - name: alt-identifier value: au-9_prm_1 - name: label value: AU-09_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be alerted upon detection of unauthorized access, modification, or deletion of audit information is/are defined; props: - name: label value: AU-09 class: zero-padded - name: label value: AU-9 - name: label value: AU-09 class: sp800-53a - name: sort-id value: au-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#eea3c092-42ed-4382-a6f4-1adadef01b9d' rel: reference - href: '#a295ca19-8c75-4b4c-8800-98024732e181' rel: reference - href: '#ac-3' rel: related - href: '#ac-6' rel: related - href: '#au-6' rel: related - href: '#au-11' rel: related - href: '#au-14' rel: related - href: '#au-15' rel: related - href: '#mp-2' rel: related - href: '#mp-4' rel: related - href: '#pe-2' rel: related - href: '#pe-3' rel: related - href: '#pe-6' rel: related - href: '#sa-8' rel: related - href: '#sc-8' rel: related - href: '#si-4' rel: related parts: - id: au-9_smt name: statement parts: - id: au-9_smt.a name: item props: - name: 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: 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: 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: label value: AU-09b. class: sp800-53a prose: '{{ insert: param, au-09_odp }} are alerted upon detection of unauthorized access, modification, or deletion of audit information.' links: - href: '#au-9_smt.b' rel: assessment-for links: - href: '#au-9_smt' rel: assessment-for - id: au-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-09-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan access control policy and procedures procedures addressing protection of audit information system design documentation system configuration settings and associated documentation system audit records audit tools other relevant documents or records - id: au-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-09-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-09-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing audit information protection controls: - id: au-9.1 class: SP800-53-enhancement title: Hardware Write-once Media props: - name: label value: AU-09(01) class: zero-padded - name: label value: AU-9(1) - name: label value: AU-09(01) class: sp800-53a - name: sort-id value: au-09.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-9' rel: required - href: '#au-4' rel: related - href: '#au-5' rel: related parts: - id: au-9.1_smt name: statement prose: Write audit trails to hardware-enforced, write-once media. - id: au-9.1_gdn name: guidance prose: Writing audit trails to hardware-enforced, write-once media applies to the initial generation of audit trails (i.e., the collection of audit records that represents the information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. Writing audit trails to hardware-enforced, write-once media does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes Compact Disc-Recordable (CD-R), Blu-Ray Disc Recordable (BD-R), and Digital Versatile Disc-Recordable (DVD-R). In contrast, the use of switchable write-protection media, such as tape cartridges, Universal Serial Bus (USB) drives, Compact Disc Re-Writeable (CD-RW), and Digital Versatile Disc-Read Write (DVD-RW) results in write-protected but not write-once media. - id: au-9.1_obj name: assessment-objective props: - name: label value: AU-09(01) class: sp800-53a prose: audit trails are written to hardware-enforced, write-once media. links: - href: '#au-9.1_smt' rel: assessment-for - id: au-9.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-09(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan access control policy and procedures procedures addressing protection of audit information system design documentation system hardware settings system configuration settings and associated documentation system storage media system audit records other relevant documents or records - id: au-9.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-09(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-9.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-09(01)-Test class: sp800-53a parts: - name: assessment-objects prose: System media storing audit trails - id: au-9.2 class: SP800-53-enhancement title: Store on Separate Physical Systems or Components params: - id: au-09.02_odp props: - name: alt-identifier value: au-9.2_prm_1 - name: label value: AU-09(02)_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency of storing audit records in a repository is defined; props: - name: label value: AU-09(02) class: zero-padded - name: label value: AU-9(2) - name: label value: AU-09(02) class: sp800-53a - name: sort-id value: au-09.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-9' rel: required - href: '#au-4' rel: related - href: '#au-5' rel: related parts: - id: au-9.2_smt name: statement prose: 'Store audit records {{ insert: param, au-09.02_odp }} in a repository that is part of a physically different system or system component than the system or component being audited.' - id: au-9.2_gdn name: guidance prose: Storing audit records in a repository separate from the audited system or system component helps to ensure that a compromise of the system being audited does not also result in a compromise of the audit records. Storing audit records on separate physical systems or components also preserves the confidentiality and integrity of audit records and facilitates the management of audit records as an organization-wide activity. Storing audit records on separate systems or components applies to initial generation as well as backup or long-term storage of audit records. - id: au-9.2_obj name: assessment-objective props: - name: label value: AU-09(02) class: sp800-53a prose: 'audit records are stored {{ insert: param, au-09.02_odp }} in a repository that is part of a physically different system or system component than the system or component being audited.' links: - href: '#au-9.2_smt' rel: assessment-for - id: au-9.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-09(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing protection of audit information system design documentation system configuration settings and associated documentation system or media storing backups of system audit records system audit records other relevant documents or records - id: au-9.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-09(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-9.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-09(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing the backing up of audit records - id: au-9.3 class: SP800-53-enhancement title: Cryptographic Protection props: - name: label value: AU-09(03) class: zero-padded - name: label value: AU-9(3) - name: label value: AU-09(03) class: sp800-53a - name: sort-id value: au-09.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-9' rel: required - href: '#au-10' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: au-9.3_smt name: statement prose: Implement cryptographic mechanisms to protect the integrity of audit information and audit tools. - id: au-9.3_gdn name: guidance prose: Cryptographic mechanisms used for protecting the integrity of audit information include signed hash functions using asymmetric cryptography. This enables the distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash. - id: au-9.3_obj name: assessment-objective props: - name: label value: AU-09(03) class: sp800-53a prose: cryptographic mechanisms to protect the integrity of audit information and audit tools are implemented. links: - href: '#au-9.3_smt' rel: assessment-for - id: au-9.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-09(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan access control policy and procedures procedures addressing protection of audit information system design documentation system hardware settings system configuration settings and associated documentation system audit records other relevant documents or records - id: au-9.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-09(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-9.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-09(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Cryptographic mechanisms protecting the integrity of audit information and tools - id: au-9.4 class: SP800-53-enhancement title: Access by Subset of Privileged Users params: - id: au-09.04_odp props: - name: alt-identifier value: au-9.4_prm_1 - name: label value: AU-09(04)_ODP class: sp800-53a label: subset of privileged users or roles guidelines: - prose: a subset of privileged users or roles authorized to access management of audit logging functionality is defined; props: - name: label value: AU-09(04) class: zero-padded - name: label value: AU-9(4) - name: label value: AU-09(04) class: sp800-53a - name: sort-id value: au-09.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#au-9' rel: required - href: '#ac-5' rel: related parts: - id: au-9.4_smt name: statement prose: 'Authorize access to management of audit logging functionality to only {{ insert: param, au-09.04_odp }}.' - id: au-9.4_gdn name: guidance prose: Individuals or roles with privileged access to a system and who are also the subject of an audit by that system may affect the reliability of the audit information by inhibiting audit activities or modifying audit records. Requiring privileged access to be further defined between audit-related privileges and other privileges limits the number of users or roles with audit-related privileges. - id: au-9.4_obj name: assessment-objective props: - name: label value: AU-09(04) class: sp800-53a prose: 'access to management of audit logging functionality is authorized only to {{ insert: param, au-09.04_odp }}.' links: - href: '#au-9.4_smt' rel: assessment-for - id: au-9.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-09(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan access control policy and procedures procedures addressing protection of audit information system design documentation system configuration settings and associated documentation system-generated list of privileged users with access to management of audit functionality access authorizations access control list system audit records other relevant documents or records - id: au-9.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-09(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators - id: au-9.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-09(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms managing access to audit functionality - id: au-9.5 class: SP800-53-enhancement title: Dual Authorization params: - id: au-09.05_odp.01 props: - name: alt-identifier value: au-9.5_prm_1 - name: label value: AU-09(05)_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - movement - deletion - id: au-09.05_odp.02 props: - name: alt-identifier value: au-9.5_prm_2 - name: label value: AU-09(05)_ODP[02] class: sp800-53a label: audit information guidelines: - prose: audit information for which dual authorization is to be enforced is defined; props: - name: label value: AU-09(05) class: zero-padded - name: label value: AU-9(5) - name: label value: AU-09(05) class: sp800-53a - name: sort-id value: au-09.05 - 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: '#au-9' rel: required - href: '#ac-3' rel: related parts: - id: au-9.5_smt name: statement prose: 'Enforce dual authorization for {{ insert: param, au-09.05_odp.01 }} of {{ insert: param, au-09.05_odp.02 }}.' - id: au-9.5_gdn name: guidance prose: Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms (also known as two-person control) require the approval of two authorized individuals to execute audit functions. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety. - id: au-9.5_obj name: assessment-objective props: - name: label value: AU-09(05) class: sp800-53a prose: 'dual authorization is enforced for the {{ insert: param, au-09.05_odp.01 }} of {{ insert: param, au-09.05_odp.02 }}.' links: - href: '#au-9.5_smt' rel: assessment-for - id: au-9.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-09(05)-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 access authorizations system audit records other relevant documents or records - id: au-9.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-09(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 - id: au-9.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-09(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing the enforcement of dual authorization - id: au-9.6 class: SP800-53-enhancement title: Read-only Access params: - id: au-09.06_odp props: - name: alt-identifier value: au-9.6_prm_1 - name: label value: AU-09(06)_ODP class: sp800-53a label: subset of privileged users or roles guidelines: - prose: a subset of privileged users or roles with authorized read-only access to audit information is defined; props: - name: label value: AU-09(06) class: zero-padded - name: label value: AU-9(6) - name: label value: AU-09(06) class: sp800-53a - name: sort-id value: au-09.06 - 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: '#au-9' rel: required parts: - id: au-9.6_smt name: statement prose: 'Authorize read-only access to audit information to {{ insert: param, au-09.06_odp }}.' - id: au-9.6_gdn name: guidance prose: Restricting privileged user or role authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users or roles, such as deleting audit records to cover up malicious activity. - id: au-9.6_obj name: assessment-objective props: - name: label value: AU-09(06) class: sp800-53a prose: 'read-only access to audit information is authorized to {{ insert: param, au-09.06_odp }}.' links: - href: '#au-9.6_smt' rel: assessment-for - id: au-9.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-09(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan access control policy and procedures procedures addressing protection of audit information system design documentation system configuration settings and associated documentation system-generated list of privileged users with read-only access to audit information access authorizations access control list system audit records other relevant documents or records - id: au-9.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-09(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators - id: au-9.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-09(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms managing access to audit information - id: au-9.7 class: SP800-53-enhancement title: Store on Component with Different Operating System props: - name: label value: AU-09(07) class: zero-padded - name: label value: AU-9(7) - name: label value: AU-09(07) class: sp800-53a - name: sort-id value: au-09.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#au-9' rel: required - href: '#au-4' rel: related - href: '#au-5' rel: related - href: '#au-11' rel: related - href: '#sc-29' rel: related parts: - id: au-9.7_smt name: statement prose: Store audit information on a component running a different operating system than the system or component being audited. - id: au-9.7_gdn name: guidance prose: Storing auditing information on a system component running a different operating system reduces the risk of a vulnerability specific to the system, resulting in a compromise of the audit records. - id: au-9.7_obj name: assessment-objective props: - name: label value: AU-09(07) class: sp800-53a prose: audit information is stored on a component running a different operating system than the system or component being audited. links: - href: '#au-9.7_smt' rel: assessment-for - id: au-9.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-09(07)-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 other relevant documents or records - id: au-9.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-09(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators - id: au-9.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-09(07)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing operating system verification capability mechanisms verifying audit information storage location - id: au-10 class: SP800-53 title: Non-repudiation params: - id: au-10_odp props: - name: alt-identifier value: au-10_prm_1 - name: alt-label value: actions to be covered by non-repudiation class: sp800-53 - name: label value: AU-10_ODP class: sp800-53a label: actions guidelines: - prose: actions to be covered by non-repudiation are defined; props: - name: label value: AU-10 class: zero-padded - name: label value: AU-10 - name: label value: AU-10 class: sp800-53a - name: sort-id value: au-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#eea3c092-42ed-4382-a6f4-1adadef01b9d' rel: reference - href: '#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1' rel: reference - href: '#a295ca19-8c75-4b4c-8800-98024732e181' rel: reference - href: '#1c71b420-2bd9-4e52-9fc8-390f58b85b59' rel: reference - href: '#au-9' rel: related - href: '#pm-12' rel: related - href: '#sa-8' rel: related - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-16' rel: related - href: '#sc-17' rel: related - href: '#sc-23' rel: related parts: - id: au-10_smt name: statement prose: 'Provide irrefutable evidence that an individual (or process acting on behalf of an individual) has performed {{ insert: param, au-10_odp }}.' - id: au-10_gdn name: guidance prose: Types of individual actions covered by non-repudiation include creating information, sending and receiving messages, and approving information. Non-repudiation protects against claims by authors of not having authored certain documents, senders of not having transmitted messages, receivers of not having received messages, and signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from an individual or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request, or receiving specific information). Organizations obtain non-repudiation services by employing various techniques or mechanisms, including digital signatures and digital message receipts. - id: au-10_obj name: assessment-objective props: - name: label value: AU-10 class: sp800-53a prose: 'irrefutable evidence is provided that an individual (or process acting on behalf of an individual) has performed {{ insert: param, au-10_odp }}.' links: - href: '#au-10_smt' rel: assessment-for - id: au-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-10-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing non-repudiation system design documentation system configuration settings and associated documentation system audit records other relevant documents or records - id: au-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-10-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-10-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing non-repudiation capability controls: - id: au-10.1 class: SP800-53-enhancement title: Association of Identities params: - id: au-10.01_odp props: - name: alt-identifier value: au-10.1_prm_1 - name: label value: AU-10(01)_ODP class: sp800-53a label: strength of binding guidelines: - prose: the strength of binding between the identity of the information producer and the information is defined; props: - name: label value: AU-10(01) class: zero-padded - name: label value: AU-10(1) - name: label value: AU-10(01) class: sp800-53a - name: sort-id value: au-10.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#au-10' rel: required - href: '#ac-4' rel: related - href: '#ac-16' rel: related parts: - id: au-10.1_smt name: statement parts: - id: au-10.1_smt.a name: item props: - name: label value: (a) prose: 'Bind the identity of the information producer with the information to {{ insert: param, au-10.01_odp }} ; and' - id: au-10.1_smt.b name: item props: - name: label value: (b) prose: Provide the means for authorized individuals to determine the identity of the producer of the information. - id: au-10.1_gdn name: guidance prose: Binding identities to the information supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of attribute binding between the information producer and the information based on the security category of the information and other relevant risk factors. - id: au-10.1_obj name: assessment-objective props: - name: label value: AU-10(01) class: sp800-53a parts: - id: au-10.1_obj.a name: assessment-objective props: - name: label value: AU-10(01)(a) class: sp800-53a prose: 'the identity of the information producer is bound with the information to {{ insert: param, au-10.01_odp }};' links: - href: '#au-10.1_smt.a' rel: assessment-for - id: au-10.1_obj.b name: assessment-objective props: - name: label value: AU-10(01)(b) class: sp800-53a prose: the means for authorized individuals to determine the identity of the producer of the information is provided. links: - href: '#au-10.1_smt.b' rel: assessment-for links: - href: '#au-10.1_smt' rel: assessment-for - id: au-10.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-10(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing non-repudiation system design documentation system configuration settings and associated documentation system audit records other relevant documents or records - id: au-10.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-10(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-10.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-10(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing non-repudiation capability - id: au-10.2 class: SP800-53-enhancement title: Validate Binding of Information Producer Identity params: - id: au-10.02_odp.01 props: - name: alt-identifier value: au-10.2_prm_1 - name: label value: AU-10(02)_ODP[01] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to validate the binding of the information producer identity to the information is defined; - id: au-10.02_odp.02 props: - name: alt-identifier value: au-10.2_prm_2 - name: label value: AU-10(02)_ODP[02] class: sp800-53a label: actions guidelines: - prose: the actions to be performed in the event of a validation error are defined; props: - name: label value: AU-10(02) class: zero-padded - name: label value: AU-10(2) - name: label value: AU-10(02) class: sp800-53a - name: sort-id value: au-10.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#au-10' rel: required - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-16' rel: related parts: - id: au-10.2_smt name: statement parts: - id: au-10.2_smt.a name: item props: - name: label value: (a) prose: 'Validate the binding of the information producer identity to the information at {{ insert: param, au-10.02_odp.01 }} ; and' - id: au-10.2_smt.b name: item props: - name: label value: (b) prose: 'Perform {{ insert: param, au-10.02_odp.02 }} in the event of a validation error.' - id: au-10.2_gdn name: guidance prose: Validating the binding of the information producer identity to the information prevents the modification of information between production and review. The validation of bindings can be achieved by, for example, using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically. - id: au-10.2_obj name: assessment-objective props: - name: label value: AU-10(02) class: sp800-53a parts: - id: au-10.2_obj.a name: assessment-objective props: - name: label value: AU-10(02)(a) class: sp800-53a prose: 'the binding of the information producer identity to the information is validated at {{ insert: param, au-10.02_odp.01 }};' links: - href: '#au-10.2_smt.a' rel: assessment-for - id: au-10.2_obj.b name: assessment-objective props: - name: label value: AU-10(02)(b) class: sp800-53a prose: '{{ insert: param, au-10.02_odp.02 }} in the event of a validation error are performed.' links: - href: '#au-10.2_smt.b' rel: assessment-for links: - href: '#au-10.2_smt' rel: assessment-for - id: au-10.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-10(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing non-repudiation system design documentation system configuration settings and associated documentation validation records system audit records other relevant documents or records - id: au-10.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-10(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-10.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-10(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing non-repudiation capability - id: au-10.3 class: SP800-53-enhancement title: Chain of Custody props: - name: label value: AU-10(03) class: zero-padded - name: label value: AU-10(3) - name: label value: AU-10(03) class: sp800-53a - name: sort-id value: au-10.03 - 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: '#au-10' rel: required - href: '#ac-4' rel: related - href: '#ac-16' rel: related parts: - id: au-10.3_smt name: statement prose: Maintain reviewer or releaser credentials within the established chain of custody for information reviewed or released. - id: au-10.3_gdn name: guidance prose: Chain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each individual who handled the evidence, the date and time the evidence was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release or transfer function, the system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, maintaining the credentials of reviewers or releasers provides the organization with the means to identify who reviewed and released the information. In the case of automated reviews, it ensures that only approved review functions are used. - id: au-10.3_obj name: assessment-objective props: - name: label value: AU-10(03) class: sp800-53a prose: reviewer or releaser credentials are maintained within the established chain of custody for information reviewed or released. links: - href: '#au-10.3_smt' rel: assessment-for - id: au-10.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-10(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing non-repudiation system design documentation system configuration settings and associated documentation records of information reviews and releases system audit records other relevant documents or records - id: au-10.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-10(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-10.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-10(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms implementing non-repudiation capability - id: au-10.4 class: SP800-53-enhancement title: Validate Binding of Information Reviewer Identity params: - id: au-10.04_odp.01 props: - name: alt-identifier value: au-10.4_prm_1 - name: label value: AU-10(04)_ODP[01] class: sp800-53a label: security domains guidelines: - prose: security domains for which the binding of the information reviewer identity to the information is to be validated at transfer or release are defined; - id: au-10.04_odp.02 props: - name: alt-identifier value: au-10.4_prm_2 - name: label value: AU-10(04)_ODP[02] class: sp800-53a label: actions guidelines: - prose: actions to be performed in the event of a validation error are defined; props: - name: label value: AU-10(04) class: zero-padded - name: label value: AU-10(4) - name: label value: AU-10(04) class: sp800-53a - name: sort-id value: au-10.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#au-10' rel: required - href: '#ac-4' rel: related - href: '#ac-16' rel: related parts: - id: au-10.4_smt name: statement parts: - id: au-10.4_smt.a name: item props: - name: label value: (a) prose: 'Validate the binding of the information reviewer identity to the information at the transfer or release points prior to release or transfer between {{ insert: param, au-10.04_odp.01 }} ; and' - id: au-10.4_smt.b name: item props: - name: label value: (b) prose: 'Perform {{ insert: param, au-10.04_odp.02 }} in the event of a validation error.' - id: au-10.4_gdn name: guidance prose: Validating the binding of the information reviewer identity to the information at transfer or release points prevents the unauthorized modification of information between review and the transfer or release. The validation of bindings can be achieved by using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically. - id: au-10.4_obj name: assessment-objective props: - name: label value: AU-10(04) class: sp800-53a parts: - id: au-10.4_obj.a name: assessment-objective props: - name: label value: AU-10(04)(a) class: sp800-53a prose: 'the binding of the information reviewer identity to the information at the transfer or release points prior to release or transfer between {{ insert: param, au-10.04_odp.01 }} is validated;' links: - href: '#au-10.4_smt.a' rel: assessment-for - id: au-10.4_obj.b name: assessment-objective props: - name: label value: AU-10(04)(b) class: sp800-53a prose: '{{ insert: param, au-10.04_odp.02 }} are performed in the event of a validation error.' links: - href: '#au-10.4_smt.b' rel: assessment-for links: - href: '#au-10.4_smt' rel: assessment-for - id: au-10.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-10(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing non-repudiation system design documentation system configuration settings and associated documentation validation records system audit records other relevant documents or records - id: au-10.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-10(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-10.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-10(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing non-repudiation capability - id: au-10.5 class: SP800-53-enhancement title: Digital Signatures props: - name: label value: AU-10(05) class: zero-padded - name: label value: AU-10(5) - name: label value: AU-10(05) class: sp800-53a - name: sort-id value: au-10.05 - name: status value: withdrawn links: - href: '#si-7' rel: incorporated-into - 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 guidelines: - prose: a time period to retain audit records that is consistent with the records retention policy is defined; props: - 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: '#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 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_obj name: assessment-objective props: - 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 controls: - id: au-11.1 class: SP800-53-enhancement title: Long-term Retrieval Capability params: - id: au-11.01_odp props: - name: alt-identifier value: au-11.1_prm_1 - name: label value: AU-11(01)_ODP class: sp800-53a label: measures guidelines: - prose: measures to be employed to ensure that long-term audit records generated by the system can be retrieved are defined; props: - name: label value: AU-11(01) class: zero-padded - name: label value: AU-11(1) - name: label value: AU-11(01) class: sp800-53a - name: sort-id value: au-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: '#au-11' rel: required parts: - id: au-11.1_smt name: statement prose: 'Employ {{ insert: param, au-11.01_odp }} to ensure that long-term audit records generated by the system can be retrieved.' - id: au-11.1_gdn name: guidance prose: Organizations need to access and read audit records requiring long-term storage (on the order of years). Measures employed to help facilitate the retrieval of audit records include converting records to newer formats, retaining equipment capable of reading the records, and retaining the necessary documentation to help personnel understand how to interpret the records. - id: au-11.1_obj name: assessment-objective props: - name: label value: AU-11(01) class: sp800-53a prose: '{{ insert: param, au-11.01_odp }} are employed to ensure that long-term audit records generated by the system can be retrieved.' links: - href: '#au-11.1_smt' rel: assessment-for - id: au-11.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-11(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan audit record retention policy and procedures system design documentation system configuration settings and associated documentation audit record archives audit logs audit records other relevant documents or records - id: au-11.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-11(01)-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-11.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-11(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing audit record retention capability - 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 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: label value: AU-12 class: zero-padded - name: label value: AU-12 - name: label value: AU-12 class: sp800-53a - name: sort-id value: au-12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-6' rel: related - href: '#ac-17' rel: related - href: '#au-2' rel: related - href: '#au-3' rel: related - href: '#au-4' rel: related - href: '#au-5' rel: related - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#au-14' rel: related - href: '#cm-5' rel: related - href: '#ma-4' rel: related - href: '#mp-4' rel: related - href: '#pm-12' rel: related - href: '#sa-8' rel: related - href: '#sc-18' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related - href: '#si-10' rel: related parts: - id: au-12_smt name: statement parts: - id: au-12_smt.a name: item props: - name: 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: 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: 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: 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: 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: label value: AU-12c. class: sp800-53a prose: audit records for the event types defined in AU-02_ODP[02] that include the audit record content defined in AU-03 are generated. links: - href: '#au-12_smt.c' rel: assessment-for links: - href: '#au-12_smt' rel: assessment-for - id: au-12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-12-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy procedures addressing audit record generation system security plan privacy plan system design documentation system configuration settings and associated documentation list of auditable events system audit records other relevant documents or records - id: au-12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-12-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit record generation responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-12-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing audit record generation capability controls: - id: au-12.1 class: SP800-53-enhancement title: System-wide and Time-correlated Audit Trail params: - id: au-12.01_odp.01 props: - name: alt-identifier value: au-12.1_prm_1 - name: label value: AU-12(01)_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components from which audit records are to be compiled into a system-wide (logical or physical) audit trail are defined; - id: au-12.01_odp.02 props: - name: alt-identifier value: au-12.1_prm_2 - name: alt-label value: level of tolerance for the relationship between time stamps of individual records in the audit trail class: sp800-53 - name: label value: AU-12(01)_ODP[02] class: sp800-53a label: level of tolerance guidelines: - prose: level of tolerance for the relationship between timestamps of individual records in the audit trail is defined; props: - name: label value: AU-12(01) class: zero-padded - name: label value: AU-12(1) - name: label value: AU-12(01) class: sp800-53a - name: sort-id value: au-12.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-12' rel: required - href: '#au-8' rel: related - href: '#sc-45' rel: related parts: - id: au-12.1_smt name: statement prose: 'Compile audit records from {{ insert: param, au-12.01_odp.01 }} into a system-wide (logical or physical) audit trail that is time-correlated to within {{ insert: param, au-12.01_odp.02 }}.' - id: au-12.1_gdn name: guidance prose: Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances. - id: au-12.1_obj name: assessment-objective props: - name: label value: AU-12(01) class: sp800-53a prose: 'audit records from {{ insert: param, au-12.01_odp.01 }} are compiled into a system-wide (logical or physical) audit trail that is time-correlated to within {{ insert: param, au-12.01_odp.02 }}.' links: - href: '#au-12.1_smt' rel: assessment-for - id: au-12.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-12(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing audit record generation system design documentation system configuration settings and associated documentation system-wide audit trail (logical or physical) system audit records other relevant documents or records - id: au-12.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-12(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit record generation responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-12.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-12(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing audit record generation capability - id: au-12.2 class: SP800-53-enhancement title: Standardized Formats props: - name: label value: AU-12(02) class: zero-padded - name: label value: AU-12(2) - name: label value: AU-12(02) class: sp800-53a - name: sort-id value: au-12.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-12' rel: required parts: - id: au-12.2_smt name: statement prose: Produce a system-wide (logical or physical) audit trail composed of audit records in a standardized format. - id: au-12.2_gdn name: guidance prose: Audit records that follow common standards promote interoperability and information exchange between devices and systems. Promoting interoperability and information exchange facilitates the production of event information that can be readily analyzed and correlated. If logging mechanisms do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails. - id: au-12.2_obj name: assessment-objective props: - name: label value: AU-12(02) class: sp800-53a prose: a system-wide (logical or physical) audit trail composed of audit records is produced in a standardized format. links: - href: '#au-12.2_smt' rel: assessment-for - id: au-12.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-12(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing audit record generation system design documentation system configuration settings and associated documentation system-wide audit trail (logical or physical) system audit records other relevant documents or records - id: au-12.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-12(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit record generation responsibilities organizational personnel with security responsibilities system/network administrators system developers - id: au-12.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-12(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing audit record generation capability - id: au-12.3 class: SP800-53-enhancement title: Changes by Authorized Individuals params: - id: au-12.03_odp.01 props: - name: alt-identifier value: au-12.3_prm_1 - name: label value: AU-12(03)_ODP[01] class: sp800-53a label: individuals or roles guidelines: - prose: individuals or roles authorized to change the logging on system components are defined; - id: au-12.03_odp.02 props: - name: alt-identifier value: au-12.3_prm_2 - name: label value: AU-12(03)_ODP[02] class: sp800-53a label: system components guidelines: - prose: system components on which logging is to be performed are defined; - id: au-12.03_odp.03 props: - name: alt-identifier value: au-12.3_prm_3 - name: label value: AU-12(03)_ODP[03] class: sp800-53a label: selectable event criteria guidelines: - prose: selectable event criteria with which change logging is to be performed are defined; - id: au-12.03_odp.04 props: - name: alt-identifier value: au-12.3_prm_4 - name: label value: AU-12(03)_ODP[04] class: sp800-53a label: time thresholds guidelines: - prose: time thresholds in which logging actions are to change is defined; props: - name: label value: AU-12(03) class: zero-padded - name: label value: AU-12(3) - name: label value: AU-12(03) class: sp800-53a - name: sort-id value: au-12.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-12' rel: required - href: '#ac-3' rel: related parts: - id: au-12.3_smt name: statement prose: 'Provide and implement the capability for {{ insert: param, au-12.03_odp.01 }} to change the logging to be performed on {{ insert: param, au-12.03_odp.02 }} based on {{ insert: param, au-12.03_odp.03 }} within {{ insert: param, au-12.03_odp.04 }}.' - id: au-12.3_gdn name: guidance prose: Permitting authorized individuals to make changes to system logging enables organizations to extend or limit logging as necessary to meet organizational requirements. Logging that is limited to conserve system resources may be extended (either temporarily or permanently) to address certain threat situations. In addition, logging may be limited to a specific set of event types to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which logging actions are changed (e.g., near real-time, within minutes, or within hours). - id: au-12.3_obj name: assessment-objective props: - name: label value: AU-12(03) class: sp800-53a parts: - id: au-12.3_obj-1 name: assessment-objective props: - name: label value: AU-12(03)[01] class: sp800-53a prose: 'the capability for {{ insert: param, au-12.03_odp.01 }} to change the logging to be performed on {{ insert: param, au-12.03_odp.02 }} based on {{ insert: param, au-12.03_odp.03 }} within {{ insert: param, au-12.03_odp.04 }} is provided;' links: - href: '#au-12.3_smt' rel: assessment-for - id: au-12.3_obj-2 name: assessment-objective props: - name: label value: AU-12(03)[02] class: sp800-53a prose: 'the capability for {{ insert: param, au-12.03_odp.01 }} to change the logging to be performed on {{ insert: param, au-12.03_odp.02 }} based on {{ insert: param, au-12.03_odp.03 }} within {{ insert: param, au-12.03_odp.04 }} is implemented.' links: - href: '#au-12.3_smt' rel: assessment-for links: - href: '#au-12.3_smt' rel: assessment-for - id: au-12.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-12(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing audit record generation system design documentation system configuration settings and associated documentation system-generated list of individuals or roles authorized to change auditing to be performed system audit records other relevant documents or records - id: au-12.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-12(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with audit record generation responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-12.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-12(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing audit record generation capability - id: au-12.4 class: SP800-53-enhancement title: Query Parameter Audits of Personally Identifiable Information props: - name: label value: AU-12(04) class: zero-padded - name: label value: AU-12(4) - name: label value: AU-12(04) class: sp800-53a - name: sort-id value: au-12.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-12' rel: required parts: - id: au-12.4_smt name: statement prose: Provide and implement the capability for auditing the parameters of user query events for data sets containing personally identifiable information. - id: au-12.4_gdn name: guidance prose: Query parameters are explicit criteria that an individual or automated system submits to a system to retrieve data. Auditing of query parameters for datasets that contain personally identifiable information augments the capability of an organization to track and understand the access, usage, or sharing of personally identifiable information by authorized personnel. - id: au-12.4_obj name: assessment-objective props: - name: label value: AU-12(04) class: sp800-53a parts: - id: au-12.4_obj-1 name: assessment-objective props: - name: label value: AU-12(04)[01] class: sp800-53a prose: the capability to audit the parameters of user query events for data sets containing personally identifiable information is provided; links: - href: '#au-12.4_smt' rel: assessment-for - id: au-12.4_obj-2 name: assessment-objective props: - name: label value: AU-12(04)[02] class: sp800-53a prose: the capability to audit the parameters of user query events for data sets containing personally identifiable information is implemented. links: - href: '#au-12.4_smt' rel: assessment-for links: - href: '#au-12.4_smt' rel: assessment-for - id: au-12.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-12(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing audit record generation query event records system design documentation system configuration settings and associated documentation map of system data actions system audit records other relevant documents or records - id: au-12.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-12(04)-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-12.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-12(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing audit record generation capability - id: au-13 class: SP800-53 title: Monitoring for Information Disclosure params: - id: au-13_odp.01 props: - name: alt-identifier value: au-13_prm_1 - name: label value: AU-13_ODP[01] class: sp800-53a label: open-source information and/or information sites guidelines: - prose: open-source information and/or information sites to be monitored for evidence of unauthorized disclosure of organizational information is/are defined; - id: au-13_odp.02 props: - name: alt-identifier value: au-13_prm_2 - name: label value: AU-13_ODP[02] class: sp800-53a label: frequency guidelines: - prose: the frequency with which open-source information and/or information sites are monitored for evidence of unauthorized disclosure of organizational information is defined; - id: au-13_odp.03 props: - name: alt-identifier value: au-13_prm_3 - name: label value: AU-13_ODP[03] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be notified if an information disclosure is discovered is/are defined; - id: au-13_odp.04 props: - name: alt-identifier value: au-13_prm_4 - name: label value: AU-13_ODP[04] class: sp800-53a label: additional actions guidelines: - prose: additional actions to be taken if an information disclosure is discovered are defined; props: - name: label value: AU-13 class: zero-padded - name: label value: AU-13 - name: label value: AU-13 class: sp800-53a - name: sort-id value: au-13 - 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-22' rel: related - href: '#pe-3' rel: related - href: '#pm-12' rel: related - href: '#ra-5' rel: related - href: '#sc-7' rel: related - href: '#si-20' rel: related parts: - id: au-13_smt name: statement parts: - id: au-13_smt.a name: item props: - name: label value: a. prose: 'Monitor {{ insert: param, au-13_odp.01 }} {{ insert: param, au-13_odp.02 }} for evidence of unauthorized disclosure of organizational information; and' - id: au-13_smt.b name: item props: - name: label value: b. prose: 'If an information disclosure is discovered:' parts: - id: au-13_smt.b.1 name: item props: - name: label value: "1." prose: 'Notify {{ insert: param, au-13_odp.03 }} ; and' - id: au-13_smt.b.2 name: item props: - name: label value: "2." prose: 'Take the following additional actions: {{ insert: param, au-13_odp.04 }}.' - id: au-13_gdn name: guidance prose: Unauthorized disclosure of information is a form of data leakage. Open-source information includes social networking sites and code-sharing platforms and repositories. Examples of organizational information include personally identifiable information retained by the organization or proprietary information generated by the organization. - id: au-13_obj name: assessment-objective props: - name: label value: AU-13 class: sp800-53a parts: - id: au-13_obj.a name: assessment-objective props: - name: label value: AU-13a. class: sp800-53a prose: '{{ insert: param, au-13_odp.01 }} is/are monitored {{ insert: param, au-13_odp.02 }} for evidence of unauthorized disclosure of organizational information;' links: - href: '#au-13_smt.a' rel: assessment-for - id: au-13_obj.b name: assessment-objective props: - name: label value: AU-13b. class: sp800-53a parts: - id: au-13_obj.b.1 name: assessment-objective props: - name: label value: AU-13b.01 class: sp800-53a prose: '{{ insert: param, au-13_odp.03 }} are notified if an information disclosure is discovered;' links: - href: '#au-13_smt.b.1' rel: assessment-for - id: au-13_obj.b.2 name: assessment-objective props: - name: label value: AU-13b.02 class: sp800-53a prose: '{{ insert: param, au-13_odp.04 }} are taken if an information disclosure is discovered.' links: - href: '#au-13_smt.b.2' rel: assessment-for links: - href: '#au-13_smt.b' rel: assessment-for links: - href: '#au-13_smt' rel: assessment-for - id: au-13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-13-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing information disclosure monitoring system design documentation system configuration settings and associated documentation monitoring records system audit records other relevant documents or records - id: au-13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-13-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for monitoring open-source information and/or information sites organizational personnel with security and privacy responsibilities - id: au-13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-13-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing monitoring for information disclosure controls: - id: au-13.1 class: SP800-53-enhancement title: Use of Automated Tools params: - id: au-13.01_odp props: - name: alt-identifier value: au-13.1_prm_1 - name: label value: AU-13(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms for monitoring open-source information and information sites are defined; props: - name: label value: AU-13(01) class: zero-padded - name: label value: AU-13(1) - name: label value: AU-13(01) class: sp800-53a - name: sort-id value: au-13.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#au-13' rel: required parts: - id: au-13.1_smt name: statement prose: 'Monitor open-source information and information sites using {{ insert: param, au-13.01_odp }}.' - id: au-13.1_gdn name: guidance prose: Automated mechanisms include commercial services that provide notifications and alerts to organizations and automated scripts to monitor new posts on websites. - id: au-13.1_obj name: assessment-objective props: - name: label value: AU-13(01) class: sp800-53a prose: 'open-source information and information sites are monitored using {{ insert: param, au-13.01_odp }}.' links: - href: '#au-13.1_smt' rel: assessment-for - id: au-13.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-13(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing information disclosure monitoring system design documentation system configuration settings and associated documentation automated monitoring tools system audit records other relevant documents or records - id: au-13.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-13(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for monitoring information disclosures organizational personnel with information security and privacy responsibilities - id: au-13.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-13(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms implementing monitoring for information disclosure - id: au-13.2 class: SP800-53-enhancement title: Review of Monitored Sites params: - id: au-13.02_odp props: - name: alt-identifier value: au-13.2_prm_1 - name: label value: AU-13(02)_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency at which to review the open-source information sites being monitored is defined; props: - name: label value: AU-13(02) class: zero-padded - name: label value: AU-13(2) - name: label value: AU-13(02) class: sp800-53a - name: sort-id value: au-13.02 - 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: '#au-13' rel: required parts: - id: au-13.2_smt name: statement prose: 'Review the list of open-source information sites being monitored {{ insert: param, au-13.02_odp }}.' - id: au-13.2_gdn name: guidance prose: Reviewing the current list of open-source information sites being monitored on a regular basis helps to ensure that the selected sites remain relevant. The review also provides the opportunity to add new open-source information sites with the potential to provide evidence of unauthorized disclosure of organizational information. The list of sites monitored can be guided and informed by threat intelligence of other credible sources of information. - id: au-13.2_obj name: assessment-objective props: - name: label value: AU-13(02) class: sp800-53a prose: 'the list of open-source information sites being monitored is reviewed {{ insert: param, au-13.02_odp }}.' links: - href: '#au-13.2_smt' rel: assessment-for - id: au-13.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-13(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing information disclosure monitoring system design documentation system configuration settings and associated documentation reviews for open-source information sites being monitored system audit records other relevant documents or records - id: au-13.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-13(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for monitoring open-source information sites organizational personnel with information security and privacy responsibilities - id: au-13.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-13(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing monitoring for information disclosure - id: au-13.3 class: SP800-53-enhancement title: Unauthorized Replication of Information props: - name: label value: AU-13(03) class: zero-padded - name: label value: AU-13(3) - name: label value: AU-13(03) class: sp800-53a - name: sort-id value: au-13.03 - 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: '#au-13' rel: required parts: - id: au-13.3_smt name: statement prose: Employ discovery techniques, processes, and tools to determine if external entities are replicating organizational information in an unauthorized manner. - id: au-13.3_gdn name: guidance prose: The unauthorized use or replication of organizational information by external entities can cause adverse impacts on organizational operations and assets, including damage to reputation. Such activity can include the replication of an organizational website by an adversary or hostile threat actor who attempts to impersonate the web-hosting organization. Discovery tools, techniques, and processes used to determine if external entities are replicating organizational information in an unauthorized manner include scanning external websites, monitoring social media, and training staff to recognize the unauthorized use of organizational information. - id: au-13.3_obj name: assessment-objective props: - name: label value: AU-13(03) class: sp800-53a prose: discovery techniques, processes, and tools are employed to determine if external entities are replicating organizational information in an unauthorized manner. links: - href: '#au-13.3_smt' rel: assessment-for - id: au-13.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-13(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing information disclosure monitoring procedures addressing information replication system design documentation system configuration settings and associated documentation system audit records training resources for staff to recognize the unauthorized use of organizational information other relevant documents or records - id: au-13.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-13(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for monitoring unauthorized replication of information organizational personnel with information security and privacy responsibilities - id: au-13.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-13(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Discovery tools for identifying unauthorized information replication - id: au-14 class: SP800-53 title: Session Audit params: - id: au-14_odp.01 props: - name: alt-identifier value: au-14_prm_1 - name: label value: AU-14_ODP[01] class: sp800-53a label: users or roles guidelines: - prose: users or roles who can audit the content of a user session are defined; - id: au-14_odp.02 props: - name: alt-identifier value: au-14_prm_2 - name: label value: AU-14_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - record - view - hear - log - id: au-14_odp.03 props: - name: alt-identifier value: au-14_prm_3 - name: label value: AU-14_ODP[03] class: sp800-53a label: circumstances guidelines: - prose: circumstances under which the content of a user session can be audited are defined; props: - name: label value: AU-14 class: zero-padded - name: label value: AU-14 - name: label value: AU-14 class: sp800-53a - name: sort-id value: au-14 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ac-3' rel: related - href: '#ac-8' rel: related - href: '#au-2' rel: related - href: '#au-3' rel: related - href: '#au-4' rel: related - href: '#au-5' rel: related - href: '#au-8' rel: related - href: '#au-9' rel: related - href: '#au-11' rel: related - href: '#au-12' rel: related parts: - id: au-14_smt name: statement parts: - id: au-14_smt.a name: item props: - name: label value: a. prose: 'Provide and implement the capability for {{ insert: param, au-14_odp.01 }} to {{ insert: param, au-14_odp.02 }} the content of a user session under {{ insert: param, au-14_odp.03 }} ; and' - id: au-14_smt.b name: item props: - name: label value: b. prose: Develop, integrate, and use session auditing activities in consultation with legal counsel and in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. - id: au-14_gdn name: guidance prose: Session audits can include monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Session audit capability is implemented in addition to event logging and may involve implementation of specialized session capture technology. Organizations consider how session auditing can reveal information about individuals that may give rise to privacy risk as well as how to mitigate those risks. Because session auditing can impact system and network performance, organizations activate the capability under well-defined situations (e.g., the organization is suspicious of a specific individual). Organizations consult with legal counsel, civil liberties officials, and privacy officials to ensure that any legal, privacy, civil rights, or civil liberties issues, including the use of personally identifiable information, are appropriately addressed. - id: au-14_obj name: assessment-objective props: - name: label value: AU-14 class: sp800-53a parts: - id: au-14_obj.a name: assessment-objective props: - name: label value: AU-14a. class: sp800-53a parts: - id: au-14_obj.a-1 name: assessment-objective props: - name: label value: AU-14a.[01] class: sp800-53a prose: '{{ insert: param, au-14_odp.01 }} are provided with the capability to {{ insert: param, au-14_odp.02 }} the content of a user session under {{ insert: param, au-14_odp.03 }};' links: - href: '#au-14_smt.a' rel: assessment-for - id: au-14_obj.a-2 name: assessment-objective props: - name: label value: AU-14a.[02] class: sp800-53a prose: 'the capability for {{ insert: param, au-14_odp.01 }} to {{ insert: param, au-14_odp.02 }} the content of a user session under {{ insert: param, au-14_odp.03 }} is implemented;' links: - href: '#au-14_smt.a' rel: assessment-for links: - href: '#au-14_smt.a' rel: assessment-for - id: au-14_obj.b name: assessment-objective props: - name: label value: AU-14b. class: sp800-53a parts: - id: au-14_obj.b-1 name: assessment-objective props: - name: label value: AU-14b.[01] class: sp800-53a prose: session auditing activities are developed in consultation with legal counsel and in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; links: - href: '#au-14_smt.b' rel: assessment-for - id: au-14_obj.b-2 name: assessment-objective props: - name: label value: AU-14b.[02] class: sp800-53a prose: session auditing activities are integrated in consultation with legal counsel and in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; links: - href: '#au-14_smt.b' rel: assessment-for - id: au-14_obj.b-3 name: assessment-objective props: - name: label value: AU-14b.[03] class: sp800-53a prose: session auditing activities are used in consultation with legal counsel and in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; links: - href: '#au-14_smt.b' rel: assessment-for links: - href: '#au-14_smt.b' rel: assessment-for links: - href: '#au-14_smt' rel: assessment-for - id: au-14_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-14-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing user session auditing system design documentation system configuration settings and associated documentation system audit records other relevant documents or records - id: au-14_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-14-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy responsibilities system/network administrators system developers legal counsel personnel with civil liberties responsibilities - id: au-14_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-14-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing user session auditing capability controls: - id: au-14.1 class: SP800-53-enhancement title: System Start-up props: - name: label value: AU-14(01) class: zero-padded - name: label value: AU-14(1) - name: label value: AU-14(01) class: sp800-53a - name: sort-id value: au-14.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#au-14' rel: required parts: - id: au-14.1_smt name: statement prose: Initiate session audits automatically at system start-up. - id: au-14.1_gdn name: guidance prose: The automatic initiation of session audits at startup helps to ensure that the information being captured on selected individuals is complete and not subject to compromise through tampering by malicious threat actors. - id: au-14.1_obj name: assessment-objective props: - name: label value: AU-14(01) class: sp800-53a prose: session audits are initiated automatically at system start-up. links: - href: '#au-14.1_smt' rel: assessment-for - id: au-14.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-14(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing user session auditing system design documentation system configuration settings and associated documentation system audit records other relevant documents or records - id: au-14.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-14(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: au-14.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-14(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing user session auditing capability - id: au-14.2 class: SP800-53-enhancement title: Capture and Record Content props: - name: label value: AU-14(02) class: zero-padded - name: label value: AU-14(2) - name: label value: AU-14(02) class: sp800-53a - name: sort-id value: au-14.02 - name: status value: withdrawn links: - href: '#au-14' rel: incorporated-into - id: au-14.3 class: SP800-53-enhancement title: Remote Viewing and Listening props: - name: label value: AU-14(03) class: zero-padded - name: label value: AU-14(3) - name: label value: AU-14(03) class: sp800-53a - name: sort-id value: au-14.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#au-14' rel: required - href: '#ac-17' rel: related parts: - id: au-14.3_smt name: statement prose: Provide and implement the capability for authorized users to remotely view and hear content related to an established user session in real time. - id: au-14.3_gdn name: guidance prose: None. - id: au-14.3_obj name: assessment-objective props: - name: label value: AU-14(03) class: sp800-53a parts: - id: au-14.3_obj-1 name: assessment-objective props: - name: label value: AU-14(03)[01] class: sp800-53a prose: the capability for authorized users to remotely view and hear content related to an established user session in real time is provided; links: - href: '#au-14.3_smt' rel: assessment-for - id: au-14.3_obj-2 name: assessment-objective props: - name: label value: AU-14(03)[02] class: sp800-53a prose: the capability for authorized users to remotely view and hear content related to an established user session in real time is implemented. links: - href: '#au-14.3_smt' rel: assessment-for links: - href: '#au-14.3_smt' rel: assessment-for - id: au-14.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-14(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing user session auditing system design documentation system configuration settings and associated documentation system audit records other relevant documents or records - id: au-14.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-14(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy responsibilities system/network administrators system developers legal counsel personnel with civil liberties responsibilities - id: au-14.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-14(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing user session auditing capability - id: au-15 class: SP800-53 title: Alternate Audit Logging Capability props: - name: label value: AU-15 class: zero-padded - name: label value: AU-15 - name: label value: AU-15 class: sp800-53a - name: sort-id value: au-15 - name: status value: withdrawn links: - href: '#au-5.5' rel: moved-to - id: au-16 class: SP800-53 title: Cross-organizational Audit Logging params: - id: au-16_odp.01 props: - name: alt-identifier value: au-16_prm_1 - name: label value: AU-16_ODP[01] class: sp800-53a label: methods guidelines: - prose: methods for coordinating audit information among external organizations when audit information is transmitted across organizational boundaries are defined; - id: au-16_odp.02 props: - name: alt-identifier value: au-16_prm_2 - name: label value: AU-16_ODP[02] class: sp800-53a label: audit information guidelines: - prose: audit information to be coordinated among external organizations when audit information is transmitted across organizational boundaries is defined; props: - name: label value: AU-16 class: zero-padded - name: label value: AU-16 - name: label value: AU-16 class: sp800-53a - name: sort-id value: au-16 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#au-3' rel: related - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#ca-3' rel: related - href: '#pt-7' rel: related parts: - id: au-16_smt name: statement prose: 'Employ {{ insert: param, au-16_odp.01 }} for coordinating {{ insert: param, au-16_odp.02 }} among external organizations when audit information is transmitted across organizational boundaries.' - id: au-16_gdn name: guidance prose: When organizations use systems or services of external organizations, the audit logging capability necessitates a coordinated, cross-organization approach. For example, maintaining the identity of individuals who request specific services across organizational boundaries may often be difficult, and doing so may prove to have significant performance and privacy ramifications. Therefore, it is often the case that cross-organizational audit logging simply captures the identity of individuals who issue requests at the initial system, and subsequent systems record that the requests originated from authorized individuals. Organizations consider including processes for coordinating audit information requirements and protection of audit information in information exchange agreements. - id: au-16_obj name: assessment-objective props: - name: label value: AU-16 class: sp800-53a prose: '{{ insert: param, au-16_odp.01 }} for coordinating {{ insert: param, au-16_odp.02 }} among external organizations when audit information is transmitted across organizational boundaries are employed.' links: - href: '#au-16_smt' rel: assessment-for - id: au-16_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-16-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing methods for coordinating audit information among external organizations system design documentation system configuration settings and associated documentation system audit records other relevant documents or records - id: au-16_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-16-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for coordinating audit information among external organizations organizational personnel with information security and privacy responsibilities - id: au-16_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-16-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing cross-organizational auditing controls: - id: au-16.1 class: SP800-53-enhancement title: Identity Preservation props: - name: label value: AU-16(01) class: zero-padded - name: label value: AU-16(1) - name: label value: AU-16(01) class: sp800-53a - name: sort-id value: au-16.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#au-16' rel: required - href: '#ia-2' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: '#ia-8' rel: related parts: - id: au-16.1_smt name: statement prose: Preserve the identity of individuals in cross-organizational audit trails. - id: au-16.1_gdn name: guidance prose: Identity preservation is applied when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual. - id: au-16.1_obj name: assessment-objective props: - name: label value: AU-16(01) class: sp800-53a prose: the identity of individuals in cross-organizational audit trails is preserved. links: - href: '#au-16.1_smt' rel: assessment-for - id: au-16.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-16(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing cross-organizational audit trails system design documentation system configuration settings and associated documentation system audit records other relevant documents or records - id: au-16.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-16(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with cross-organizational audit responsibilities organizational personnel with information security and privacy responsibilities - id: au-16.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-16(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing cross-organizational auditing (if applicable) - id: au-16.2 class: SP800-53-enhancement title: Sharing of Audit Information params: - id: au-16.02_odp.01 props: - name: alt-identifier value: au-16.2_prm_1 - name: label value: AU-16(02)_ODP[01] class: sp800-53a label: organizations guidelines: - prose: organizations with which cross-organizational audit information is to be shared are defined; - id: au-16.02_odp.02 props: - name: alt-identifier value: au-16.2_prm_2 - name: label value: AU-16(02)_ODP[02] class: sp800-53a label: cross-organizational sharing agreements guidelines: - prose: cross-organizational sharing agreements to be used when providing cross-organizational audit information to organizations are defined; props: - name: label value: AU-16(02) class: zero-padded - name: label value: AU-16(2) - name: label value: AU-16(02) class: sp800-53a - name: sort-id value: au-16.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#au-16' rel: required - href: '#ir-4' rel: related - href: '#si-4' rel: related parts: - id: au-16.2_smt name: statement prose: 'Provide cross-organizational audit information to {{ insert: param, au-16.02_odp.01 }} based on {{ insert: param, au-16.02_odp.02 }}.' - id: au-16.2_gdn name: guidance prose: Due to the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only individuals’ home organizations have the appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations. - id: au-16.2_obj name: assessment-objective props: - name: label value: AU-16(02) class: sp800-53a prose: 'cross-organizational audit information is provided to {{ insert: param, au-16.02_odp.01 }} based on {{ insert: param, au-16.02_odp.02 }}.' links: - href: '#au-16.2_smt' rel: assessment-for - id: au-16.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-16(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing cross-organizational sharing of audit information information sharing agreements other relevant documents or records - id: au-16.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-16(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for sharing cross-organizational audit information organizational personnel with information security and privacy responsibilities - id: au-16.3 class: SP800-53-enhancement title: Disassociability params: - id: au-16.03_odp props: - name: alt-identifier value: au-16.3_prm_1 - name: label value: AU-16(03)_ODP class: sp800-53a label: measures guidelines: - prose: measures to disassociate individuals from audit information transmitted across organizational boundaries are defined; props: - name: label value: AU-16(03) class: zero-padded - name: label value: AU-16(3) - name: label value: AU-16(03) class: sp800-53a - name: sort-id value: au-16.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#au-16' rel: required parts: - id: au-16.3_smt name: statement prose: 'Implement {{ insert: param, au-16.03_odp }} to disassociate individuals from audit information transmitted across organizational boundaries.' - id: au-16.3_gdn name: guidance prose: Preserving identities in audit trails could have privacy ramifications, such as enabling the tracking and profiling of individuals, but may not be operationally necessary. These risks could be further amplified when transmitting information across organizational boundaries. Implementing privacy-enhancing cryptographic techniques can disassociate individuals from audit information and reduce privacy risk while maintaining accountability. - id: au-16.3_obj name: assessment-objective props: - name: label value: AU-16(03) class: sp800-53a prose: '{{ insert: param, au-16.03_odp }} are implemented to disassociate individuals from audit information transmitted across organizational boundaries.' links: - href: '#au-16.3_smt' rel: assessment-for - id: au-16.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: AU-16(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Audit and accountability policy system security plan privacy plan procedures addressing cross-organizational sharing of audit information policy and/or procedures regarding the deidentification of PII system design documentation system configuration settings and associated documentation system audit records other relevant documents or records - id: au-16.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: AU-16(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for sharing cross-organizational audit information organizational personnel with information security and privacy responsibilities - id: au-16.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: AU-16(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing disassociability - 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 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 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 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: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 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 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: '#pm-9' rel: related - href: '#ra-5' rel: related - href: '#ra-10' rel: related - href: '#sa-11' rel: related - href: '#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: 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: 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: 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: 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: 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: 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_obj name: assessment-objective props: - name: label value: CA-02 class: sp800-53a parts: - id: ca-2_obj.a name: assessment-objective props: - 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: 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: 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: 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: 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: 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: 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: 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 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: label value: CA-02(01) class: sp800-53a prose: independent assessors or assessment teams are employed to conduct control assessments. links: - href: '#ca-2.1_smt' rel: assessment-for - id: ca-2.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-02(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Assessment, authorization, and monitoring policy procedures addressing control assessments previous control assessment plan previous control assessment report plan of action and milestones existing authorization statement system security plan privacy plan other relevant documents or records - id: ca-2.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-02(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with security assessment responsibilities organizational personnel with information security and privacy responsibilities - id: ca-2.2 class: SP800-53-enhancement title: Specialized Assessments params: - id: ca-02.02_odp.01 props: - name: alt-identifier value: ca-2.2_prm_1 - name: alt-label value: frequency class: sp800-53 - name: label value: CA-02(02)_ODP[01] class: sp800-53a label: specialized assessment frequency guidelines: - prose: frequency at which to include specialized assessments as part of the control assessment is defined; - id: ca-02.02_odp.02 props: - name: alt-identifier value: ca-2.2_prm_2 - name: label value: CA-02(02)_ODP[02] class: sp800-53a select: choice: - announced - unannounced - id: ca-02.02_odp.03 props: - name: alt-identifier value: ca-2.2_prm_3 - name: label value: CA-02(02)_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - in-depth monitoring - security instrumentation - automated security test cases - vulnerability scanning - malicious user testing - insider threat assessment - performance and load testing - data leakage or data loss assessment - '{{ insert: param, ca-02.02_odp.04 }} ' - id: ca-02.02_odp.04 props: - name: alt-identifier value: ca-2.2_prm_4 - name: label value: CA-02(02)_ODP[04] class: sp800-53a label: other forms of assessment guidelines: - prose: other forms of assessment are defined (if selected); props: - name: label value: CA-02(02) class: zero-padded - name: label value: CA-2(2) - name: label value: CA-02(02) class: sp800-53a - name: sort-id value: ca-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ca-2' rel: required - href: '#pe-3' rel: related - href: '#si-2' rel: related parts: - id: ca-2.2_smt name: statement prose: 'Include as part of control assessments, {{ insert: param, ca-02.02_odp.01 }}, {{ insert: param, ca-02.02_odp.02 }}, {{ insert: param, ca-02.02_odp.03 }}.' - id: ca-2.2_gdn name: guidance prose: Organizations can conduct specialized assessments, including verification and validation, system monitoring, insider threat assessments, malicious user testing, and other forms of testing. These assessments can improve readiness by exercising organizational capabilities and indicating current levels of performance as a means of focusing actions to improve security and privacy. Organizations conduct specialized assessments in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can include vulnerabilities uncovered during assessments into vulnerability remediation processes. Specialized assessments can also be conducted early in the system development life cycle (e.g., during initial design, development, and unit testing). - id: ca-2.2_obj name: assessment-objective props: - name: label value: CA-02(02) class: sp800-53a prose: '{{ insert: param, ca-02.02_odp.01 }} {{ insert: param, ca-02.02_odp.02 }} {{ insert: param, ca-02.02_odp.03 }} are included as part of control assessments.' links: - href: '#ca-2.2_smt' rel: assessment-for - id: ca-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Assessment, authorization, and monitoring policy procedures addressing control assessments control assessment plan control assessment report control assessment evidence system security plan privacy plan other relevant documents or records - id: ca-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with control assessment responsibilities organizational personnel with information security and privacy responsibilities - id: ca-2.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-02(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting control assessment - id: ca-2.3 class: SP800-53-enhancement title: Leveraging Results from External Organizations params: - id: ca-02.03_odp.01 props: - name: alt-identifier value: ca-2.3_prm_1 - name: alt-label value: external organization class: sp800-53 - name: label value: CA-02(03)_ODP[01] class: sp800-53a label: external organization(s) guidelines: - prose: external organization(s) from which the results of control assessments are leveraged are defined; - id: ca-02.03_odp.02 props: - name: alt-identifier value: ca-2.3_prm_2 - name: label value: CA-02(03)_ODP[02] class: sp800-53a label: system guidelines: - prose: system on which a control assessment was performed by an external organization is defined; - id: ca-02.03_odp.03 props: - name: alt-identifier value: ca-2.3_prm_3 - name: label value: CA-02(03)_ODP[03] class: sp800-53a label: requirements guidelines: - prose: requirements to be met by the control assessment performed by an external organization on the system are defined; props: - name: label value: CA-02(03) class: zero-padded - name: label value: CA-2(3) - name: label value: CA-02(03) class: sp800-53a - name: sort-id value: ca-02.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ca-2' rel: required - href: '#sa-4' rel: related parts: - id: ca-2.3_smt name: statement prose: 'Leverage the results of control assessments performed by {{ insert: param, ca-02.03_odp.01 }} on {{ insert: param, ca-02.03_odp.02 }} when the assessment meets {{ insert: param, ca-02.03_odp.03 }}.' - id: ca-2.3_gdn name: guidance prose: Organizations may rely on control assessments of organizational systems by other (external) organizations. Using such assessments and reusing existing assessment evidence can decrease the time and resources required for assessments by limiting the independent assessment activities that organizations need to perform. The factors that organizations consider in determining whether to accept assessment results from external organizations can vary. Such factors include the organization’s past experience with the organization that conducted the assessment, the reputation of the assessment organization, the level of detail of supporting assessment evidence provided, and mandates imposed by applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Accredited testing laboratories that support the Common Criteria Program [ISO 15408-1](#6afc1b04-c9d6-4023-adbc-f8fbe33a3c73) , the NIST Cryptographic Module Validation Program (CMVP), or the NIST Cryptographic Algorithm Validation Program (CAVP) can provide independent assessment results that organizations can leverage. - id: ca-2.3_obj name: assessment-objective props: - name: label value: CA-02(03) class: sp800-53a prose: 'the results of control assessments performed by {{ insert: param, ca-02.03_odp.01 }} on {{ insert: param, ca-02.03_odp.02 }} are leveraged when the assessment meets {{ insert: param, ca-02.03_odp.03 }}.' links: - href: '#ca-2.3_smt' rel: assessment-for - id: ca-2.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-02(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Assessment, authorization, and monitoring policy procedures addressing control assessments control assessment requirements control assessment plan control assessment report control assessment evidence plan of action and milestones system security plan privacy plan other relevant documents or records - id: ca-2.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-02(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with control assessment responsibilities organizational personnel with information security and privacy responsibilities personnel performing control assessments for the specified external organization - id: ca-3 class: SP800-53 title: Information Exchange params: - id: ca-03_odp.01 props: - name: alt-identifier value: ca-3_prm_1 - name: label value: CA-03_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - interconnection security agreements - information exchange security agreements - memoranda of understanding or agreement - service level agreements - user agreements - non-disclosure agreements - '{{ insert: param, ca-03_odp.02 }} ' - id: ca-03_odp.02 props: - name: alt-identifier value: ca-3_prm_2 - name: label value: CA-03_ODP[02] class: sp800-53a label: type of agreement guidelines: - prose: the type of agreement used to approve and manage the exchange of information is defined (if selected); - id: ca-03_odp.03 props: - name: alt-identifier value: ca-3_prm_3 - name: label value: CA-03_ODP[03] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to review and update agreements is defined; props: - name: label value: CA-03 class: zero-padded - name: label value: CA-3 - name: label value: CA-03 class: sp800-53a - name: sort-id value: ca-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#c3a76872-e160-4267-99e8-6952de967d04' rel: reference - href: '#ac-4' rel: related - href: '#ac-20' rel: related - href: '#au-16' rel: related - href: '#ca-6' rel: related - href: '#ia-3' rel: related - href: '#ir-4' rel: related - href: '#pl-2' rel: related - href: '#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: 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: 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: 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)](#ca-6.1) or [CA-6(2)](#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: 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: 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: label value: CA-03c. class: sp800-53a prose: 'agreements are reviewed and updated {{ insert: param, ca-03_odp.03 }}.' links: - href: '#ca-3_smt.c' rel: assessment-for links: - href: '#ca-3_smt' rel: assessment-for - id: ca-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-03-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing system connections system and communications protection policy system interconnection security agreements information exchange security agreements memoranda of understanding or agreements service level agreements non-disclosure agreements system design documentation enterprise architecture system architecture system configuration settings and associated documentation system security plan privacy plan other relevant documents or records - id: ca-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-03-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for developing, implementing, or approving system interconnection agreements organizational personnel with information security and privacy responsibilities personnel managing the system(s) to which the interconnection security agreement applies controls: - id: ca-3.1 class: SP800-53-enhancement title: Unclassified National Security System Connections props: - name: label value: CA-03(01) class: zero-padded - name: label value: CA-3(1) - name: label value: CA-03(01) class: sp800-53a - name: sort-id value: ca-03.01 - name: status value: withdrawn links: - href: '#sc-7.25' rel: moved-to - id: ca-3.2 class: SP800-53-enhancement title: Classified National Security System Connections props: - name: label value: CA-03(02) class: zero-padded - name: label value: CA-3(2) - name: label value: CA-03(02) class: sp800-53a - name: sort-id value: ca-03.02 - name: status value: withdrawn links: - href: '#sc-7.26' rel: moved-to - id: ca-3.3 class: SP800-53-enhancement title: Unclassified Non-national Security System Connections props: - name: label value: CA-03(03) class: zero-padded - name: label value: CA-3(3) - name: label value: CA-03(03) class: sp800-53a - name: sort-id value: ca-03.03 - name: status value: withdrawn links: - href: '#sc-7.27' rel: moved-to - id: ca-3.4 class: SP800-53-enhancement title: Connections to Public Networks props: - name: label value: CA-03(04) class: zero-padded - name: label value: CA-3(4) - name: label value: CA-03(04) class: sp800-53a - name: sort-id value: ca-03.04 - name: status value: withdrawn links: - href: '#sc-7.28' rel: moved-to - id: ca-3.5 class: SP800-53-enhancement title: Restrictions on External System Connections props: - name: label value: CA-03(05) class: zero-padded - name: label value: CA-3(5) - name: label value: CA-03(05) class: sp800-53a - name: sort-id value: ca-03.05 - name: status value: withdrawn links: - href: '#sc-7.5' rel: moved-to - id: ca-3.6 class: SP800-53-enhancement title: Transfer Authorizations props: - name: label value: CA-03(06) class: zero-padded - name: label value: CA-3(6) - name: label value: CA-03(06) class: sp800-53a - name: sort-id value: ca-03.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ca-3' rel: required - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-4' rel: related parts: - id: ca-3.6_smt name: statement prose: Verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (i.e., write permissions or privileges) prior to accepting such data. - id: ca-3.6_gdn name: guidance prose: To prevent unauthorized individuals and systems from making information transfers to protected systems, the protected system verifies—via independent means— whether the individual or system attempting to transfer information is authorized to do so. Verification of the authorization to transfer information also applies to control plane traffic (e.g., routing and DNS) and services (e.g., authenticated SMTP relays). - id: ca-3.6_obj name: assessment-objective props: - name: label value: CA-03(06) class: sp800-53a prose: individuals or systems transferring data between interconnecting systems have the requisite authorizations (i.e., write permissions or privileges) prior to accepting such data. links: - href: '#ca-3.6_smt' rel: assessment-for - id: ca-3.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-03(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing system connections system and communications protection policy system interconnection agreements information exchange security agreements memoranda of understanding or agreements service level agreements non-disclosure agreements system design documentation system configuration settings and associated documentation control assessment report system audit records system security plan privacy plan other relevant documents or records - id: ca-3.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-03(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for managing connections to external systems network administrators organizational personnel with information security and privacy responsibilities - id: ca-3.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-03(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing restrictions on external system connections - id: ca-3.7 class: SP800-53-enhancement title: Transitive Information Exchanges props: - name: label value: CA-03(07) class: zero-padded - name: label value: CA-3(7) - name: label value: CA-03(07) class: sp800-53a - name: sort-id value: ca-03.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ca-3' rel: required - href: '#sc-7' rel: related parts: - id: ca-3.7_smt name: statement parts: - id: ca-3.7_smt.a name: item props: - name: label value: (a) prose: Identify transitive (downstream) information exchanges with other systems through the systems identified in [CA-3a](#ca-3_smt.a) ; and - id: ca-3.7_smt.b name: item props: - name: label value: (b) prose: Take measures to ensure that transitive (downstream) information exchanges cease when the controls on identified transitive (downstream) systems cannot be verified or validated. - id: ca-3.7_gdn name: guidance prose: Transitive or "downstream" information exchanges are information exchanges between the system or systems with which the organizational system exchanges information and other systems. For mission-essential systems, services, and applications, including high value assets, it is necessary to identify such information exchanges. The transparency of the controls or protection measures in place in such downstream systems connected directly or indirectly to organizational systems is essential to understanding the security and privacy risks resulting from those information exchanges. Organizational systems can inherit risk from downstream systems through transitive connections and information exchanges, which can make the organizational systems more susceptible to threats, hazards, and adverse impacts. - id: ca-3.7_obj name: assessment-objective props: - name: label value: CA-03(07) class: sp800-53a parts: - id: ca-3.7_obj.a name: assessment-objective props: - name: label value: CA-03(07)(a) class: sp800-53a prose: transitive (downstream) information exchanges with other systems through the systems identified in CA-03a are identified; links: - href: '#ca-3.7_smt.a' rel: assessment-for - id: ca-3.7_obj.b name: assessment-objective props: - name: label value: CA-03(07)(b) class: sp800-53a prose: measures are taken to ensure that transitive (downstream) information exchanges cease when the controls on identified transitive (downstream) systems cannot be verified or validated. links: - href: '#ca-3.7_smt.b' rel: assessment-for links: - href: '#ca-3.7_smt' rel: assessment-for - id: ca-3.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-03(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Access control policy procedures addressing system connections system and communications protection policy system interconnection agreements information exchange security agreements memoranda of understanding or agreements service level agreements non-disclosure agreements system design documentation system configuration settings and associated documentation control assessment report system audit records system security plan privacy plan other relevant documents or records - id: ca-3.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-03(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for managing connections to external systems network administrators organizational personnel with information security and privacy responsibilities - id: ca-3.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-03(07)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing restrictions on external system connections - id: ca-4 class: SP800-53 title: Security Certification props: - name: label value: CA-04 class: zero-padded - name: label value: CA-4 - name: label value: CA-04 class: sp800-53a - name: sort-id value: ca-04 - name: status value: withdrawn links: - href: '#ca-2' rel: incorporated-into - 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 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: '#pm-4' rel: related - href: '#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: 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: 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_obj name: assessment-objective props: - name: label value: CA-05 class: sp800-53a parts: - id: ca-5_obj.a name: assessment-objective props: - 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: 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 controls: - id: ca-5.1 class: SP800-53-enhancement title: Automation Support for Accuracy and Currency params: - id: ca-05.01_odp props: - name: alt-identifier value: ca-5.1_prm_1 - name: label value: CA-05(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to ensure the accuracy, currency, and availability of the plan of action and milestones for the system are defined; props: - name: label value: CA-05(01) class: zero-padded - name: label value: CA-5(1) - name: label value: CA-05(01) class: sp800-53a - name: sort-id value: ca-05.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ca-5' rel: required parts: - id: ca-5.1_smt name: statement prose: 'Ensure the accuracy, currency, and availability of the plan of action and milestones for the system using {{ insert: param, ca-05.01_odp }}.' - id: ca-5.1_gdn name: guidance prose: Using automated tools helps maintain the accuracy, currency, and availability of the plan of action and milestones and facilitates the coordination and sharing of security and privacy information throughout the organization. Such coordination and information sharing help to identify systemic weaknesses or deficiencies in organizational systems and ensure that appropriate resources are directed at the most critical system vulnerabilities in a timely manner. - id: ca-5.1_obj name: assessment-objective props: - name: label value: CA-05(01) class: sp800-53a prose: '{{ insert: param, ca-05.01_odp }} are used to ensure the accuracy, currency, and availability of the plan of action and milestones for the system.' links: - href: '#ca-5.1_smt' rel: assessment-for - id: ca-5.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-05(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Assessment, authorization, and monitoring policy procedures addressing plan of action and milestones system design documentation system configuration settings and associated documentation system audit records plan of action and milestones system security plan privacy plan other relevant documents or records - id: ca-5.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-05(01)-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-5.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-05(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms for developing, implementing, and maintaining a 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 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: '#pm-9' rel: related - href: '#pm-10' rel: related - href: '#ra-3' rel: related - href: '#sa-10' rel: related - href: '#si-12' rel: related parts: - id: ca-6_smt name: statement parts: - id: ca-6_smt.a name: item props: - name: label value: a. prose: Assign a senior official as the authorizing official for the system; - id: ca-6_smt.b name: item props: - 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: 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: 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: 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_obj name: assessment-objective props: - name: label value: CA-06 class: sp800-53a parts: - id: ca-6_obj.a name: assessment-objective props: - 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: 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: 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: 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: 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: 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 controls: - id: ca-6.1 class: SP800-53-enhancement title: Joint Authorization — Intra-organization props: - name: label value: CA-06(01) class: zero-padded - name: label value: CA-6(1) - name: label value: CA-06(01) class: sp800-53a - name: sort-id value: ca-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ca-6' rel: required - href: '#ac-6' rel: related parts: - id: ca-6.1_smt name: statement prose: Employ a joint authorization process for the system that includes multiple authorizing officials from the same organization conducting the authorization. - id: ca-6.1_gdn name: guidance prose: Assigning multiple authorizing officials from the same organization to serve as co-authorizing officials for the system increases the level of independence in the risk-based decision-making process. It also implements the concepts of separation of duties and dual authorization as applied to the system authorization process. The intra-organization joint authorization process is most relevant for connected systems, shared systems, and systems with multiple information owners. - id: ca-6.1_obj name: assessment-objective props: - name: label value: CA-06(01) class: sp800-53a parts: - id: ca-6.1_obj-1 name: assessment-objective props: - name: label value: CA-06(01)[01] class: sp800-53a prose: a joint authorization process is employed for the system; links: - href: '#ca-6.1_smt' rel: assessment-for - id: ca-6.1_obj-2 name: assessment-objective props: - name: label value: CA-06(01)[02] class: sp800-53a prose: the joint authorization process employed for the system includes multiple authorizing officials from the same organization conducting the authorization. links: - href: '#ca-6.1_smt' rel: assessment-for links: - href: '#ca-6.1_smt' rel: assessment-for - id: ca-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-06(01)-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-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-06(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with authorization responsibilities organizational personnel with information security and privacy responsibilities - id: ca-6.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-06(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms that facilitate authorizations and updates - id: ca-6.2 class: SP800-53-enhancement title: Joint Authorization — Inter-organization props: - name: label value: CA-06(02) class: zero-padded - name: label value: CA-6(2) - name: label value: CA-06(02) class: sp800-53a - name: sort-id value: ca-06.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ca-6' rel: required - href: '#ac-6' rel: related parts: - id: ca-6.2_smt name: statement prose: Employ a joint authorization process for the system that includes multiple authorizing officials with at least one authorizing official from an organization external to the organization conducting the authorization. - id: ca-6.2_gdn name: guidance prose: Assigning multiple authorizing officials, at least one of whom comes from an external organization, to serve as co-authorizing officials for the system increases the level of independence in the risk-based decision-making process. It implements the concepts of separation of duties and dual authorization as applied to the system authorization process. Employing authorizing officials from external organizations to supplement the authorizing official from the organization that owns or hosts the system may be necessary when the external organizations have a vested interest or equities in the outcome of the authorization decision. The inter-organization joint authorization process is relevant and appropriate for connected systems, shared systems or services, and systems with multiple information owners. The authorizing officials from the external organizations are key stakeholders of the system undergoing authorization. - id: ca-6.2_obj name: assessment-objective props: - name: label value: CA-06(02) class: sp800-53a parts: - id: ca-6.2_obj-1 name: assessment-objective props: - name: label value: CA-06(02)[01] class: sp800-53a prose: a joint authorization process is employed for the system; links: - href: '#ca-6.2_smt' rel: assessment-for - id: ca-6.2_obj-2 name: assessment-objective props: - name: label value: CA-06(02)[02] class: sp800-53a prose: the joint authorization process employed for the system includes multiple authorizing officials with at least one authorizing official from an organization external to the organization conducting the authorization. links: - href: '#ca-6.2_smt' rel: assessment-for links: - href: '#ca-6.2_smt' rel: assessment-for - id: ca-6.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-06(02)-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-6.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-06(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with authorization responsibilities organizational personnel with information security and privacy responsibilities - id: ca-6.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-06(02)-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 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 guidelines: - prose: personnel or roles to whom the privacy status of the system is reported are defined; - id: ca-07_odp.07 props: - name: label value: CA-07_ODP[07] class: sp800-53a label: frequency guidelines: - prose: frequency at which the privacy status of the system is reported is defined; props: - name: label value: CA-07 class: zero-padded - name: label value: CA-7 - name: label value: CA-07 class: sp800-53a - name: sort-id value: ca-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d' rel: reference - href: '#122177fa-c4ed-485d-8345-3082c0fb9a06' rel: reference - href: '#067223d8-1ec7-45c5-b21b-c848da6de8fb' rel: reference - href: '#bbac9fc2-df5b-4f2d-bf99-90d0ade45349' rel: reference - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference - href: '#ac-2' rel: related - href: '#ac-6' rel: related - href: '#ac-17' rel: related - href: '#at-4' rel: related - href: '#au-6' rel: related - href: '#au-13' rel: related - href: '#ca-2' rel: related - href: '#ca-5' rel: related - href: '#ca-6' rel: related - href: '#cm-3' rel: related - href: '#cm-4' rel: related - href: '#cm-6' rel: related - href: '#cm-11' rel: related - href: '#ia-5' rel: related - href: '#ir-5' rel: related - href: '#ma-2' rel: related - href: '#ma-3' rel: related - href: '#ma-4' rel: related - href: '#pe-3' rel: related - href: '#pe-6' rel: related - href: '#pe-14' rel: related - href: '#pe-16' rel: related - href: '#pe-20' rel: related - href: '#pl-2' rel: related - href: '#pm-4' rel: related - href: '#pm-6' rel: related - href: '#pm-9' rel: related - href: '#pm-10' rel: related - href: '#pm-12' rel: related - href: '#pm-14' rel: related - href: '#pm-23' rel: related - href: '#pm-28' rel: related - href: '#pm-31' rel: related - href: '#ps-7' rel: related - href: '#pt-7' rel: related - href: '#ra-3' rel: related - href: '#ra-5' rel: related - href: '#ra-7' rel: related - href: '#ra-10' rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: '#sa-11' rel: related - href: '#sc-5' rel: related - href: '#sc-7' rel: related - href: '#sc-18' rel: related - href: '#sc-38' rel: related - href: '#sc-43' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-12' rel: related - href: '#sr-6' rel: related parts: - id: ca-7_smt name: statement prose: 'Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes:' parts: - id: ca-7_smt.a name: item props: - name: 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: 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: label value: c. prose: Ongoing control assessments in accordance with the continuous monitoring strategy; - id: ca-7_smt.d name: item props: - 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: label value: e. prose: Correlation and analysis of information generated by control assessments and monitoring; - id: ca-7_smt.f name: item props: - 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: label value: g. prose: 'Reporting the security and privacy status of the system to {{ insert: param, ca-7_prm_4 }} {{ insert: param, ca-7_prm_5 }}.' - id: ca-7_gdn name: guidance prose: |- Continuous monitoring at the system level facilitates ongoing awareness of the system security and privacy posture to support organizational risk management decisions. The terms "continuous" and "ongoing" imply that organizations assess and monitor their controls and risks at a frequency sufficient to support risk-based decisions. Different types of controls may require different monitoring frequencies. The results of continuous monitoring generate risk response actions by organizations. When monitoring the effectiveness of multiple controls that have been grouped into capabilities, a root-cause analysis may be needed to determine the specific control that has failed. Continuous monitoring programs allow organizations to maintain the authorizations of systems and common controls in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security and privacy information on a continuing basis through reports and dashboards gives organizational officials the ability to make effective and timely risk management decisions, including ongoing authorization decisions. Automation supports more frequent updates to hardware, software, and firmware inventories, authorization packages, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of systems. Monitoring requirements, including the need for specific monitoring, may be referenced in other controls and control enhancements, such as [AC-2g](#ac-2_smt.g), [AC-2(7)](#ac-2.7), [AC-2(12)(a)](#ac-2.12_smt.a), [AC-2(7)(b)](#ac-2.7_smt.b), [AC-2(7)(c)](#ac-2.7_smt.c), [AC-17(1)](#ac-17.1), [AT-4a](#at-4_smt.a), [AU-13](#au-13), [AU-13(1)](#au-13.1), [AU-13(2)](#au-13.2), [CM-3f](#cm-3_smt.f), [CM-6d](#cm-6_smt.d), [CM-11c](#cm-11_smt.c), [IR-5](#ir-5), [MA-2b](#ma-2_smt.b), [MA-3a](#ma-3_smt.a), [MA-4a](#ma-4_smt.a), [PE-3d](#pe-3_smt.d), [PE-6](#pe-6), [PE-14b](#pe-14_smt.b), [PE-16](#pe-16), [PE-20](#pe-20), [PM-6](#pm-6), [PM-23](#pm-23), [PM-31](#pm-31), [PS-7e](#ps-7_smt.e), [SA-9c](#sa-9_smt.c), [SR-4](#sr-4), [SC-5(3)(b)](#sc-5.3_smt.b), [SC-7a](#sc-7_smt.a), [SC-7(24)(b)](#sc-7.24_smt.b), [SC-18b](#sc-18_smt.b), [SC-43b](#sc-43_smt.b) , and [SI-4](#si-4). - 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: 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: 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: 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: 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: 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: 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: 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: 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: label value: CA-07g. class: sp800-53a parts: - id: ca-7_obj.g-1 name: assessment-objective props: - name: label value: CA-07g.[01] class: sp800-53a prose: 'system-level continuous monitoring includes reporting the security status of the system to {{ insert: param, ca-07_odp.04 }} {{ insert: param, ca-07_odp.05 }};' links: - href: '#ca-7_smt.g' rel: assessment-for - id: ca-7_obj.g-2 name: assessment-objective props: - name: label value: CA-07g.[02] class: sp800-53a prose: 'system-level continuous monitoring includes reporting the privacy status of the system to {{ insert: param, ca-07_odp.06 }} {{ insert: param, ca-07_odp.07 }}.' links: - href: '#ca-7_smt.g' rel: assessment-for links: - href: '#ca-7_smt.g' rel: assessment-for links: - href: '#ca-7_smt' rel: assessment-for - id: ca-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-07-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Assessment, authorization, and monitoring policy organizational continuous monitoring strategy system-level continuous monitoring strategy procedures addressing continuous monitoring of system controls procedures addressing configuration management control assessment report plan of action and milestones system monitoring records configuration management records impact analyses status reports system security plan privacy plan other relevant documents or records - id: ca-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-07-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with continuous monitoring responsibilities organizational personnel with information security and privacy responsibilities system/network administrators - id: ca-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-07-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing continuous monitoring mechanisms supporting response actions to address assessment and monitoring results mechanisms supporting security and privacy status reporting controls: - id: ca-7.1 class: SP800-53-enhancement title: Independent Assessment props: - name: label value: CA-07(01) class: zero-padded - name: label value: CA-7(1) - name: label value: CA-07(01) class: sp800-53a - name: sort-id value: ca-07.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ca-7' rel: required parts: - id: ca-7.1_smt name: statement prose: Employ independent assessors or assessment teams to monitor the controls in the system on an ongoing basis. - id: ca-7.1_gdn name: guidance prose: Organizations maximize the value of control assessments by requiring that assessments be conducted by assessors with appropriate levels of independence. The level of required independence is based on organizational continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted, assess their own work, act as management or employees of the organizations they are serving, or place themselves in advocacy positions for the organizations acquiring their services. - id: ca-7.1_obj name: assessment-objective props: - name: label value: CA-07(01) class: sp800-53a prose: independent assessors or assessment teams are employed to monitor the controls in the system on an ongoing basis. links: - href: '#ca-7.1_smt' rel: assessment-for - id: ca-7.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-07(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Assessment, authorization, and monitoring policy organizational continuous monitoring strategy system-level continuous monitoring strategy procedures addressing continuous monitoring of system controls control assessment report plan of action and milestones system monitoring records impact analyses status reports system security plan privacy plan other relevant documents or records - id: ca-7.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-07(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with continuous monitoring responsibilities organizational personnel with information security and privacy responsibilities - id: ca-7.2 class: SP800-53-enhancement title: Types of Assessments props: - name: label value: CA-07(02) class: zero-padded - name: label value: CA-7(2) - name: label value: CA-07(02) class: sp800-53a - name: sort-id value: ca-07.02 - name: status value: withdrawn links: - href: '#ca-2' rel: incorporated-into - id: ca-7.3 class: SP800-53-enhancement title: Trend Analyses props: - name: label value: CA-07(03) class: zero-padded - name: label value: CA-7(3) - name: label value: CA-07(03) class: sp800-53a - name: sort-id value: ca-07.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ca-7' rel: required parts: - id: ca-7.3_smt name: statement prose: Employ trend analyses to determine if control implementations, the frequency of continuous monitoring activities, and the types of activities used in the continuous monitoring process need to be modified based on empirical data. - id: ca-7.3_gdn name: guidance prose: Trend analyses include examining recent threat information that addresses the types of threat events that have occurred in the organization or the Federal Government, success rates of certain types of attacks, emerging vulnerabilities in technologies, evolving social engineering techniques, the effectiveness of configuration settings, results from multiple control assessments, and findings from Inspectors General or auditors. - id: ca-7.3_obj name: assessment-objective props: - name: label value: CA-07(03) class: sp800-53a parts: - id: ca-7.3_obj-1 name: assessment-objective props: - name: label value: CA-07(03)[01] class: sp800-53a prose: trend analysis is employed to determine if control implementations used in the continuous monitoring process need to be modified based on empirical data; links: - href: '#ca-7.3_smt' rel: assessment-for - id: ca-7.3_obj-2 name: assessment-objective props: - name: label value: CA-07(03)[02] class: sp800-53a prose: trend analysis is employed to determine if the frequency of continuous monitoring activities used in the continuous monitoring process needs to be modified based on empirical data; links: - href: '#ca-7.3_smt' rel: assessment-for - id: ca-7.3_obj-3 name: assessment-objective props: - name: label value: CA-07(03)[03] class: sp800-53a prose: trend analysis is employed to determine if the types of activities used in the continuous monitoring process need to be modified based on empirical data. links: - href: '#ca-7.3_smt' rel: assessment-for links: - href: '#ca-7.3_smt' rel: assessment-for - id: ca-7.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-07(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Organizational continuous monitoring strategy system-level continuous monitoring strategy assessment, authorization, and monitoring policy procedures addressing continuous monitoring of system controls privacy 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-7.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-07(03)-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-7.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-07(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting trend analyses - 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: label value: (a) prose: Effectiveness monitoring; - id: ca-7.4_smt.b name: item props: - name: label value: (b) prose: Compliance monitoring; and - id: ca-7.4_smt.c name: item props: - 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: 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: 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: 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: 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-7.5 class: SP800-53-enhancement title: Consistency Analysis params: - id: ca-7.5_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ca-07.05_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ca-07.05_odp.02 label: organization-defined actions - id: ca-07.05_odp.01 props: - name: label value: CA-07(05)_ODP[01] class: sp800-53a label: actions guidelines: - prose: actions to validate that policies are established are defined; - id: ca-07.05_odp.02 props: - name: label value: CA-07(05)_ODP[02] class: sp800-53a label: actions guidelines: - prose: actions to validate that implemented controls are operating in a consistent manner are defined; props: - name: label value: CA-07(05) class: zero-padded - name: label value: CA-7(5) - name: label value: CA-07(05) class: sp800-53a - name: sort-id value: ca-07.05 - 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: '#ca-7' rel: required parts: - id: ca-7.5_smt name: statement prose: 'Employ the following actions to validate that policies are established and implemented controls are operating in a consistent manner: {{ insert: param, ca-7.5_prm_1 }}.' - id: ca-7.5_gdn name: guidance prose: Security and privacy controls are often added incrementally to a system. As a result, policies for selecting and implementing controls may be inconsistent, and the controls could fail to work together in a consistent or coordinated manner. At a minimum, the lack of consistency and coordination could mean that there are unacceptable security and privacy gaps in the system. At worst, it could mean that some of the controls implemented in one location or by one component are actually impeding the functionality of other controls (e.g., encrypting internal network traffic can impede monitoring). In other situations, failing to consistently monitor all implemented network protocols (e.g., a dual stack of IPv4 and IPv6) may create unintended vulnerabilities in the system that could be exploited by adversaries. It is important to validate—through testing, monitoring, and analysis—that the implemented controls are operating in a consistent, coordinated, non-interfering manner. - id: ca-7.5_obj name: assessment-objective props: - name: label value: CA-07(05) class: sp800-53a parts: - id: ca-7.5_obj-1 name: assessment-objective props: - name: label value: CA-07(05)[01] class: sp800-53a prose: '{{ insert: param, ca-07.05_odp.01 }} are employed to validate that policies are established;' links: - href: '#ca-7.5_smt' rel: assessment-for - id: ca-7.5_obj-2 name: assessment-objective props: - name: label value: CA-07(05)[02] class: sp800-53a prose: '{{ insert: param, ca-07.05_odp.02 }} are employed to validate that implemented controls are operating in a consistent manner.' links: - href: '#ca-7.5_smt' rel: assessment-for links: - href: '#ca-7.5_smt' rel: assessment-for - id: ca-7.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-07(05)-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 security controls assessment report plan of action and milestones system monitoring records security impact analyses status reports system security plan other relevant documents or records - id: ca-7.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-07(05)-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-7.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-07(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting consistency analyses - id: ca-7.6 class: SP800-53-enhancement title: Automation Support for Monitoring params: - id: ca-07.06_odp props: - name: alt-identifier value: ca-7.6_prm_1 - name: label value: CA-07(06)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to ensure the accuracy, currency, and availability of monitoring results for the system are defined; props: - name: label value: CA-07(06) class: zero-padded - name: label value: CA-7(6) - name: label value: CA-07(06) class: sp800-53a - name: sort-id value: ca-07.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ca-7' rel: required parts: - id: ca-7.6_smt name: statement prose: 'Ensure the accuracy, currency, and availability of monitoring results for the system using {{ insert: param, ca-07.06_odp }}.' - id: ca-7.6_gdn name: guidance prose: Using automated tools for monitoring helps to maintain the accuracy, currency, and availability of monitoring information which in turns helps to increase the level of ongoing awareness of the system security and privacy posture in support of organizational risk management decisions. - id: ca-7.6_obj name: assessment-objective props: - name: label value: CA-07(06) class: sp800-53a prose: '{{ insert: param, ca-07.06_odp }} are used to ensure the accuracy, currency, and availability of monitoring results for the system.' links: - href: '#ca-7.6_smt' rel: assessment-for - id: ca-7.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-07(06)-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-7.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-07(06)-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-7.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-07(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting automated 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 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: '#ra-10' rel: related - href: '#sa-11' rel: related - href: '#sr-5' rel: related - href: '#sr-6' rel: related parts: - id: ca-8_smt name: statement 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_obj name: assessment-objective props: - name: label value: CA-08 class: sp800-53a prose: 'penetration testing is conducted {{ insert: param, ca-08_odp.01 }} on {{ insert: param, ca-08_odp.02 }}.' links: - href: '#ca-8_smt' rel: assessment-for - id: ca-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-08-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Assessment, authorization, and monitoring policy procedures addressing penetration testing assessment plan penetration test report assessment report assessment evidence system security plan privacy plan other relevant documents or records - id: ca-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-08-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with control assessment responsibilities organizational personnel with information security and privacy responsibilities system/network administrators - id: ca-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-08-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting penetration testing controls: - id: ca-8.1 class: SP800-53-enhancement title: Independent Penetration Testing Agent or Team props: - name: label value: CA-08(01) class: zero-padded - name: label value: CA-8(1) - name: label value: CA-08(01) class: sp800-53a - name: sort-id value: ca-08.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ca-8' rel: required - href: '#ca-2' rel: related parts: - id: ca-8.1_smt name: statement prose: Employ an independent penetration testing agent or team to perform penetration testing on the system or system components. - id: ca-8.1_gdn name: guidance prose: Independent penetration testing agents or teams are individuals or groups who conduct impartial penetration testing of organizational systems. Impartiality implies that penetration testing agents or teams are free from perceived or actual conflicts of interest with respect to the development, operation, or management of the systems that are the targets of the penetration testing. [CA-2(1)](#ca-2.1) provides additional information on independent assessments that can be applied to penetration testing. - id: ca-8.1_obj name: assessment-objective props: - name: label value: CA-08(01) class: sp800-53a prose: an independent penetration testing agent or team is employed to perform penetration testing on the system or system components. links: - href: '#ca-8.1_smt' rel: assessment-for - id: ca-8.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-08(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Assessment, authorization, and monitoring policy procedures addressing penetration testing assessment plan penetration test report assessment report security assessment evidence system security plan privacy plan other relevant documents or records - id: ca-8.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-08(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with assessment responsibilities organizational personnel with information security and privacy responsibilities - id: ca-8.2 class: SP800-53-enhancement title: Red Team Exercises params: - id: ca-08.02_odp props: - name: alt-identifier value: ca-8.2_prm_1 - name: label value: CA-08(02)_ODP class: sp800-53a label: red team exercises guidelines: - prose: red team exercises to simulate attempts by adversaries to compromise organizational systems are defined; props: - name: label value: CA-08(02) class: zero-padded - name: label value: CA-8(2) - name: label value: CA-08(02) class: sp800-53a - name: sort-id value: ca-08.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ca-8' rel: required parts: - id: ca-8.2_smt name: statement prose: 'Employ the following red-team exercises to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement: {{ insert: param, ca-08.02_odp }}.' - id: ca-8.2_gdn name: guidance prose: Red team exercises extend the objectives of penetration testing by examining the security and privacy posture of organizations and the capability to implement effective cyber defenses. Red team exercises simulate attempts by adversaries to compromise mission and business functions and provide a comprehensive assessment of the security and privacy posture of systems and organizations. Such attempts may include technology-based attacks and social engineering-based attacks. Technology-based attacks include interactions with hardware, software, or firmware components and/or mission and business processes. Social engineering-based attacks include interactions via email, telephone, shoulder surfing, or personal conversations. Red team exercises are most effective when conducted by penetration testing agents and teams with knowledge of and experience with current adversarial tactics, techniques, procedures, and tools. While penetration testing may be primarily laboratory-based testing, organizations can use red team exercises to provide more comprehensive assessments that reflect real-world conditions. The results from red team exercises can be used by organizations to improve security and privacy awareness and training and to assess control effectiveness. - id: ca-8.2_obj name: assessment-objective props: - name: label value: CA-08(02) class: sp800-53a prose: '{{ insert: param, ca-08.02_odp }} are employed to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement.' links: - href: '#ca-8.2_smt' rel: assessment-for - id: ca-8.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-08(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Assessment, authorization, and monitoring policy procedures addressing penetration testing procedures addressing red team exercises assessment plan results of red team exercises penetration test report assessment report rules of engagement assessment evidence system security plan privacy plan other relevant documents or records - id: ca-8.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-08(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with assessment responsibilities organizational personnel with information security and privacy responsibilities system/network administrators - id: ca-8.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-08(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting the employment of red team exercises - id: ca-8.3 class: SP800-53-enhancement title: Facility Penetration Testing params: - id: ca-08.03_odp.01 props: - name: alt-identifier value: ca-8.3_prm_1 - name: label value: CA-08(03)_ODP[01] class: sp800-53a label: frequency guidelines: - prose: frequency at which to employ penetration testing that attempts to bypass or circumvent controls associated with physical access points to the facility is defined; - id: ca-08.03_odp.02 props: - name: alt-identifier value: ca-8.3_prm_2 - name: label value: CA-08(03)_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - announced - unannounced props: - name: label value: CA-08(03) class: zero-padded - name: label value: CA-8(3) - name: label value: CA-08(03) class: sp800-53a - name: sort-id value: ca-08.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ca-8' rel: required - href: '#ca-2' rel: related - href: '#pe-3' rel: related parts: - id: ca-8.3_smt name: statement prose: 'Employ a penetration testing process that includes {{ insert: param, ca-08.03_odp.01 }} {{ insert: param, ca-08.03_odp.02 }} attempts to bypass or circumvent controls associated with physical access points to the facility.' - id: ca-8.3_gdn name: guidance prose: Penetration testing of physical access points can provide information on critical vulnerabilities in the operating environments of organizational systems. Such information can be used to correct weaknesses or deficiencies in physical controls that are necessary to protect organizational systems. - id: ca-8.3_obj name: assessment-objective props: - name: label value: CA-08(03) class: sp800-53a prose: 'the penetration testing process includes {{ insert: param, ca-08.03_odp.01 }} {{ insert: param, ca-08.03_odp.02 }} attempts to bypass or circumvent controls associated with physical access points to facility.' links: - href: '#ca-8.3_smt' rel: assessment-for - id: ca-8.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-08(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Assessment, authorization, and monitoring policy procedures addressing penetration testing procedures addressing red team exercises assessment plan results of red team exercises penetration test report assessment report rules of engagement assessment evidence system security plan privacy plan other relevant documents or records - id: ca-8.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-08(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with assessment responsibilities organizational personnel with information security and privacy responsibilities system/network administrators - id: ca-8.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-08(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms supporting the employment of red team exercises - id: ca-9 class: SP800-53 title: Internal System Connections params: - id: ca-09_odp.01 props: - name: alt-identifier value: ca-9_prm_1 - name: alt-label value: system components or classes of components class: sp800-53 - name: label value: CA-09_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components or classes of components requiring internal connections to the system are defined; - id: ca-09_odp.02 props: - name: alt-identifier value: ca-9_prm_2 - name: label value: CA-09_ODP[02] class: sp800-53a label: conditions guidelines: - prose: conditions requiring termination of internal connections are defined; - id: ca-09_odp.03 props: - name: alt-identifier value: ca-9_prm_3 - name: label value: CA-09_ODP[03] class: sp800-53a label: frequency guidelines: - prose: frequency at which to review the continued need for each internal connection is defined; props: - name: label value: CA-09 class: zero-padded - name: label value: CA-9 - name: label value: CA-09 class: sp800-53a - name: sort-id value: ca-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#0f66be67-85e7-4ca6-bd19-39453e9f4394' rel: reference - href: '#4c501da5-9d79-4cb6-ba80-97260e1ce327' rel: reference - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#cm-2' rel: related - href: '#ia-3' rel: related - href: '#sc-7' rel: related - href: '#si-12' rel: related parts: - id: ca-9_smt name: statement parts: - id: ca-9_smt.a name: item props: - name: 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: 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: 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: 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: 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: 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: 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: 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 controls: - id: ca-9.1 class: SP800-53-enhancement title: Compliance Checks props: - name: label value: CA-09(01) class: zero-padded - name: label value: CA-9(1) - name: label value: CA-09(01) class: sp800-53a - name: sort-id value: ca-09.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ca-9' rel: required - href: '#cm-6' rel: related parts: - id: ca-9.1_smt name: statement prose: Perform security and privacy compliance checks on constituent system components prior to the establishment of the internal connection. - id: ca-9.1_gdn name: guidance prose: Compliance checks include verification of the relevant baseline configuration. - id: ca-9.1_obj name: assessment-objective props: - name: label value: CA-09(01) class: sp800-53a parts: - id: ca-9.1_obj-1 name: assessment-objective props: - name: label value: CA-09(01)[01] class: sp800-53a prose: security compliance checks are performed on constituent system components prior to the establishment of the internal connection; links: - href: '#ca-9.1_smt' rel: assessment-for - id: ca-9.1_obj-2 name: assessment-objective props: - name: label value: CA-09(01)[02] class: sp800-53a prose: privacy compliance checks are performed on constituent system components prior to the establishment of the internal connection. links: - href: '#ca-9.1_smt' rel: assessment-for links: - href: '#ca-9.1_smt' rel: assessment-for - id: ca-9.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CA-09(01)-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-9.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CA-09(01)-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-9.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CA-09(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting compliance checks - 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 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 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 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: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 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 guidelines: - prose: the circumstances requiring baseline configuration review and update are defined; props: - name: label value: CM-02 class: zero-padded - name: label value: CM-2 - name: label value: CM-02 class: sp800-53a - name: sort-id value: cm-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#0f66be67-85e7-4ca6-bd19-39453e9f4394' rel: reference - href: '#20db4e66-e257-450c-b2e4-2bb9a62a2c88' rel: reference - href: '#ac-19' rel: related - href: '#au-6' rel: related - href: '#ca-9' rel: related - href: '#cm-1' rel: related - href: '#cm-3' rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: '#cm-8' rel: related - href: '#cm-9' rel: related - href: '#cp-9' rel: related - href: '#cp-10' rel: related - href: '#cp-12' rel: related - href: '#ma-2' rel: related - href: '#pl-8' rel: related - href: '#pm-5' rel: related - href: '#sa-8' rel: related - href: '#sa-10' rel: related - href: '#sa-15' rel: related - href: '#sc-18' rel: related parts: - id: cm-2_smt name: statement parts: - id: cm-2_smt.a name: item props: - name: 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: 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_obj name: assessment-objective props: - name: label value: CM-02 class: sp800-53a parts: - id: cm-2_obj.a name: assessment-objective props: - 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: 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: 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: label value: CM-02b.03 class: sp800-53a prose: the baseline configuration of the system is reviewed and updated when system components are installed or upgraded. links: - href: '#cm-2_smt.b.3' rel: assessment-for links: - href: '#cm-2_smt.b' rel: assessment-for links: - href: '#cm-2_smt' rel: assessment-for - id: cm-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-02-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing the baseline configuration of the system configuration management plan enterprise architecture documentation system design documentation system security plan privacy plan system architecture and configuration documentation system configuration settings and associated documentation system component inventory change control records other relevant documents or records - id: cm-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-02-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with configuration management responsibilities organizational personnel with information security and privacy responsibilities system/network administrators - id: cm-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-02-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing baseline configurations mechanisms supporting configuration control of the baseline configuration controls: - id: cm-2.1 class: SP800-53-enhancement title: Reviews and Updates props: - name: label value: CM-02(01) class: zero-padded - name: label value: CM-2(1) - name: label value: CM-02(01) class: sp800-53a - name: sort-id value: cm-02.01 - name: status value: withdrawn links: - href: '#cm-2' rel: incorporated-into - id: cm-2.2 class: SP800-53-enhancement title: Automation Support for Accuracy and Currency params: - id: cm-02.02_odp props: - name: alt-identifier value: cm-2.2_prm_1 - name: label value: CM-02(02)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms for maintaining baseline configuration of the system are defined; props: - name: label value: CM-02(02) class: zero-padded - name: label value: CM-2(2) - name: label value: CM-02(02) class: sp800-53a - name: sort-id value: cm-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cm-2' rel: required - href: '#cm-7' rel: related - href: '#ia-3' rel: related - href: '#ra-5' rel: related parts: - id: cm-2.2_smt name: statement prose: 'Maintain the currency, completeness, accuracy, and availability of the baseline configuration of the system using {{ insert: param, cm-02.02_odp }}.' - id: cm-2.2_gdn name: guidance prose: Automated mechanisms that help organizations maintain consistent baseline configurations for systems include configuration management tools, hardware, software, firmware inventory tools, and network management tools. Automated tools can be used at the organization level, mission and business process level, or system level on workstations, servers, notebook computers, network components, or mobile devices. Tools can be used to track version numbers on operating systems, applications, types of software installed, and current patch levels. Automation support for accuracy and currency can be satisfied by the implementation of [CM-8(2)](#cm-8.2) for organizations that combine system component inventory and baseline configuration activities. - id: cm-2.2_obj name: assessment-objective props: - name: label value: CM-02(02) class: sp800-53a parts: - id: cm-2.2_obj-1 name: assessment-objective props: - name: label value: CM-02(02)[01] class: sp800-53a prose: 'the currency of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }};' links: - href: '#cm-2.2_smt' rel: assessment-for - id: cm-2.2_obj-2 name: assessment-objective props: - name: label value: CM-02(02)[02] class: sp800-53a prose: 'the completeness of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }};' links: - href: '#cm-2.2_smt' rel: assessment-for - id: cm-2.2_obj-3 name: assessment-objective props: - name: label value: CM-02(02)[03] class: sp800-53a prose: 'the accuracy of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }};' links: - href: '#cm-2.2_smt' rel: assessment-for - id: cm-2.2_obj-4 name: assessment-objective props: - name: label value: CM-02(02)[04] class: sp800-53a prose: 'the availability of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }}.' links: - href: '#cm-2.2_smt' rel: assessment-for links: - href: '#cm-2.2_smt' rel: assessment-for - id: cm-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing the baseline configuration of the system configuration management plan system design documentation system architecture and configuration documentation system configuration settings and associated documentation system component inventory configuration change control records system security plan other relevant documents or records - id: cm-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with configuration management responsibilities organizational personnel with information security responsibilities system/network administrators - id: cm-2.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-02(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing baseline configurations automated mechanisms implementing baseline configuration maintenance - id: cm-2.3 class: SP800-53-enhancement title: Retention of Previous Configurations params: - id: cm-02.03_odp props: - name: alt-identifier value: cm-2.3_prm_1 - name: label value: CM-02(03)_ODP class: sp800-53a label: number guidelines: - prose: the number of previous baseline configuration versions to be retained is defined; props: - name: label value: CM-02(03) class: zero-padded - name: label value: CM-2(3) - name: label value: CM-02(03) class: sp800-53a - name: sort-id value: cm-02.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cm-2' rel: required parts: - id: cm-2.3_smt name: statement prose: 'Retain {{ insert: param, cm-02.03_odp }} of previous versions of baseline configurations of the system to support rollback.' - id: cm-2.3_gdn name: guidance prose: Retaining previous versions of baseline configurations to support rollback include hardware, software, firmware, configuration files, configuration records, and associated documentation. - id: cm-2.3_obj name: assessment-objective props: - name: label value: CM-02(03) class: sp800-53a prose: '{{ insert: param, cm-02.03_odp }} of previous baseline configuration version(s) of the system is/are retained to support rollback.' links: - href: '#cm-2.3_smt' rel: assessment-for - id: cm-2.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-02(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing the baseline configuration of the system configuration management plan system architecture and configuration documentation system configuration settings and associated documentation copies of previous baseline configuration versions system security plan other relevant documents or records - id: cm-2.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-02(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with configuration management responsibilities organizational personnel with information security responsibilities system/network administrators - id: cm-2.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-02(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for managing baseline configurations - id: cm-2.4 class: SP800-53-enhancement title: Unauthorized Software props: - name: label value: CM-02(04) class: zero-padded - name: label value: CM-2(4) - name: label value: CM-02(04) class: sp800-53a - name: sort-id value: cm-02.04 - name: status value: withdrawn links: - href: '#cm-7.4' rel: incorporated-into - id: cm-2.5 class: SP800-53-enhancement title: Authorized Software props: - name: label value: CM-02(05) class: zero-padded - name: label value: CM-2(5) - name: label value: CM-02(05) class: sp800-53a - name: sort-id value: cm-02.05 - name: status value: withdrawn links: - href: '#cm-7.5' rel: incorporated-into - id: cm-2.6 class: SP800-53-enhancement title: Development and Test Environments props: - name: label value: CM-02(06) class: zero-padded - name: label value: CM-2(6) - name: label value: CM-02(06) class: sp800-53a - name: sort-id value: cm-02.06 - 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: '#cm-2' rel: required - href: '#cm-4' rel: related - href: '#sc-3' rel: related - href: '#sc-7' rel: related parts: - id: cm-2.6_smt name: statement prose: Maintain a baseline configuration for system development and test environments that is managed separately from the operational baseline configuration. - id: cm-2.6_gdn name: guidance prose: Establishing separate baseline configurations for development, testing, and operational environments protects systems from unplanned or unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, the management of operational configurations typically emphasizes the need for stability, while the management of development or test configurations requires greater flexibility. Configurations in the test environment mirror configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. Separate baseline configurations do not necessarily require separate physical environments. - id: cm-2.6_obj name: assessment-objective props: - name: label value: CM-02(06) class: sp800-53a parts: - id: cm-2.6_obj-1 name: assessment-objective props: - name: label value: CM-02(06)[01] class: sp800-53a prose: a baseline configuration for system development environments that is managed separately from the operational baseline configuration is maintained; links: - href: '#cm-2.6_smt' rel: assessment-for - id: cm-2.6_obj-2 name: assessment-objective props: - name: label value: CM-02(06)[02] class: sp800-53a prose: a baseline configuration for test environments that is managed separately from the operational baseline configuration is maintained. links: - href: '#cm-2.6_smt' rel: assessment-for links: - href: '#cm-2.6_smt' rel: assessment-for - id: cm-2.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-02(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing the baseline configuration of the system configuration management plan system design documentation system architecture and configuration documentation system configuration settings and associated documentation system security plan other relevant documents or records - id: cm-2.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-02(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with configuration management responsibilities organizational personnel with information security responsibilities system/network administrators - id: cm-2.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-02(06)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing baseline configurations mechanisms implementing separate baseline configurations for development, test, and operational environments - id: cm-2.7 class: SP800-53-enhancement title: Configure Systems and Components for High-risk Areas params: - id: cm-02.07_odp.01 props: - name: alt-identifier value: cm-2.7_prm_1 - name: label value: CM-02(07)_ODP[01] class: sp800-53a label: systems or system components guidelines: - prose: the systems or system components to be issued when individuals travel to high-risk areas are defined; - id: cm-02.07_odp.02 props: - name: alt-identifier value: cm-2.7_prm_2 - name: label value: CM-02(07)_ODP[02] class: sp800-53a label: configurations guidelines: - prose: configurations for systems or system components to be issued when individuals travel to high-risk areas are defined; - id: cm-02.07_odp.03 props: - name: alt-identifier value: cm-2.7_prm_3 - name: label value: CM-02(07)_ODP[03] class: sp800-53a label: controls guidelines: - prose: the controls to be applied when the individuals return from travel are defined; props: - name: label value: CM-02(07) class: zero-padded - name: label value: CM-2(7) - name: label value: CM-02(07) class: sp800-53a - name: sort-id value: cm-02.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cm-2' rel: required - href: '#mp-4' rel: related - href: '#mp-5' rel: related parts: - id: cm-2.7_smt name: statement parts: - id: cm-2.7_smt.a name: item props: - name: label value: (a) prose: 'Issue {{ insert: param, cm-02.07_odp.01 }} with {{ insert: param, cm-02.07_odp.02 }} to individuals traveling to locations that the organization deems to be of significant risk; and' - id: cm-2.7_smt.b name: item props: - name: label value: (b) prose: 'Apply the following controls to the systems or components when the individuals return from travel: {{ insert: param, cm-02.07_odp.03 }}.' - id: cm-2.7_gdn name: guidance prose: When it is known that systems or system components will be in high-risk areas external to the organization, additional controls may be implemented to counter the increased threat in such areas. For example, organizations can take actions for notebook computers used by individuals departing on and returning from travel. Actions include determining the locations that are of concern, defining the required configurations for the components, ensuring that components are configured as intended before travel is initiated, and applying controls to the components after travel is completed. Specially configured notebook computers include computers with sanitized hard drives, limited applications, and more stringent configuration settings. Controls applied to mobile devices upon return from travel include examining the mobile device for signs of physical tampering and purging and reimaging disk drives. Protecting information that resides on mobile devices is addressed in the [MP](#mp) (Media Protection) family. - id: cm-2.7_obj name: assessment-objective props: - name: label value: CM-02(07) class: sp800-53a parts: - id: cm-2.7_obj.a name: assessment-objective props: - name: label value: CM-02(07)(a) class: sp800-53a prose: '{{ insert: param, cm-02.07_odp.01 }} with {{ insert: param, cm-02.07_odp.02 }} are issued to individuals traveling to locations that the organization deems to be of significant risk;' links: - href: '#cm-2.7_smt.a' rel: assessment-for - id: cm-2.7_obj.b name: assessment-objective props: - name: label value: CM-02(07)(b) class: sp800-53a prose: '{{ insert: param, cm-02.07_odp.03 }} are applied to the systems or system components when the individuals return from travel.' links: - href: '#cm-2.7_smt.b' rel: assessment-for links: - href: '#cm-2.7_smt' rel: assessment-for - id: cm-2.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-02(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy configuration management plan procedures addressing the baseline configuration of the system procedures addressing system component installations and upgrades system architecture and configuration documentation system configuration settings and associated documentation system component inventory records of system baseline configuration reviews and updates system component installations/upgrades and associated records change control records system security plan other relevant documents or records - id: cm-2.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-02(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with configuration management responsibilities organizational personnel with information security responsibilities system/network administrators - id: cm-2.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-02(07)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for managing baseline configurations - id: cm-3 class: SP800-53 title: Configuration Change Control params: - id: cm-03_odp.01 props: - name: alt-identifier value: cm-3_prm_1 - name: label value: CM-03_ODP[01] class: sp800-53a label: time period guidelines: - prose: the time period to retain records of configuration-controlled changes is defined; - id: cm-03_odp.02 props: - name: alt-identifier value: cm-3_prm_2 - name: label value: CM-03_ODP[02] class: sp800-53a label: configuration change control element guidelines: - prose: the configuration change control element responsible for coordinating and overseeing change control activities is defined; - id: cm-03_odp.03 props: - name: alt-identifier value: cm-3_prm_3 - name: label value: CM-03_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - '{{ insert: param, cm-03_odp.04 }} ' - 'when {{ insert: param, cm-03_odp.05 }} ' - id: cm-03_odp.04 props: - name: alt-identifier value: cm-3_prm_4 - name: label value: CM-03_ODP[04] class: sp800-53a label: frequency guidelines: - prose: the frequency at which the configuration control element convenes is defined (if selected); - id: cm-03_odp.05 props: - name: alt-identifier value: cm-3_prm_5 - name: label value: CM-03_ODP[05] class: sp800-53a label: configuration change conditions guidelines: - prose: configuration change conditions that prompt the configuration control element to convene are defined (if selected); props: - name: label value: CM-03 class: zero-padded - name: label value: CM-3 - name: label value: CM-03 class: sp800-53a - name: sort-id value: cm-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#0f66be67-85e7-4ca6-bd19-39453e9f4394' rel: reference - href: '#20db4e66-e257-450c-b2e4-2bb9a62a2c88' rel: reference - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference - href: '#ca-7' rel: related - href: '#cm-2' rel: related - href: '#cm-4' rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: '#cm-9' rel: related - href: '#cm-11' rel: related - href: '#ia-3' rel: related - href: '#ma-2' rel: related - href: '#pe-16' rel: related - href: '#pt-6' rel: related - href: '#ra-8' rel: related - href: '#sa-8' rel: related - href: '#sa-10' rel: related - href: '#sc-28' rel: related - href: '#sc-34' rel: related - href: '#sc-37' rel: related - href: '#si-2' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related - href: '#si-10' rel: related - href: '#sr-11' rel: related parts: - id: cm-3_smt name: statement parts: - id: cm-3_smt.a name: item props: - name: label value: a. prose: Determine and document the types of changes to the system that are configuration-controlled; - id: cm-3_smt.b name: item props: - name: label value: b. prose: Review proposed configuration-controlled changes to the system and approve or disapprove such changes with explicit consideration for security and privacy impact analyses; - id: cm-3_smt.c name: item props: - name: label value: c. prose: Document configuration change decisions associated with the system; - id: cm-3_smt.d name: item props: - name: label value: d. prose: Implement approved configuration-controlled changes to the system; - id: cm-3_smt.e name: item props: - name: label value: e. prose: 'Retain records of configuration-controlled changes to the system for {{ insert: param, cm-03_odp.01 }};' - id: cm-3_smt.f name: item props: - name: label value: f. prose: Monitor and review activities associated with configuration-controlled changes to the system; and - id: cm-3_smt.g name: item props: - name: label value: g. prose: 'Coordinate and provide oversight for configuration change control activities through {{ insert: param, cm-03_odp.02 }} that convenes {{ insert: param, cm-03_odp.03 }}.' - id: cm-3_gdn name: guidance prose: Configuration change control for organizational systems involves the systematic proposal, justification, implementation, testing, review, and disposition of system changes, including system upgrades and modifications. Configuration change control includes changes to baseline configurations, configuration items of systems, operational procedures, configuration settings for system components, remediate vulnerabilities, and unscheduled or unauthorized changes. Processes for managing configuration changes to systems include Configuration Control Boards or Change Advisory Boards that review and approve proposed changes. For changes that impact privacy risk, the senior agency official for privacy updates privacy impact assessments and system of records notices. For new systems or major upgrades, organizations consider including representatives from the development organizations on the Configuration Control Boards or Change Advisory Boards. Auditing of changes includes activities before and after changes are made to systems and the auditing activities required to implement such changes. See also [SA-10](#sa-10). - id: cm-3_obj name: assessment-objective props: - name: label value: CM-03 class: sp800-53a parts: - id: cm-3_obj.a name: assessment-objective props: - name: label value: CM-03a. class: sp800-53a prose: the types of changes to the system that are configuration-controlled are determined and documented; links: - href: '#cm-3_smt.a' rel: assessment-for - id: cm-3_obj.b name: assessment-objective props: - name: label value: CM-03b. class: sp800-53a parts: - id: cm-3_obj.b-1 name: assessment-objective props: - name: label value: CM-03b.[01] class: sp800-53a prose: proposed configuration-controlled changes to the system are reviewed; links: - href: '#cm-3_smt.b' rel: assessment-for - id: cm-3_obj.b-2 name: assessment-objective props: - name: label value: CM-03b.[02] class: sp800-53a prose: proposed configuration-controlled changes to the system are approved or disapproved with explicit consideration for security and privacy impact analyses; links: - href: '#cm-3_smt.b' rel: assessment-for links: - href: '#cm-3_smt.b' rel: assessment-for - id: cm-3_obj.c name: assessment-objective props: - name: label value: CM-03c. class: sp800-53a prose: configuration change decisions associated with the system are documented; links: - href: '#cm-3_smt.c' rel: assessment-for - id: cm-3_obj.d name: assessment-objective props: - name: label value: CM-03d. class: sp800-53a prose: approved configuration-controlled changes to the system are implemented; links: - href: '#cm-3_smt.d' rel: assessment-for - id: cm-3_obj.e name: assessment-objective props: - name: label value: CM-03e. class: sp800-53a prose: 'records of configuration-controlled changes to the system are retained for {{ insert: param, cm-03_odp.01 }};' links: - href: '#cm-3_smt.e' rel: assessment-for - id: cm-3_obj.f name: assessment-objective props: - name: label value: CM-03f. class: sp800-53a parts: - id: cm-3_obj.f-1 name: assessment-objective props: - name: label value: CM-03f.[01] class: sp800-53a prose: activities associated with configuration-controlled changes to the system are monitored; links: - href: '#cm-3_smt.f' rel: assessment-for - id: cm-3_obj.f-2 name: assessment-objective props: - name: label value: CM-03f.[02] class: sp800-53a prose: activities associated with configuration-controlled changes to the system are reviewed; links: - href: '#cm-3_smt.f' rel: assessment-for links: - href: '#cm-3_smt.f' rel: assessment-for - id: cm-3_obj.g name: assessment-objective props: - name: label value: CM-03g. class: sp800-53a parts: - id: cm-3_obj.g-1 name: assessment-objective props: - name: label value: CM-03g.[01] class: sp800-53a prose: 'configuration change control activities are coordinated and overseen by {{ insert: param, cm-03_odp.02 }};' links: - href: '#cm-3_smt.g' rel: assessment-for - id: cm-3_obj.g-2 name: assessment-objective props: - name: label value: CM-03g.[02] class: sp800-53a prose: 'the configuration control element convenes {{ insert: param, cm-03_odp.03 }}.' links: - href: '#cm-3_smt.g' rel: assessment-for links: - href: '#cm-3_smt.g' rel: assessment-for links: - href: '#cm-3_smt' rel: assessment-for - id: cm-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-03-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing system configuration change control configuration management plan system architecture and configuration documentation change control records system audit records change control audit and review reports agenda/minutes/documentation from configuration change control oversight meetings system security plan privacy plan privacy impact assessments system of records notices other relevant documents or records - id: cm-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-03-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with configuration change control responsibilities organizational personnel with information security and privacy responsibilities system/network administrators members of change control board or similar - id: cm-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-03-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for configuration change control mechanisms that implement configuration change control controls: - id: cm-3.1 class: SP800-53-enhancement title: Automated Documentation, Notification, and Prohibition of Changes params: - id: cm-03.01_odp.01 props: - name: alt-identifier value: cm-3.1_prm_1 - name: label value: CM-03(01)_ODP[01] class: sp800-53a label: automated mechanisms guidelines: - prose: mechanisms used to automate configuration change control are defined; - id: cm-03.01_odp.02 props: - name: alt-identifier value: cm-3.1_prm_2 - name: label value: CM-03(01)_ODP[02] class: sp800-53a label: approval authorities guidelines: - prose: approval authorities to be notified of and request approval for proposed changes to the system are defined; - id: cm-03.01_odp.03 props: - name: alt-identifier value: cm-3.1_prm_3 - name: label value: CM-03(01)_ODP[03] class: sp800-53a label: time period guidelines: - prose: the time period after which to highlight changes that have not been approved or disapproved is defined; - id: cm-03.01_odp.04 props: - name: alt-identifier value: cm-3.1_prm_4 - name: label value: CM-03(01)_ODP[04] class: sp800-53a label: personnel guidelines: - prose: personnel to be notified when approved changes are complete is/are defined; props: - name: label value: CM-03(01) class: zero-padded - name: label value: CM-3(1) - name: label value: CM-03(01) class: sp800-53a - name: sort-id value: cm-03.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cm-3' rel: required parts: - id: cm-3.1_smt name: statement prose: 'Use {{ insert: param, cm-03.01_odp.01 }} to:' parts: - id: cm-3.1_smt.a name: item props: - name: label value: (a) prose: Document proposed changes to the system; - id: cm-3.1_smt.b name: item props: - name: label value: (b) prose: 'Notify {{ insert: param, cm-03.01_odp.02 }} of proposed changes to the system and request change approval;' - id: cm-3.1_smt.c name: item props: - name: label value: (c) prose: 'Highlight proposed changes to the system that have not been approved or disapproved within {{ insert: param, cm-03.01_odp.03 }};' - id: cm-3.1_smt.d name: item props: - name: label value: (d) prose: Prohibit changes to the system until designated approvals are received; - id: cm-3.1_smt.e name: item props: - name: label value: (e) prose: Document all changes to the system; and - id: cm-3.1_smt.f name: item props: - name: label value: (f) prose: 'Notify {{ insert: param, cm-03.01_odp.04 }} when approved changes to the system are completed.' - id: cm-3.1_gdn name: guidance prose: None. - id: cm-3.1_obj name: assessment-objective props: - name: label value: CM-03(01) class: sp800-53a parts: - id: cm-3.1_obj.a name: assessment-objective props: - name: label value: CM-03(01)(a) class: sp800-53a prose: '{{ insert: param, cm-03.01_odp.01 }} are used to document proposed changes to the system;' links: - href: '#cm-3.1_smt.a' rel: assessment-for - id: cm-3.1_obj.b name: assessment-objective props: - name: label value: CM-03(01)(b) class: sp800-53a prose: '{{ insert: param, cm-03.01_odp.01 }} are used to notify {{ insert: param, cm-03.01_odp.02 }} of proposed changes to the system and request change approval;' links: - href: '#cm-3.1_smt.b' rel: assessment-for - id: cm-3.1_obj.c name: assessment-objective props: - name: label value: CM-03(01)(c) class: sp800-53a prose: '{{ insert: param, cm-03.01_odp.01 }} are used to highlight proposed changes to the system that have not been approved or disapproved within {{ insert: param, cm-03.01_odp.03 }};' links: - href: '#cm-3.1_smt.c' rel: assessment-for - id: cm-3.1_obj.d name: assessment-objective props: - name: label value: CM-03(01)(d) class: sp800-53a prose: '{{ insert: param, cm-03.01_odp.01 }} are used to prohibit changes to the system until designated approvals are received;' links: - href: '#cm-3.1_smt.d' rel: assessment-for - id: cm-3.1_obj.e name: assessment-objective props: - name: label value: CM-03(01)(e) class: sp800-53a prose: '{{ insert: param, cm-03.01_odp.01 }} are used to document all changes to the system;' links: - href: '#cm-3.1_smt.e' rel: assessment-for - id: cm-3.1_obj.f name: assessment-objective props: - name: label value: CM-03(01)(f) class: sp800-53a prose: '{{ insert: param, cm-03.01_odp.01 }} are used to notify {{ insert: param, cm-03.01_odp.04 }} when approved changes to the system are completed.' links: - href: '#cm-3.1_smt.f' rel: assessment-for links: - href: '#cm-3.1_smt' rel: assessment-for - id: cm-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing system configuration change control configuration management plan system design documentation system architecture and configuration documentation automated configuration control mechanisms system configuration settings and associated documentation change control records system audit records change approval requests change approvals system security plan other relevant documents or records - id: cm-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with configuration change control responsibilities organizational personnel with information security responsibilities system/network administrators system developers members of change control board or similar - id: cm-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-03(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for configuration change control automated mechanisms implementing configuration change control activities - id: cm-3.2 class: SP800-53-enhancement title: Testing, Validation, and Documentation of Changes props: - name: label value: CM-03(02) class: zero-padded - name: label value: CM-3(2) - name: label value: CM-03(02) class: sp800-53a - name: sort-id value: cm-03.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cm-3' rel: required parts: - id: cm-3.2_smt name: statement prose: Test, validate, and document changes to the system before finalizing the implementation of the changes. - id: cm-3.2_gdn name: guidance prose: Changes to systems include modifications to hardware, software, or firmware components and configuration settings defined in [CM-6](#cm-6) . Organizations ensure that testing does not interfere with system operations that support organizational mission and business functions. Individuals or groups conducting tests understand security and privacy policies and procedures, system security and privacy policies and procedures, and the health, safety, and environmental risks associated with specific facilities or processes. Operational systems may need to be taken offline, or replicated to the extent feasible, before testing can be conducted. If systems must be taken offline for testing, the tests are scheduled to occur during planned system outages whenever possible. If the testing cannot be conducted on operational systems, organizations employ compensating controls. - id: cm-3.2_obj name: assessment-objective props: - name: label value: CM-03(02) class: sp800-53a parts: - id: cm-3.2_obj-1 name: assessment-objective props: - name: label value: CM-03(02)[01] class: sp800-53a prose: changes to the system are tested before finalizing the implementation of the changes; links: - href: '#cm-3.2_smt' rel: assessment-for - id: cm-3.2_obj-2 name: assessment-objective props: - name: label value: CM-03(02)[02] class: sp800-53a prose: changes to the system are validated before finalizing the implementation of the changes; links: - href: '#cm-3.2_smt' rel: assessment-for - id: cm-3.2_obj-3 name: assessment-objective props: - name: label value: CM-03(02)[03] class: sp800-53a prose: changes to the system are documented before finalizing the implementation of the changes. links: - href: '#cm-3.2_smt' rel: assessment-for links: - href: '#cm-3.2_smt' rel: assessment-for - id: cm-3.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-03(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy configuration management plan procedures addressing system configuration change control system design documentation system architecture and configuration documentation system configuration settings and associated documentation test records validation records change control records system audit records system security plan other relevant documents or records - id: cm-3.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-03(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with configuration change control responsibilities organizational personnel with information security responsibilities system/network administrators system developers members of change control board or similar - id: cm-3.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-03(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for configuration change control mechanisms supporting and/or implementing, testing, validating, and documenting system changes - id: cm-3.3 class: SP800-53-enhancement title: Automated Change Implementation params: - id: cm-03.03_odp props: - name: alt-identifier value: cm-3.3_prm_1 - name: label value: CM-03(03)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: mechanisms used to automate the implementation of changes and deployment of the updated baseline across the installed base are defined; props: - name: label value: CM-03(03) class: zero-padded - name: label value: CM-3(3) - name: label value: CM-03(03) class: sp800-53a - name: sort-id value: cm-03.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-3' rel: required parts: - id: cm-3.3_smt name: statement prose: 'Implement changes to the current system baseline and deploy the updated baseline across the installed base using {{ insert: param, cm-03.03_odp }}.' - id: cm-3.3_gdn name: guidance prose: Automated tools can improve the accuracy, consistency, and availability of configuration baseline information. Automation can also provide data aggregation and data correlation capabilities, alerting mechanisms, and dashboards to support risk-based decision-making within the organization. - id: cm-3.3_obj name: assessment-objective props: - name: label value: CM-03(03) class: sp800-53a parts: - id: cm-3.3_obj-1 name: assessment-objective props: - name: label value: CM-03(03)[01] class: sp800-53a prose: 'changes to the current system baseline are implemented using {{ insert: param, cm-03.03_odp }};' links: - href: '#cm-3.3_smt' rel: assessment-for - id: cm-3.3_obj-2 name: assessment-objective props: - name: label value: CM-03(03)[02] class: sp800-53a prose: 'the updated baseline is deployed across the installed base using {{ insert: param, cm-03.03_odp }}.' links: - href: '#cm-3.3_smt' rel: assessment-for links: - href: '#cm-3.3_smt' rel: assessment-for - id: cm-3.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-03(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy configuration management plan procedures addressing system configuration change control system design documentation system architecture and configuration documentation automated configuration control mechanisms change control records system component inventory system audit records system security plan other relevant documents or records - id: cm-3.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-03(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with configuration change control responsibilities organizational personnel with information security responsibilities system/network administrators system developers members of change control board or similar - id: cm-3.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-03(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for configuration change control automated mechanisms implementing changes to current system baseline - id: cm-3.4 class: SP800-53-enhancement title: Security and Privacy Representatives params: - id: cm-3.4_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-03.04_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-03.04_odp.02 label: organization-defined security and privacy representatives - id: cm-03.04_odp.01 props: - name: label value: CM-03(04)_ODP[01] class: sp800-53a label: security representatives guidelines: - prose: security representatives required to be members of the change control element are defined; - id: cm-03.04_odp.02 props: - name: label value: CM-03(04)_ODP[02] class: sp800-53a label: privacy representatives guidelines: - prose: privacy representatives required to be members of the change control element are defined; - id: cm-03.04_odp.03 props: - name: alt-identifier value: cm-3.4_prm_2 - name: label value: CM-03(04)_ODP[03] class: sp800-53a label: configuration change control element guidelines: - prose: the configuration change control element of which the security and privacy representatives are to be members is defined; props: - name: label value: CM-03(04) class: zero-padded - name: label value: CM-3(4) - name: label value: CM-03(04) class: sp800-53a - name: sort-id value: cm-03.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-3' rel: required parts: - id: cm-3.4_smt name: statement prose: 'Require {{ insert: param, cm-3.4_prm_1 }} to be members of the {{ insert: param, cm-03.04_odp.03 }}.' - id: cm-3.4_gdn name: guidance prose: Information security and privacy representatives include system security officers, senior agency information security officers, senior agency officials for privacy, or system privacy officers. Representation by personnel with information security and privacy expertise is important because changes to system configurations can have unintended side effects, some of which may be security- or privacy-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security and privacy posture of systems. The configuration change control element referred to in the second organization-defined parameter reflects the change control elements defined by organizations in [CM-3g](#cm-3_smt.g). - id: cm-3.4_obj name: assessment-objective props: - name: label value: CM-03(04) class: sp800-53a parts: - id: cm-3.4_obj-1 name: assessment-objective props: - name: label value: CM-03(04)[01] class: sp800-53a prose: '{{ insert: param, cm-03.04_odp.01 }} are required to be members of the {{ insert: param, cm-03.04_odp.03 }};' links: - href: '#cm-3.4_smt' rel: assessment-for - id: cm-3.4_obj-2 name: assessment-objective props: - name: label value: CM-03(04)[02] class: sp800-53a prose: '{{ insert: param, cm-03.04_odp.02 }} are required to be members of the {{ insert: param, cm-03.04_odp.03 }}.' links: - href: '#cm-3.4_smt' rel: assessment-for links: - href: '#cm-3.4_smt' rel: assessment-for - id: cm-3.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-03(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing system configuration change control configuration management plan system security plan privacy plan other relevant documents or records - id: cm-3.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-03(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with configuration change control responsibilities organizational personnel with information security and privacy responsibilities members of change control board or similar - id: cm-3.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-03(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for configuration change control - id: cm-3.5 class: SP800-53-enhancement title: Automated Security Response params: - id: cm-03.05_odp props: - name: alt-identifier value: cm-3.5_prm_1 - name: label value: CM-03(05)_ODP class: sp800-53a label: security responses guidelines: - prose: security responses to be automatically implemented are defined; props: - name: label value: CM-03(05) class: zero-padded - name: label value: CM-3(5) - name: label value: CM-03(05) class: sp800-53a - name: sort-id value: cm-03.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#cm-3' rel: required parts: - id: cm-3.5_smt name: statement prose: 'Implement the following security responses automatically if baseline configurations are changed in an unauthorized manner: {{ insert: param, cm-03.05_odp }}.' - id: cm-3.5_gdn name: guidance prose: Automated security responses include halting selected system functions, halting system processing, and issuing alerts or notifications to organizational personnel when there is an unauthorized modification of a configuration item. - id: cm-3.5_obj name: assessment-objective props: - name: label value: CM-03(05) class: sp800-53a prose: '{{ insert: param, cm-03.05_odp }} are automatically implemented if baseline configurations are changed in an unauthorized manner.' links: - href: '#cm-3.5_smt' rel: assessment-for - id: cm-3.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-03(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System security plan configuration management policy procedures addressing system configuration change control configuration management plan system design documentation system architecture and configuration documentation system configuration settings and associated documentation alerts/notifications of unauthorized baseline configuration changes system audit records other relevant documents or records - id: cm-3.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-03(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with configuration change control responsibilities organizational personnel with information security responsibilities system/network administrators system developers members of change control board or similar - id: cm-3.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-03(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for configuration change control automated mechanisms implementing security responses to unauthorized changes to the baseline configurations - id: cm-3.6 class: SP800-53-enhancement title: Cryptography Management params: - id: cm-03.06_odp props: - name: alt-identifier value: cm-3.6_prm_1 - name: label value: CM-03(06)_ODP class: sp800-53a label: controls guidelines: - prose: controls provided by cryptographic mechanisms that are to be under configuration management are defined; props: - name: label value: CM-03(06) class: zero-padded - name: label value: CM-3(6) - name: label value: CM-03(06) class: sp800-53a - name: sort-id value: cm-03.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-3' rel: required - href: '#sc-12' rel: related parts: - id: cm-3.6_smt name: statement prose: 'Ensure that cryptographic mechanisms used to provide the following controls are under configuration management: {{ insert: param, cm-03.06_odp }}.' - id: cm-3.6_gdn name: guidance prose: The controls referenced in the control enhancement refer to security and privacy controls from the control catalog. Regardless of the cryptographic mechanisms employed, processes and procedures are in place to manage those mechanisms. For example, if system components use certificates for identification and authentication, a process is implemented to address the expiration of those certificates. - id: cm-3.6_obj name: assessment-objective props: - name: label value: CM-03(06) class: sp800-53a prose: 'cryptographic mechanisms used to provide {{ insert: param, cm-03.06_odp }} are under configuration management.' links: - href: '#cm-3.6_smt' rel: assessment-for - id: cm-3.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-03(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing system configuration change control configuration management plan system design documentation system architecture and configuration documentation system configuration settings and associated documentation system security plan other relevant documents or records - id: cm-3.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-03(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with configuration change control responsibilities organizational personnel with information security responsibilities system/network administrators system developers members of change control board or similar - id: cm-3.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-03(06)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for configuration change control cryptographic mechanisms implementing organizational security safeguards (controls) - id: cm-3.7 class: SP800-53-enhancement title: Review System Changes params: - id: cm-03.07_odp.01 props: - name: alt-identifier value: cm-3.7_prm_1 - name: label value: CM-03(07)_ODP[01] class: sp800-53a label: frequency guidelines: - prose: the frequency at which changes are to be reviewed is defined; - id: cm-03.07_odp.02 props: - name: alt-identifier value: cm-3.7_prm_2 - name: label value: CM-03(07)_ODP[02] class: sp800-53a label: circumstances guidelines: - prose: the circumstances under which changes are to be reviewed are defined; props: - name: label value: CM-03(07) class: zero-padded - name: label value: CM-3(7) - name: label value: CM-03(07) class: sp800-53a - name: sort-id value: cm-03.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-3' rel: required - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#cm-3' rel: related parts: - id: cm-3.7_smt name: statement prose: 'Review changes to the system {{ insert: param, cm-03.07_odp.01 }} or when {{ insert: param, cm-03.07_odp.02 }} to determine whether unauthorized changes have occurred.' - id: cm-3.7_gdn name: guidance prose: Indications that warrant a review of changes to the system and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process or continuous monitoring process. - id: cm-3.7_obj name: assessment-objective props: - name: label value: CM-03(07) class: sp800-53a prose: 'changes to the system are reviewed {{ insert: param, cm-03.07_odp.01 }} or when {{ insert: param, cm-03.07_odp.02 }} to determine whether unauthorized changes have occurred.' links: - href: '#cm-3.7_smt' rel: assessment-for - id: cm-3.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-03(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing system configuration change control configuration management plan change control records system architecture and configuration documentation system configuration settings and associated documentation system audit records system component inventory system security plan other relevant documents or records - id: cm-3.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-03(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with configuration change control responsibilities organizational personnel with security responsibilities system/network administrators members of change control board or similar - id: cm-3.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-03(07)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for configuration change control mechanisms implementing audit records for changes - id: cm-3.8 class: SP800-53-enhancement title: Prevent or Restrict Configuration Changes params: - id: cm-03.08_odp props: - name: alt-identifier value: cm-3.8_prm_1 - name: label value: CM-03(08)_ODP class: sp800-53a label: circumstances guidelines: - prose: the circumstances under which changes are to be prevented or restricted are defined; props: - name: label value: CM-03(08) class: zero-padded - name: label value: CM-3(8) - name: label value: CM-03(08) class: sp800-53a - name: sort-id value: cm-03.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#cm-3' rel: required parts: - id: cm-3.8_smt name: statement prose: 'Prevent or restrict changes to the configuration of the system under the following circumstances: {{ insert: param, cm-03.08_odp }}.' - id: cm-3.8_gdn name: guidance prose: System configuration changes can adversely affect critical system security and privacy functionality. Change restrictions can be enforced through automated mechanisms. - id: cm-3.8_obj name: assessment-objective props: - name: label value: CM-03(08) class: sp800-53a prose: 'changes to the configuration of the system are prevented or restricted under {{ insert: param, cm-03.08_odp }}.' links: - href: '#cm-3.8_smt' rel: assessment-for - id: cm-3.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-03(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing system configuration change control configuration management plan change control records system architecture and configuration documentation system configuration settings and associated documentation system component inventory system audit records system security plan other relevant documents or records - id: cm-4 class: SP800-53 title: Impact Analyses props: - name: label value: CM-04 class: zero-padded - name: label value: CM-4 - name: label value: CM-04 class: sp800-53a - name: sort-id value: cm-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#20db4e66-e257-450c-b2e4-2bb9a62a2c88' rel: reference - href: '#ca-7' rel: related - href: '#cm-3' rel: related - href: '#cm-8' rel: related - href: '#cm-9' rel: related - href: '#ma-2' rel: related - href: '#ra-3' rel: related - href: '#ra-5' rel: related - href: '#ra-8' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-10' rel: related - href: '#si-2' rel: related parts: - id: cm-4_smt name: statement 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: label value: CM-04 class: sp800-53a parts: - id: cm-4_obj-1 name: assessment-objective props: - name: label value: CM-04[01] class: sp800-53a prose: changes to the system are analyzed to determine potential security impacts prior to change implementation; links: - href: '#cm-4_smt' rel: assessment-for - id: cm-4_obj-2 name: assessment-objective props: - name: label value: CM-04[02] class: sp800-53a prose: changes to the system are analyzed to determine potential privacy impacts prior to change implementation. links: - href: '#cm-4_smt' rel: assessment-for links: - href: '#cm-4_smt' rel: assessment-for - id: cm-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-04-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing security impact analyses for changes to the system procedures addressing privacy impact analyses for changes to the system configuration management plan security impact analysis documentation privacy impact analysis documentation privacy impact assessment privacy risk assessment documentation, system design documentation analysis tools and associated outputs change control records system audit records system security plan privacy plan other relevant documents or records - id: cm-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-04-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibility for conducting security impact analyses organizational personnel with responsibility for conducting privacy impact analyses organizational personnel with information security and privacy responsibilities system developer system/network administrators members of change control board or similar - id: cm-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-04-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for security impact analyses organizational processes for privacy impact analyses controls: - id: cm-4.1 class: SP800-53-enhancement title: Separate Test Environments props: - name: label value: CM-04(01) class: zero-padded - name: label value: CM-4(1) - name: label value: CM-04(01) class: sp800-53a - name: sort-id value: cm-04.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cm-4' rel: required - href: '#sa-11' rel: related - href: '#sc-7' rel: related parts: - id: cm-4.1_smt name: statement prose: Analyze changes to the system in a separate test environment before implementation in an operational environment, looking for security and privacy impacts due to flaws, weaknesses, incompatibility, or intentional malice. - id: cm-4.1_gdn name: guidance prose: A separate test environment requires an environment that is physically or logically separate and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment and that information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not implemented, organizations determine the strength of mechanism required when implementing logical separation. - id: cm-4.1_obj name: assessment-objective props: - name: label value: CM-04(01) class: sp800-53a parts: - id: cm-4.1_obj-1 name: assessment-objective props: - name: label value: CM-04(01)[01] class: sp800-53a prose: changes to the system are analyzed in a separate test environment before implementation in an operational environment; links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_obj-2 name: assessment-objective props: - name: label value: CM-04(01)[02] class: sp800-53a prose: changes to the system are analyzed for security impacts due to flaws; links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_obj-3 name: assessment-objective props: - name: label value: CM-04(01)[03] class: sp800-53a prose: changes to the system are analyzed for privacy impacts due to flaws; links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_obj-4 name: assessment-objective props: - name: label value: CM-04(01)[04] class: sp800-53a prose: changes to the system are analyzed for security impacts due to weaknesses; links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_obj-5 name: assessment-objective props: - name: label value: CM-04(01)[05] class: sp800-53a prose: changes to the system are analyzed for privacy impacts due to weaknesses; links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_obj-6 name: assessment-objective props: - name: label value: CM-04(01)[06] class: sp800-53a prose: changes to the system are analyzed for security impacts due to incompatibility; links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_obj-7 name: assessment-objective props: - name: label value: CM-04(01)[07] class: sp800-53a prose: changes to the system are analyzed for privacy impacts due to incompatibility; links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_obj-8 name: assessment-objective props: - name: label value: CM-04(01)[08] class: sp800-53a prose: changes to the system are analyzed for security impacts due to intentional malice; links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_obj-9 name: assessment-objective props: - name: label value: CM-04(01)[09] class: sp800-53a prose: changes to the system are analyzed for privacy impacts due to intentional malice. links: - href: '#cm-4.1_smt' rel: assessment-for links: - href: '#cm-4.1_smt' rel: assessment-for - id: cm-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing security impact analyses for changes to the system procedures addressing privacy impact analyses for changes to the system configuration management plan security impact analysis documentation privacy impact analysis documentation privacy impact assessment privacy risk assessment documentation analysis tools and associated outputs system design documentation system architecture and configuration documentation change control records procedures addressing the authority to test with PII system audit records documentation of separate test and operational environments system security plan privacy plan other relevant documents or records - id: cm-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibility for conducting security and privacy impact analyses organizational personnel with information security and privacy responsibilities system/network administrators members of change control board or similar - id: cm-4.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-04(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for security and privacy impact analyses mechanisms supporting and/or implementing security and privacy impact analyses of changes - id: cm-4.2 class: SP800-53-enhancement title: Verification of Controls props: - name: label value: CM-04(02) class: zero-padded - name: label value: CM-4(2) - name: label value: CM-04(02) class: sp800-53a - name: sort-id value: cm-04.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cm-4' rel: required - href: '#sa-11' rel: related - href: '#sc-3' rel: related - href: '#si-6' rel: related parts: - id: cm-4.2_smt name: statement prose: After system changes, verify that the impacted controls are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security and privacy requirements for the system. - id: cm-4.2_gdn name: guidance prose: Implementation in this context refers to installing changed code in the operational system that may have an impact on security or privacy controls. - id: cm-4.2_obj name: assessment-objective props: - name: label value: CM-04(02) class: sp800-53a parts: - id: cm-4.2_obj-1 name: assessment-objective props: - name: label value: CM-04(02)[01] class: sp800-53a prose: the impacted controls are implemented correctly with regard to meeting the security requirements for the system after system changes; links: - href: '#cm-4.2_smt' rel: assessment-for - id: cm-4.2_obj-2 name: assessment-objective props: - name: label value: CM-04(02)[02] class: sp800-53a prose: the impacted controls are implemented correctly with regard to meeting the privacy requirements for the system after system changes; links: - href: '#cm-4.2_smt' rel: assessment-for - id: cm-4.2_obj-3 name: assessment-objective props: - name: label value: CM-04(02)[03] class: sp800-53a prose: the impacted controls are operating as intended with regard to meeting the security requirements for the system after system changes; links: - href: '#cm-4.2_smt' rel: assessment-for - id: cm-4.2_obj-4 name: assessment-objective props: - name: label value: CM-04(02)[04] class: sp800-53a prose: the impacted controls are operating as intended with regard to meeting the privacy requirements for the system after system changes; links: - href: '#cm-4.2_smt' rel: assessment-for - id: cm-4.2_obj-5 name: assessment-objective props: - name: label value: CM-04(02)[05] class: sp800-53a prose: the impacted controls are producing the desired outcome with regard to meeting the security requirements for the system after system changes; links: - href: '#cm-4.2_smt' rel: assessment-for - id: cm-4.2_obj-6 name: assessment-objective props: - name: label value: CM-04(02)[06] class: sp800-53a prose: the impacted controls are producing the desired outcome with regard to meeting the privacy requirements for the system after system changes. links: - href: '#cm-4.2_smt' rel: assessment-for links: - href: '#cm-4.2_smt' rel: assessment-for - id: cm-4.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-04(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing security impact analyses for changes to the system procedures addressing privacy impact analyses for changes to the system privacy risk assessment documentation configuration management plan security and privacy impact analysis documentation privacy impact assessment analysis tools and associated outputs change control records control assessment results system audit records system component inventory system security plan privacy plan other relevant documents or records - id: cm-4.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-04(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibility for conducting security and privacy impact analyses organizational personnel with information security and privacy responsibilities system/network administrators security and privacy assessors - id: cm-4.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-04(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for security and privacy impact analyses mechanisms supporting and/or implementing security and privacy impact analyses of changes - id: cm-5 class: SP800-53 title: Access Restrictions for Change props: - name: label value: CM-05 class: zero-padded - name: label value: CM-5 - name: label value: CM-05 class: sp800-53a - name: sort-id value: cm-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1' rel: reference - href: '#ac-3' rel: related - href: '#ac-5' rel: related - href: '#ac-6' rel: related - href: '#cm-9' rel: related - href: '#pe-3' rel: related - href: '#sc-28' rel: related - href: '#sc-34' rel: related - href: '#sc-37' rel: related - href: '#si-2' rel: related - href: '#si-10' rel: related parts: - id: cm-5_smt name: statement 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: label value: CM-05 class: sp800-53a parts: - id: cm-5_obj-1 name: assessment-objective props: - name: label value: CM-05[01] class: sp800-53a prose: physical access restrictions associated with changes to the system are defined and documented; links: - href: '#cm-5_smt' rel: assessment-for - id: cm-5_obj-2 name: assessment-objective props: - name: label value: CM-05[02] class: sp800-53a prose: physical access restrictions associated with changes to the system are approved; links: - href: '#cm-5_smt' rel: assessment-for - id: cm-5_obj-3 name: assessment-objective props: - name: label value: CM-05[03] class: sp800-53a prose: physical access restrictions associated with changes to the system are enforced; links: - href: '#cm-5_smt' rel: assessment-for - id: cm-5_obj-4 name: assessment-objective props: - name: label value: CM-05[04] class: sp800-53a prose: logical access restrictions associated with changes to the system are defined and documented; links: - href: '#cm-5_smt' rel: assessment-for - id: cm-5_obj-5 name: assessment-objective props: - name: label value: CM-05[05] class: sp800-53a prose: logical access restrictions associated with changes to the system are approved; links: - href: '#cm-5_smt' rel: assessment-for - id: cm-5_obj-6 name: assessment-objective props: - name: label value: CM-05[06] class: sp800-53a prose: logical access restrictions associated with changes to the system are enforced. links: - href: '#cm-5_smt' rel: assessment-for links: - href: '#cm-5_smt' rel: assessment-for - id: cm-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-05-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing access restrictions for changes to the system configuration management plan system design documentation system architecture and configuration documentation system configuration settings and associated documentation logical access approvals physical access approvals access credentials change control records system audit records system security plan other relevant documents or records - id: cm-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-05-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with logical access control responsibilities organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities system/network administrators - id: cm-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-05-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing access restrictions to change mechanisms supporting, implementing, or enforcing access restrictions associated with changes to the system controls: - id: cm-5.1 class: SP800-53-enhancement title: Automated Access Enforcement and Audit Records params: - id: cm-05.01_odp props: - name: alt-identifier value: cm-5.1_prm_1 - name: label value: CM-05(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: mechanisms used to automate the enforcement of access restrictions are defined; props: - name: label value: CM-05(01) class: zero-padded - name: label value: CM-5(1) - name: label value: CM-05(01) class: sp800-53a - name: sort-id value: cm-05.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#cm-5' rel: required - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#au-12' rel: related - href: '#cm-6' rel: related - href: '#cm-11' rel: related - href: '#si-12' rel: related parts: - id: cm-5.1_smt name: statement parts: - id: cm-5.1_smt.a name: item props: - name: label value: (a) prose: 'Enforce access restrictions using {{ insert: param, cm-05.01_odp }} ; and' - id: cm-5.1_smt.b name: item props: - name: label value: (b) prose: Automatically generate audit records of the enforcement actions. - id: cm-5.1_gdn name: guidance prose: Organizations log system accesses associated with applying configuration changes to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes. - id: cm-5.1_obj name: assessment-objective props: - name: label value: CM-05(01) class: sp800-53a parts: - id: cm-5.1_obj.a name: assessment-objective props: - name: label value: CM-05(01)(a) class: sp800-53a prose: 'access restrictions for change are enforced using {{ insert: param, cm-05.01_odp }};' links: - href: '#cm-5.1_smt.a' rel: assessment-for - id: cm-5.1_obj.b name: assessment-objective props: - name: label value: CM-05(01)(b) class: sp800-53a prose: audit records of enforcement actions are automatically generated. links: - href: '#cm-5.1_smt.b' rel: assessment-for links: - href: '#cm-5.1_smt' rel: assessment-for - id: cm-5.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-05(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing access restrictions for changes to the system system design documentation system architecture and configuration documentation system configuration settings and associated documentation change control records system audit records system security plan other relevant documents or records - id: cm-5.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-05(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with logical access control responsibilities organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities system/network administrators - id: cm-5.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-05(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing access restrictions to change automated mechanisms implementing the enforcement of access restrictions for changes to the system automated mechanisms supporting auditing of enforcement actions - id: cm-5.2 class: SP800-53-enhancement title: Review System Changes props: - name: label value: CM-05(02) class: zero-padded - name: label value: CM-5(2) - name: label value: CM-05(02) class: sp800-53a - name: sort-id value: cm-05.02 - name: status value: withdrawn links: - href: '#cm-3.7' rel: incorporated-into - id: cm-5.3 class: SP800-53-enhancement title: Signed Components props: - name: label value: CM-05(03) class: zero-padded - name: label value: CM-5(3) - name: label value: CM-05(03) class: sp800-53a - name: sort-id value: cm-05.03 - name: status value: withdrawn links: - href: '#cm-14' rel: moved-to - id: cm-5.4 class: SP800-53-enhancement title: Dual Authorization params: - id: cm-5.4_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-05.04_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-05.04_odp.02 label: organization-defined system components and system-level information - id: cm-05.04_odp.01 props: - name: label value: CM-05(04)_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components requiring dual authorization for changes are defined; - id: cm-05.04_odp.02 props: - name: label value: CM-05(04)_ODP[02] class: sp800-53a label: system-level information guidelines: - prose: system-level information requiring dual authorization for changes is defined; props: - name: label value: CM-05(04) class: zero-padded - name: label value: CM-5(4) - name: label value: CM-05(04) class: sp800-53a - name: sort-id value: cm-05.04 - 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: '#cm-5' rel: required - href: '#ac-2' rel: related - href: '#ac-5' rel: related - href: '#cm-3' rel: related parts: - id: cm-5.4_smt name: statement prose: 'Enforce dual authorization for implementing changes to {{ insert: param, cm-5.4_prm_1 }}.' - id: cm-5.4_gdn name: guidance prose: Organizations employ dual authorization to help ensure that any changes to selected system components and information cannot occur unless two qualified individuals approve and implement such changes. The two individuals possess the skills and expertise to determine if the proposed changes are correct implementations of approved changes. The individuals are also accountable for the changes. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. System-level information includes operational procedures. - id: cm-5.4_obj name: assessment-objective props: - name: label value: CM-05(04) class: sp800-53a parts: - id: cm-5.4_obj-1 name: assessment-objective props: - name: label value: CM-05(04)[01] class: sp800-53a prose: 'dual authorization for implementing changes to {{ insert: param, cm-05.04_odp.01 }} is enforced;' links: - href: '#cm-5.4_smt' rel: assessment-for - id: cm-5.4_obj-2 name: assessment-objective props: - name: label value: CM-05(04)[02] class: sp800-53a prose: 'dual authorization for implementing changes to {{ insert: param, cm-05.04_odp.02 }} is enforced.' links: - href: '#cm-5.4_smt' rel: assessment-for links: - href: '#cm-5.4_smt' rel: assessment-for - id: cm-5.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-05(04)-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 change control records system audit records system component inventory system information types information system security plan other relevant documents or records - id: cm-5.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-05(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with dual authorization enforcement responsibilities for implementing system changes organizational personnel with information security responsibilities system/network administrators - id: cm-5.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-05(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing access restrictions to change mechanisms implementing dual authorization enforcement - id: cm-5.5 class: SP800-53-enhancement title: Privilege Limitation for Production and Operation params: - id: cm-5.5_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-05.05_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-05.05_odp.02 label: organization-defined frequency - id: cm-05.05_odp.01 props: - name: label value: CM-05(05)_ODP[01] class: sp800-53a label: frequency guidelines: - prose: frequency at which to review privileges is defined; - id: cm-05.05_odp.02 props: - name: label value: CM-05(05)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: frequency at which to reevaluate privileges is defined; props: - name: label value: CM-05(05) class: zero-padded - name: label value: CM-5(5) - name: label value: CM-05(05) class: sp800-53a - name: sort-id value: cm-05.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-5' rel: required - href: '#ac-2' rel: related parts: - id: cm-5.5_smt name: statement parts: - id: cm-5.5_smt.a name: item props: - name: label value: (a) prose: Limit privileges to change system components and system-related information within a production or operational environment; and - id: cm-5.5_smt.b name: item props: - name: label value: (b) prose: 'Review and reevaluate privileges {{ insert: param, cm-5.5_prm_1 }}.' - id: cm-5.5_gdn name: guidance prose: In many organizations, systems support multiple mission and business functions. Limiting privileges to change system components with respect to operational systems is necessary because changes to a system component may have far-reaching effects on mission and business processes supported by the system. The relationships between systems and mission/business processes are, in some cases, unknown to developers. System-related information includes operational procedures. - id: cm-5.5_obj name: assessment-objective props: - name: label value: CM-05(05) class: sp800-53a parts: - id: cm-5.5_obj.a name: assessment-objective props: - name: label value: CM-05(05)(a) class: sp800-53a parts: - id: cm-5.5_obj.a-1 name: assessment-objective props: - name: label value: CM-05(05)(a)[01] class: sp800-53a prose: privileges to change system components within a production or operational environment are limited; links: - href: '#cm-5.5_smt.a' rel: assessment-for - id: cm-5.5_obj.a-2 name: assessment-objective props: - name: label value: CM-05(05)(a)[02] class: sp800-53a prose: privileges to change system-related information within a production or operational environment are limited; links: - href: '#cm-5.5_smt.a' rel: assessment-for links: - href: '#cm-5.5_smt.a' rel: assessment-for - id: cm-5.5_obj.b name: assessment-objective props: - name: label value: CM-05(05)(b) class: sp800-53a parts: - id: cm-5.5_obj.b-1 name: assessment-objective props: - name: label value: CM-05(05)(b)[01] class: sp800-53a prose: 'privileges are reviewed {{ insert: param, cm-05.05_odp.01 }};' links: - href: '#cm-5.5_smt.b' rel: assessment-for - id: cm-5.5_obj.b-2 name: assessment-objective props: - name: label value: CM-05(05)(b)[02] class: sp800-53a prose: 'privileges are reevaluated {{ insert: param, cm-05.05_odp.02 }}.' links: - href: '#cm-5.5_smt.b' rel: assessment-for links: - href: '#cm-5.5_smt.b' rel: assessment-for links: - href: '#cm-5.5_smt' rel: assessment-for - id: cm-5.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-05(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing access restrictions for changes to the system configuration management plan system design documentation system architecture and configuration documentation system configuration settings and associated documentation user privilege reviews user privilege recertifications system component inventory change control records system audit records system security plan other relevant documents or records - id: cm-5.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-05(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security responsibilities system/network administrators - id: cm-5.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-05(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing access restrictions to change mechanisms supporting and/or implementing access restrictions for change - id: cm-5.6 class: SP800-53-enhancement title: Limit Library Privileges props: - name: label value: CM-05(06) class: zero-padded - name: label value: CM-5(6) - name: label value: CM-05(06) class: sp800-53a - name: sort-id value: cm-05.06 - 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: '#cm-5' rel: required - href: '#ac-2' rel: related parts: - id: cm-5.6_smt name: statement prose: Limit privileges to change software resident within software libraries. - id: cm-5.6_gdn name: guidance prose: Software libraries include privileged programs. - id: cm-5.6_obj name: assessment-objective props: - name: label value: CM-05(06) class: sp800-53a prose: privileges to change software resident within software libraries are limited. links: - href: '#cm-5.6_smt' rel: assessment-for - id: cm-5.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-05(06)-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 system component inventory change control records system audit records system security plan other relevant documents or records - id: cm-5.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-05(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security responsibilities system/network administrators - id: cm-5.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-05(06)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing access restrictions to change mechanisms supporting and/or implementing access restrictions for change - id: cm-5.7 class: SP800-53-enhancement title: Automatic Implementation of Security Safeguards props: - name: label value: CM-05(07) class: zero-padded - name: label value: CM-5(7) - name: label value: CM-05(07) class: sp800-53a - name: sort-id value: cm-05.07 - name: status value: withdrawn links: - href: '#si-7' rel: incorporated-into - 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: label value: CM-06 class: zero-padded - name: label value: CM-6 - name: label value: CM-06 class: sp800-53a - name: sort-id value: cm-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#4895b4cd-34c5-4667-bf8a-27d443c12047' rel: reference - href: '#8016d2ed-d30f-4416-9c45-0f42c7aa3232' rel: reference - href: '#20db4e66-e257-450c-b2e4-2bb9a62a2c88' rel: reference - href: '#98498928-3ca3-44b3-8b1e-f48685373087' rel: reference - href: '#d744d9a3-73eb-4085-b9ff-79e82e9e2d6e' rel: reference - href: '#aa66e14f-e7cb-4a37-99d2-07578dfd4608' rel: reference - href: '#ac-3' rel: related - href: '#ac-19' rel: related - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#ca-9' rel: related - href: '#cm-2' rel: related - href: '#cm-3' rel: related - href: '#cm-5' rel: related - href: '#cm-7' rel: related - href: '#cm-11' rel: related - href: '#cp-7' rel: related - href: '#cp-9' rel: related - href: '#cp-10' rel: related - href: '#ia-3' rel: related - href: '#ia-5' rel: related - href: '#pl-8' rel: related - href: '#pl-9' rel: related - href: '#ra-5' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: '#sc-18' rel: related - href: '#sc-28' rel: related - href: '#sc-43' rel: related - href: '#si-2' rel: related - href: '#si-4' rel: related - href: '#si-6' rel: related parts: - id: cm-6_smt name: statement parts: - id: cm-6_smt.a name: item props: - name: 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: label value: b. prose: Implement the configuration settings; - id: cm-6_smt.c name: item props: - 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: 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_obj name: assessment-objective props: - name: label value: CM-06 class: sp800-53a parts: - id: cm-6_obj.a name: assessment-objective props: - 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: 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: 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: label value: CM-06d. class: sp800-53a parts: - id: cm-6_obj.d-1 name: assessment-objective props: - name: label value: CM-06d.[01] class: sp800-53a prose: changes to the configuration settings are monitored in accordance with organizational policies and procedures; links: - href: '#cm-6_smt.d' rel: assessment-for - id: cm-6_obj.d-2 name: assessment-objective props: - name: label value: CM-06d.[02] class: sp800-53a prose: changes to the configuration settings are controlled in accordance with organizational policies and procedures. links: - href: '#cm-6_smt.d' rel: assessment-for links: - href: '#cm-6_smt.d' rel: assessment-for links: - href: '#cm-6_smt' rel: assessment-for - id: cm-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-06-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing configuration settings for the system configuration management plan system design documentation system configuration settings and associated documentation common secure configuration checklists system component inventory evidence supporting approved deviations from established configuration settings change control records system data processing and retention permissions system audit records system security plan privacy plan other relevant documents or records - id: cm-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-06-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with security configuration management responsibilities organizational personnel with privacy configuration management responsibilities organizational personnel with information security and privacy responsibilities system/network administrators - id: cm-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-06-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing configuration settings mechanisms that implement, monitor, and/or control system configuration settings mechanisms that identify and/or document deviations from established configuration settings controls: - id: cm-6.1 class: SP800-53-enhancement title: Automated Management, Application, and Verification params: - id: cm-6.1_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-06.01_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-06.01_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-06.01_odp.04 label: organization-defined automated mechanisms - id: cm-06.01_odp.01 props: - name: alt-identifier value: cm-6.1_prm_1 - name: label value: CM-06(01)_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components for which to manage, apply, and verify configuration settings are defined; - id: cm-06.01_odp.02 props: - name: label value: CM-06(01)_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms to manage configuration settings are defined; - id: cm-06.01_odp.03 props: - name: label value: CM-06(01)_ODP[03] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms to apply configuration settings are defined; - id: cm-06.01_odp.04 props: - name: label value: CM-06(01)_ODP[04] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms to verify configuration settings are defined; props: - name: label value: CM-06(01) class: zero-padded - name: label value: CM-6(1) - name: label value: CM-06(01) class: sp800-53a - name: sort-id value: cm-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-6' rel: required - href: '#ca-7' rel: related parts: - id: cm-6.1_smt name: statement prose: 'Manage, apply, and verify configuration settings for {{ insert: param, cm-06.01_odp.01 }} using {{ insert: param, cm-6.1_prm_2 }}.' - id: cm-6.1_gdn name: guidance prose: Automated tools (e.g., hardening tools, baseline configuration tools) can improve the accuracy, consistency, and availability of configuration settings information. Automation can also provide data aggregation and data correlation capabilities, alerting mechanisms, and dashboards to support risk-based decision-making within the organization. - id: cm-6.1_obj name: assessment-objective props: - name: label value: CM-06(01) class: sp800-53a parts: - id: cm-6.1_obj-1 name: assessment-objective props: - name: label value: CM-06(01)[01] class: sp800-53a prose: 'configuration settings for {{ insert: param, cm-06.01_odp.01 }} are managed using {{ insert: param, cm-06.01_odp.02 }};' links: - href: '#cm-6.1_smt' rel: assessment-for - id: cm-6.1_obj-2 name: assessment-objective props: - name: label value: CM-06(01)[02] class: sp800-53a prose: 'configuration settings for {{ insert: param, cm-06.01_odp.01 }} are applied using {{ insert: param, cm-06.01_odp.03 }};' links: - href: '#cm-6.1_smt' rel: assessment-for - id: cm-6.1_obj-3 name: assessment-objective props: - name: label value: CM-06(01)[03] class: sp800-53a prose: 'configuration settings for {{ insert: param, cm-06.01_odp.01 }} are verified using {{ insert: param, cm-06.01_odp.04 }}.' links: - href: '#cm-6.1_smt' rel: assessment-for links: - href: '#cm-6.1_smt' rel: assessment-for - id: cm-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-06(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing configuration settings for the system configuration management plan system design documentation system configuration settings and associated documentation system component inventory common secure configuration checklists change control records system audit records system security plan privacy plan other relevant documents or records - id: cm-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-06(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with security configuration management responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: cm-6.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-06(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing configuration settings automated mechanisms implemented to manage, apply, and verify system configuration settings - id: cm-6.2 class: SP800-53-enhancement title: Respond to Unauthorized Changes params: - id: cm-06.02_odp.01 props: - name: alt-identifier value: cm-6.2_prm_2 - name: label value: CM-06(02)_ODP[01] class: sp800-53a label: actions guidelines: - prose: actions to be taken upon an unauthorized change are defined; - id: cm-06.02_odp.02 props: - name: alt-identifier value: cm-6.2_prm_1 - name: label value: CM-06(02)_ODP[02] class: sp800-53a label: configuration settings guidelines: - prose: configuration settings requiring action upon an unauthorized change are defined; props: - name: label value: CM-06(02) class: zero-padded - name: label value: CM-6(2) - name: label value: CM-06(02) class: sp800-53a - name: sort-id value: cm-06.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-6' rel: required - href: '#ir-4' rel: related - href: '#ir-6' rel: related - href: '#si-7' rel: related parts: - id: cm-6.2_smt name: statement prose: 'Take the following actions in response to unauthorized changes to {{ insert: param, cm-06.02_odp.02 }}: {{ insert: param, cm-06.02_odp.01 }}.' - id: cm-6.2_gdn name: guidance prose: Responses to unauthorized changes to configuration settings include alerting designated organizational personnel, restoring established configuration settings, or—in extreme cases—halting affected system processing. - id: cm-6.2_obj name: assessment-objective props: - name: label value: CM-06(02) class: sp800-53a prose: '{{ insert: param, cm-06.02_odp.01 }} are taken in response to unauthorized changes to {{ insert: param, cm-06.02_odp.02 }}.' links: - href: '#cm-6.2_smt' rel: assessment-for - id: cm-6.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-06(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System security plan privacy plan configuration management policy procedures addressing configuration settings for the system configuration management plan system design documentation system configuration settings and associated documentation alerts/notifications of unauthorized changes to system configuration settings system component inventory documented responses to unauthorized changes to system configuration settings change control records system audit records other relevant documents or records - id: cm-6.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-06(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with security configuration management responsibilities organizational personnel with security and privacy responsibilities system/network administrators - id: cm-6.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-06(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational process for responding to unauthorized changes to system configuration settings mechanisms supporting and/or implementing actions in response to unauthorized changes - id: cm-6.3 class: SP800-53-enhancement title: Unauthorized Change Detection props: - name: label value: CM-06(03) class: zero-padded - name: label value: CM-6(3) - name: label value: CM-06(03) class: sp800-53a - name: sort-id value: cm-06.03 - name: status value: withdrawn links: - href: '#si-7' rel: incorporated-into - id: cm-6.4 class: SP800-53-enhancement title: Conformance Demonstration props: - name: label value: CM-06(04) class: zero-padded - name: label value: CM-6(4) - name: label value: CM-06(04) class: sp800-53a - name: sort-id value: cm-06.04 - name: status value: withdrawn links: - href: '#cm-4' rel: incorporated-into - 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: label value: CM-07 class: zero-padded - name: label value: CM-7 - name: label value: CM-07 class: sp800-53a - name: sort-id value: cm-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#eea3c092-42ed-4382-a6f4-1adadef01b9d' rel: reference - href: '#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1' rel: reference - href: '#a295ca19-8c75-4b4c-8800-98024732e181' rel: reference - href: '#38f39739-1ebd-43b1-8b8c-00f591d89ebd' rel: reference - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#cm-2' rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: '#cm-11' rel: related - href: '#ra-5' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: '#sa-15' rel: related - href: '#sc-2' rel: related - href: '#sc-3' rel: related - href: '#sc-7' rel: related - href: '#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: 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: label value: b. prose: 'Prohibit or restrict the use of the following functions, ports, protocols, software, and/or services: {{ insert: param, cm-7_prm_2 }}.' - id: cm-7_gdn name: guidance prose: Systems provide a wide variety of functions and services. Some of the functions and services routinely provided by default may not be necessary to support essential organizational missions, functions, or operations. Additionally, it is sometimes convenient to provide multiple services from a single system component, but doing so increases risk over limiting the services provided by that single component. Where feasible, organizations limit component functionality to a single function per component. Organizations consider removing unused or unnecessary software and disabling unused or unnecessary physical and logical ports and protocols to prevent unauthorized connection of components, transfer of information, and tunneling. Organizations employ network scanning tools, intrusion detection and prevention systems, and end-point protection technologies, such as firewalls and host-based intrusion detection systems, to identify and prevent the use of prohibited functions, protocols, ports, and services. Least functionality can also be achieved as part of the fundamental design and development of the system (see [SA-8](#sa-8), [SC-2](#sc-2) , and [SC-3](#sc-3)). - id: cm-7_obj name: assessment-objective props: - name: label value: CM-07 class: sp800-53a parts: - id: cm-7_obj.a name: assessment-objective props: - 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: label value: CM-07b. class: sp800-53a parts: - id: cm-7_obj.b-1 name: assessment-objective props: - name: label value: CM-07b.[01] class: sp800-53a prose: 'the use of {{ insert: param, cm-07_odp.02 }} is prohibited or restricted;' links: - href: '#cm-7_smt.b' rel: assessment-for - id: cm-7_obj.b-2 name: assessment-objective props: - name: label value: CM-07b.[02] class: sp800-53a prose: 'the use of {{ insert: param, cm-07_odp.03 }} is prohibited or restricted;' links: - href: '#cm-7_smt.b' rel: assessment-for - id: cm-7_obj.b-3 name: assessment-objective props: - name: label value: CM-07b.[03] class: sp800-53a prose: 'the use of {{ insert: param, cm-07_odp.04 }} is prohibited or restricted;' links: - href: '#cm-7_smt.b' rel: assessment-for - id: cm-7_obj.b-4 name: assessment-objective props: - name: label value: CM-07b.[04] class: sp800-53a prose: 'the use of {{ insert: param, cm-07_odp.05 }} is prohibited or restricted;' links: - href: '#cm-7_smt.b' rel: assessment-for - id: cm-7_obj.b-5 name: assessment-objective props: - name: label value: CM-07b.[05] class: sp800-53a prose: 'the use of {{ insert: param, cm-07_odp.06 }} is prohibited or restricted.' links: - href: '#cm-7_smt.b' rel: assessment-for links: - href: '#cm-7_smt.b' rel: assessment-for links: - href: '#cm-7_smt' rel: assessment-for - id: cm-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-07-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing least functionality in the system configuration management plan system design documentation system configuration settings and associated documentation system component inventory common secure configuration checklists system security plan other relevant documents or records - id: cm-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-07-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with security configuration management responsibilities organizational personnel with information security responsibilities system/network administrators system developers - id: cm-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-07-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes prohibiting or restricting functions, ports, protocols, software, and/or services mechanisms implementing restrictions or prohibition of functions, ports, protocols, software, and/or services controls: - id: cm-7.1 class: SP800-53-enhancement title: Periodic Review params: - id: cm-7.1_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-07.01_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-07.01_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-07.01_odp.04 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-07.01_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-07.01_odp.06 label: organization-defined functions, ports, protocols, software, and services within the system deemed to be unnecessary and/or nonsecure - id: cm-07.01_odp.01 props: - name: alt-identifier value: cm-7.1_prm_1 - name: label value: CM-07(01)_ODP[01] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to review the system to identify unnecessary and/or non-secure functions, ports, protocols, software, and/or services is defined; - id: cm-07.01_odp.02 props: - name: label value: CM-07(01)_ODP[02] class: sp800-53a label: functions guidelines: - prose: functions to be disabled or removed when deemed unnecessary or non-secure are defined; - id: cm-07.01_odp.03 props: - name: label value: CM-07(01)_ODP[03] class: sp800-53a label: ports guidelines: - prose: ports to be disabled or removed when deemed unnecessary or non-secure are defined; - id: cm-07.01_odp.04 props: - name: label value: CM-07(01)_ODP[04] class: sp800-53a label: protocols guidelines: - prose: protocols to be disabled or removed when deemed unnecessary or non-secure are defined; - id: cm-07.01_odp.05 props: - name: label value: CM-07(01)_ODP[05] class: sp800-53a label: software guidelines: - prose: software to be disabled or removed when deemed unnecessary or non-secure is defined; - id: cm-07.01_odp.06 props: - name: label value: CM-07(01)_ODP[06] class: sp800-53a label: services guidelines: - prose: services to be disabled or removed when deemed unnecessary or non-secure are defined; props: - name: label value: CM-07(01) class: zero-padded - name: label value: CM-7(1) - name: label value: CM-07(01) class: sp800-53a - name: sort-id value: cm-07.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#cm-7' rel: required - href: '#ac-18' rel: related parts: - id: cm-7.1_smt name: statement parts: - id: cm-7.1_smt.a name: item props: - name: label value: (a) prose: 'Review the system {{ insert: param, cm-07.01_odp.01 }} to identify unnecessary and/or nonsecure functions, ports, protocols, software, and services; and' - id: cm-7.1_smt.b name: item props: - name: label value: (b) prose: 'Disable or remove {{ insert: param, cm-7.1_prm_2 }}.' - id: cm-7.1_gdn name: guidance prose: Organizations review functions, ports, protocols, and services provided by systems or system components to determine the functions and services that are candidates for elimination. Such reviews are especially important during transition periods from older technologies to newer technologies (e.g., transition from IPv4 to IPv6). These technology transitions may require implementing the older and newer technologies simultaneously during the transition period and returning to minimum essential functions, ports, protocols, and services at the earliest opportunity. Organizations can either decide the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Unsecure protocols include Bluetooth, FTP, and peer-to-peer networking. - id: cm-7.1_obj name: assessment-objective props: - name: label value: CM-07(01) class: sp800-53a parts: - id: cm-7.1_obj.a name: assessment-objective props: - name: label value: CM-07(01)(a) class: sp800-53a prose: 'the system is reviewed {{ insert: param, cm-07.01_odp.01 }} to identify unnecessary and/or non-secure functions, ports, protocols, software, and services:' links: - href: '#cm-7.1_smt.a' rel: assessment-for - id: cm-7.1_obj.b name: assessment-objective props: - name: label value: CM-07(01)(b) class: sp800-53a parts: - id: cm-7.1_obj.b-1 name: assessment-objective props: - name: label value: CM-07(01)(b)[01] class: sp800-53a prose: '{{ insert: param, cm-07.01_odp.02 }} deemed to be unnecessary and/or non-secure are disabled or removed;' links: - href: '#cm-7.1_smt.b' rel: assessment-for - id: cm-7.1_obj.b-2 name: assessment-objective props: - name: label value: CM-07(01)(b)[02] class: sp800-53a prose: '{{ insert: param, cm-07.01_odp.03 }} deemed to be unnecessary and/or non-secure are disabled or removed;' links: - href: '#cm-7.1_smt.b' rel: assessment-for - id: cm-7.1_obj.b-3 name: assessment-objective props: - name: label value: CM-07(01)(b)[03] class: sp800-53a prose: '{{ insert: param, cm-07.01_odp.04 }} deemed to be unnecessary and/or non-secure are disabled or removed;' links: - href: '#cm-7.1_smt.b' rel: assessment-for - id: cm-7.1_obj.b-4 name: assessment-objective props: - name: label value: CM-07(01)(b)[04] class: sp800-53a prose: '{{ insert: param, cm-07.01_odp.05 }} deemed to be unnecessary and/or non-secure is disabled or removed;' links: - href: '#cm-7.1_smt.b' rel: assessment-for - id: cm-7.1_obj.b-5 name: assessment-objective props: - name: label value: CM-07(01)(b)[05] class: sp800-53a prose: '{{ insert: param, cm-07.01_odp.06 }} deemed to be unnecessary and/or non-secure are disabled or removed.' links: - href: '#cm-7.1_smt.b' rel: assessment-for links: - href: '#cm-7.1_smt.b' rel: assessment-for links: - href: '#cm-7.1_smt' rel: assessment-for - id: cm-7.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-07(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing least functionality in the system configuration management plan system design documentation system configuration settings and associated documentation common secure configuration checklists documented reviews of functions, ports, protocols, and/or services change control records system audit records system security plan other relevant documents or records - id: cm-7.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-07(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the system organizational personnel with information security responsibilities system/network administrators system developers - id: cm-7.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-07(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for reviewing or disabling functions, ports, protocols, and services on the system mechanisms implementing review and disabling of functions, ports, protocols, and/or services - id: cm-7.2 class: SP800-53-enhancement title: Prevent Program Execution params: - id: cm-07.02_odp.01 props: - name: alt-identifier value: cm-7.2_prm_1 - name: label value: CM-07(02)_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - '{{ insert: param, cm-07.02_odp.02 }} ' - rules authorizing the terms and conditions of software program usage - id: cm-07.02_odp.02 props: - name: alt-identifier value: cm-7.2_prm_2 - name: label value: CM-07(02)_ODP[02] class: sp800-53a label: policies, rules of behavior, and/or access agreements regarding software program usage and restrictions guidelines: - prose: policies, rules of behavior, and/or access agreements regarding software program usage and restrictions are defined (if selected); props: - name: label value: CM-07(02) class: zero-padded - name: label value: CM-7(2) - name: label value: CM-07(02) class: sp800-53a - name: sort-id value: cm-07.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#cm-7' rel: required - href: '#cm-8' rel: related - href: '#pl-4' rel: related - href: '#pl-9' rel: related - href: '#pm-5' rel: related - href: '#ps-6' rel: related parts: - id: cm-7.2_smt name: statement prose: 'Prevent program execution in accordance with {{ insert: param, cm-07.02_odp.01 }}.' - id: cm-7.2_gdn name: guidance prose: Prevention of program execution addresses organizational policies, rules of behavior, and/or access agreements that restrict software usage and the terms and conditions imposed by the developer or manufacturer, including software licensing and copyrights. Restrictions include prohibiting auto-execute features, restricting roles allowed to approve program execution, permitting or prohibiting specific software programs, or restricting the number of program instances executed at the same time. - id: cm-7.2_obj name: assessment-objective props: - name: label value: CM-07(02) class: sp800-53a prose: 'program execution is prevented in accordance with {{ insert: param, cm-07.02_odp.01 }}.' links: - href: '#cm-7.2_smt' rel: assessment-for - id: cm-7.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-07(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing least functionality in the system configuration management plan system design documentation system configuration settings and associated documentation system component inventory common secure configuration checklists specifications for preventing software program execution change control records system audit records system security plan other relevant documents or records - id: cm-7.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-07(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security responsibilities system/network administrators system developers - id: cm-7.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-07(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes preventing program execution on the system organizational processes for software program usage and restrictions mechanisms preventing program execution on the system mechanisms supporting and/or implementing software program usage and restrictions - id: cm-7.3 class: SP800-53-enhancement title: Registration Compliance params: - id: cm-07.03_odp props: - name: alt-identifier value: cm-7.3_prm_1 - name: alt-label value: registration requirements for functions, ports, protocols, and services class: sp800-53 - name: label value: CM-07(03)_ODP class: sp800-53a label: registration requirements guidelines: - prose: registration requirements for functions, ports, protocols, and services are defined; props: - name: label value: CM-07(03) class: zero-padded - name: label value: CM-7(3) - name: label value: CM-07(03) class: sp800-53a - name: sort-id value: cm-07.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-7' rel: required parts: - id: cm-7.3_smt name: statement prose: 'Ensure compliance with {{ insert: param, cm-07.03_odp }}.' - id: cm-7.3_gdn name: guidance prose: Organizations use the registration process to manage, track, and provide oversight for systems and implemented functions, ports, protocols, and services. - id: cm-7.3_obj name: assessment-objective props: - name: label value: CM-07(03) class: sp800-53a prose: '{{ insert: param, cm-07.03_odp }} are complied with.' links: - href: '#cm-7.3_smt' rel: assessment-for - id: cm-7.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-07(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System security plan configuration management policy procedures addressing least functionality in the system configuration management plan system configuration settings and associated documentation system component inventory audit and compliance reviews system audit records other relevant documents or records - id: cm-7.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-07(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with security responsibilities system/network administrators system developers - id: cm-7.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-07(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes ensuring compliance with registration requirements for functions, ports, protocols, and/or services mechanisms implementing compliance with registration requirements for functions, ports, protocols, and/or services - id: cm-7.4 class: SP800-53-enhancement title: Unauthorized Software — Deny-by-exception params: - id: cm-07.04_odp.01 props: - name: alt-identifier value: cm-7.4_prm_1 - name: alt-label value: software programs not authorized to execute on the system class: sp800-53 - name: label value: CM-07(04)_ODP[01] class: sp800-53a label: software programs guidelines: - prose: software programs not authorized to execute on the system are defined; - id: cm-07.04_odp.02 props: - name: alt-identifier value: cm-7.4_prm_2 - name: label value: CM-07(04)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: frequency at which to review and update the list of unauthorized software programs is defined; props: - name: label value: CM-07(04) class: zero-padded - name: label value: CM-7(4) - name: label value: CM-07(04) class: sp800-53a - name: sort-id value: cm-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 links: - href: '#cm-7' rel: required - href: '#cm-6' rel: related - href: '#cm-8' rel: related - href: '#cm-10' rel: related - href: '#pl-9' rel: related - href: '#pm-5' rel: related parts: - id: cm-7.4_smt name: statement parts: - id: cm-7.4_smt.a name: item props: - name: label value: (a) prose: 'Identify {{ insert: param, cm-07.04_odp.01 }};' - id: cm-7.4_smt.b name: item props: - name: label value: (b) prose: Employ an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the system; and - id: cm-7.4_smt.c name: item props: - name: label value: (c) prose: 'Review and update the list of unauthorized software programs {{ insert: param, cm-07.04_odp.02 }}.' - id: cm-7.4_gdn name: guidance prose: Unauthorized software programs can be limited to specific versions or from a specific source. The concept of prohibiting the execution of unauthorized software may also be applied to user actions, system ports and protocols, IP addresses/ranges, websites, and MAC addresses. - id: cm-7.4_obj name: assessment-objective props: - name: label value: CM-07(04) class: sp800-53a parts: - id: cm-7.4_obj.a name: assessment-objective props: - name: label value: CM-07(04)(a) class: sp800-53a prose: '{{ insert: param, cm-07.04_odp.01 }} are identified;' links: - href: '#cm-7.4_smt.a' rel: assessment-for - id: cm-7.4_obj.b name: assessment-objective props: - name: label value: CM-07(04)(b) class: sp800-53a prose: an allow-all, deny-by-exception policy is employed to prohibit the execution of unauthorized software programs on the system; links: - href: '#cm-7.4_smt.b' rel: assessment-for - id: cm-7.4_obj.c name: assessment-objective props: - name: label value: CM-07(04)(c) class: sp800-53a prose: 'the list of unauthorized software programs is reviewed and updated {{ insert: param, cm-07.04_odp.02 }}.' links: - href: '#cm-7.4_smt.c' rel: assessment-for links: - href: '#cm-7.4_smt' rel: assessment-for - id: cm-7.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-07(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing least functionality in the system configuration management plan system design documentation system configuration settings and associated documentation list of software programs not authorized to execute on the system system component inventory common secure configuration checklists review and update records associated with list of unauthorized software programs change control records system audit records system security plan other relevant documents or records - id: cm-7.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-07(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for identifying software not authorized to execute on the system organizational personnel with information security responsibilities system/network administrators - id: cm-7.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-07(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational process for identifying, reviewing, and updating programs not authorized to execute on the system organizational process for implementing unauthorized software policy mechanisms supporting and/or implementing unauthorized software policy - id: cm-7.5 class: SP800-53-enhancement title: Authorized Software — Allow-by-exception params: - id: cm-07.05_odp.01 props: - name: alt-identifier value: cm-7.5_prm_1 - name: alt-label value: software programs authorized to execute on the system class: sp800-53 - name: label value: CM-07(05)_ODP[01] class: sp800-53a label: software programs guidelines: - prose: software programs authorized to execute on the system are defined; - id: cm-07.05_odp.02 props: - name: alt-identifier value: cm-7.5_prm_2 - name: label value: CM-07(05)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: frequency at which to review and update the list of authorized software programs is defined; props: - name: label value: CM-07(05) class: zero-padded - name: label value: CM-7(5) - name: label value: CM-07(05) class: sp800-53a - name: sort-id value: cm-07.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#cm-7' rel: required - href: '#cm-2' rel: related - href: '#cm-6' rel: related - href: '#cm-8' rel: related - href: '#cm-10' rel: related - href: '#pl-9' rel: related - href: '#pm-5' rel: related - href: '#sa-10' rel: related - href: '#sc-34' rel: related - href: '#si-7' rel: related parts: - id: cm-7.5_smt name: statement parts: - id: cm-7.5_smt.a name: item props: - name: label value: (a) prose: 'Identify {{ insert: param, cm-07.05_odp.01 }};' - id: cm-7.5_smt.b name: item props: - name: label value: (b) prose: Employ a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system; and - id: cm-7.5_smt.c name: item props: - name: label value: (c) prose: 'Review and update the list of authorized software programs {{ insert: param, cm-07.05_odp.02 }}.' - id: cm-7.5_gdn name: guidance prose: Authorized software programs can be limited to specific versions or from a specific source. To facilitate a comprehensive authorized software process and increase the strength of protection for attacks that bypass application level authorized software, software programs may be decomposed into and monitored at different levels of detail. These levels include applications, application programming interfaces, application modules, scripts, system processes, system services, kernel functions, registries, drivers, and dynamic link libraries. The concept of permitting the execution of authorized software may also be applied to user actions, system ports and protocols, IP addresses/ranges, websites, and MAC addresses. Organizations consider verifying the integrity of authorized software programs using digital signatures, cryptographic checksums, or hash functions. Verification of authorized software can occur either prior to execution or at system startup. The identification of authorized URLs for websites is addressed in [CA-3(5)](#ca-3.5) and [SC-7](#sc-7). - id: cm-7.5_obj name: assessment-objective props: - name: label value: CM-07(05) class: sp800-53a parts: - id: cm-7.5_obj.a name: assessment-objective props: - name: label value: CM-07(05)(a) class: sp800-53a prose: '{{ insert: param, cm-07.05_odp.01 }} are identified;' links: - href: '#cm-7.5_smt.a' rel: assessment-for - id: cm-7.5_obj.b name: assessment-objective props: - name: label value: CM-07(05)(b) class: sp800-53a prose: a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system is employed; links: - href: '#cm-7.5_smt.b' rel: assessment-for - id: cm-7.5_obj.c name: assessment-objective props: - name: label value: CM-07(05)(c) class: sp800-53a prose: 'the list of authorized software programs is reviewed and updated {{ insert: param, cm-07.05_odp.02 }}.' links: - href: '#cm-7.5_smt.c' rel: assessment-for links: - href: '#cm-7.5_smt' rel: assessment-for - id: cm-7.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-07(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing least functionality in the system configuration management plan system design documentation system configuration settings and associated documentation list of software programs authorized to execute on the system system component inventory common secure configuration checklists review and update records associated with list of authorized software programs change control records system audit records system security plan other relevant documents or records - id: cm-7.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-07(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for identifying software authorized to execute on the system organizational personnel with information security responsibilities system/network administrators - id: cm-7.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-07(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational process for identifying, reviewing, and updating programs authorized to execute on the system organizational process for implementing authorized software policy mechanisms supporting and/or implementing authorized software policy - id: cm-7.6 class: SP800-53-enhancement title: Confined Environments with Limited Privileges params: - id: cm-07.06_odp props: - name: alt-identifier value: cm-7.6_prm_1 - name: label value: CM-07(06)_ODP class: sp800-53a label: user-installed software guidelines: - prose: user-installed software required to be executed in a confined environment is defined; props: - name: label value: CM-07(06) class: zero-padded - name: label value: CM-7(6) - name: label value: CM-07(06) class: sp800-53a - name: sort-id value: cm-07.06 - 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: '#cm-7' rel: required - href: '#cm-11' rel: related - href: '#sc-44' rel: related parts: - id: cm-7.6_smt name: statement prose: 'Require that the following user-installed software execute in a confined physical or virtual machine environment with limited privileges: {{ insert: param, cm-07.06_odp }}.' - id: cm-7.6_gdn name: guidance prose: Organizations identify software that may be of concern regarding its origin or potential for containing malicious code. For this type of software, user installations occur in confined environments of operation to limit or contain damage from malicious code that may be executed. - id: cm-7.6_obj name: assessment-objective props: - name: label value: CM-07(06) class: sp800-53a prose: '{{ insert: param, cm-07.06_odp }} is required to be executed in a confined physical or virtual machine environment with limited privileges.' links: - href: '#cm-7.6_smt' rel: assessment-for - id: cm-7.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-07(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing least functionality in the system configuration management plan system design documentation system configuration settings and associated documentation list or record of software required to execute in a confined environment system component inventory common secure configuration checklists system audit records system security plan other relevant documents or records - id: cm-7.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-07(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for identifying and/or managing user-installed software and associated privileges organizational personnel with information security responsibilities system/network administrators - id: cm-7.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-07(06)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational process for identifying user-installed software required to execute in a confined environment mechanisms supporting and/or implementing the confinement of user-installed software to physical or virtual machine environments mechanisms supporting and/or implementing privilege limitations on user-installed software - id: cm-7.7 class: SP800-53-enhancement title: Code Execution in Protected Environments params: - id: cm-07.07_odp props: - name: alt-identifier value: cm-7.7_prm_1 - name: label value: CM-07(07)_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to explicitly approve execution of binary or machine-executable code is/are defined; props: - name: label value: CM-07(07) class: zero-padded - name: label value: CM-7(7) - name: label value: CM-07(07) class: sp800-53a - name: sort-id value: cm-07.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cm-7' rel: required - href: '#cm-10' rel: related - href: '#sc-44' rel: related parts: - id: cm-7.7_smt name: statement prose: 'Allow execution of binary or machine-executable code only in confined physical or virtual machine environments and with the explicit approval of {{ insert: param, cm-07.07_odp }} when such code is:' parts: - id: cm-7.7_smt.a name: item props: - name: label value: (a) prose: Obtained from sources with limited or no warranty; and/or - id: cm-7.7_smt.b name: item props: - name: label value: (b) prose: Without the provision of source code. - id: cm-7.7_gdn name: guidance prose: Code execution in protected environments applies to all sources of binary or machine-executable code, including commercial software and firmware and open-source software. - id: cm-7.7_obj name: assessment-objective props: - name: label value: CM-07(07) class: sp800-53a prose: the execution of binary or machine-executable code is only allowed in confined physical or virtual machine environments; parts: - id: cm-7.7_obj.a name: assessment-objective props: - name: label value: CM-07(07)(a) class: sp800-53a prose: 'the execution of binary or machine-executable code obtained from sources with limited or no warranty is only allowed with the explicit approval of {{ insert: param, cm-07.07_odp }};' links: - href: '#cm-7.7_smt.a' rel: assessment-for - id: cm-7.7_obj.b name: assessment-objective props: - name: label value: CM-07(07)(b) class: sp800-53a prose: 'the execution of binary or machine-executable code without the provision of source code is only allowed with the explicit approval of {{ insert: param, cm-07.07_odp }}.' links: - href: '#cm-7.7_smt.b' rel: assessment-for links: - href: '#cm-7.7_smt' rel: assessment-for - id: cm-7.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-07(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 list or record of binary or machine-executable code system component inventory common secure configuration checklists system audit records system security plan other relevant documents or records - id: cm-7.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-07(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for approving execution of binary or machine-executable code organizational personnel with information security responsibilities organizational personnel with software management responsibilities system/network administrators system developers - id: cm-7.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-07(07)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational process for approving execution of binary or machine-executable code organizational process for confining binary or machine-executable code to physical or virtual machine environments mechanisms supporting and/or implementing the confinement of binary or machine-executable code to physical or virtual machine environments - id: cm-7.8 class: SP800-53-enhancement title: Binary or Machine Executable Code props: - name: label value: CM-07(08) class: zero-padded - name: label value: CM-7(8) - name: label value: CM-07(08) class: sp800-53a - name: sort-id value: cm-07.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cm-7' rel: required - href: '#sa-5' rel: related - href: '#sa-22' rel: related parts: - id: cm-7.8_smt name: statement parts: - id: cm-7.8_smt.a name: item props: - name: label value: (a) prose: Prohibit the use of binary or machine-executable code from sources with limited or no warranty or without the provision of source code; and - id: cm-7.8_smt.b name: item props: - name: label value: (b) prose: Allow exceptions only for compelling mission or operational requirements and with the approval of the authorizing official. - id: cm-7.8_gdn name: guidance prose: Binary or machine executable code applies to all sources of binary or machine-executable code, including commercial software and firmware and open-source software. Organizations assess software products without accompanying source code or from sources with limited or no warranty for potential security impacts. The assessments address the fact that software products without the provision of source code may be difficult to review, repair, or extend. In addition, there may be no owners to make such repairs on behalf of organizations. If open-source software is used, the assessments address the fact that there is no warranty, the open-source software could contain back doors or malware, and there may be no support available. - id: cm-7.8_obj name: assessment-objective props: - name: label value: CM-07(08) class: sp800-53a parts: - id: cm-7.8_obj.a name: assessment-objective props: - name: label value: CM-07(08)(a) class: sp800-53a prose: the use of binary or machine-executable code is prohibited when it originates from sources with limited or no warranty or without the provision of source code; links: - href: '#cm-7.8_smt.a' rel: assessment-for - id: cm-7.8_obj.b name: assessment-objective props: - name: label value: CM-07(08)(b) class: sp800-53a parts: - id: cm-7.8_obj.b-1 name: assessment-objective props: - name: label value: CM-07(08)(b)[01] class: sp800-53a prose: exceptions to the prohibition of binary or machine-executable code from sources with limited or no warranty or without the provision of source code are allowed only for compelling mission or operational requirements; links: - href: '#cm-7.8_smt.b' rel: assessment-for - id: cm-7.8_obj.b-2 name: assessment-objective props: - name: label value: CM-07(08)(b)[02] class: sp800-53a prose: exceptions to the prohibition of binary or machine-executable code from sources with limited or no warranty or without the provision of source code are allowed only with the approval of the authorizing official. links: - href: '#cm-7.8_smt.b' rel: assessment-for links: - href: '#cm-7.8_smt.b' rel: assessment-for links: - href: '#cm-7.8_smt' rel: assessment-for - id: cm-7.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-07(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing least functionality in the system configuration management plan system security plan system design documentation system configuration settings and associated documentation list or record of binary or machine-executable code system component inventory common secure configuration checklists system audit records system security plan other relevant documents or records - id: cm-7.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-07(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for determining mission and operational requirements authorizing official for the system organizational personnel with information security responsibilities organizational personnel with software management responsibilities system/network administrators - id: cm-7.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-07(08)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational process for approving execution of binary or machine-executable code mechanisms supporting and/or implementing the prohibition of binary or machine-executable code - id: cm-7.9 class: SP800-53-enhancement title: Prohibiting The Use of Unauthorized Hardware params: - id: cm-07.09_odp.01 props: - name: alt-identifier value: cm-7.9_prm_1 - name: alt-label value: hardware components authorized for system use class: sp800-53 - name: label value: CM-07(09)_ODP[01] class: sp800-53a label: hardware components guidelines: - prose: hardware components authorized for system use are defined; - id: cm-07.09_odp.02 props: - name: alt-identifier value: cm-7.9_prm_2 - name: label value: CM-07(09)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: frequency at which to review and update the list of authorized hardware components is defined; props: - name: label value: CM-07(09) class: zero-padded - name: label value: CM-7(9) - name: label value: CM-07(09) class: sp800-53a - name: sort-id value: cm-07.09 - 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: '#cm-7' rel: required parts: - id: cm-7.9_smt name: statement parts: - id: cm-7.9_smt.a name: item props: - name: label value: (a) prose: 'Identify {{ insert: param, cm-07.09_odp.01 }};' - id: cm-7.9_smt.b name: item props: - name: label value: (b) prose: Prohibit the use or connection of unauthorized hardware components; - id: cm-7.9_smt.c name: item props: - name: label value: (c) prose: 'Review and update the list of authorized hardware components {{ insert: param, cm-07.09_odp.02 }}.' - id: cm-7.9_gdn name: guidance prose: Hardware components provide the foundation for organizational systems and the platform for the execution of authorized software programs. Managing the inventory of hardware components and controlling which hardware components are permitted to be installed or connected to organizational systems is essential in order to provide adequate security. - id: cm-7.9_obj name: assessment-objective props: - name: label value: CM-07(09) class: sp800-53a parts: - id: cm-7.9_obj.a name: assessment-objective props: - name: label value: CM-07(09)(a) class: sp800-53a prose: '{{ insert: param, cm-07.09_odp.01 }} are identified;' links: - href: '#cm-7.9_smt.a' rel: assessment-for - id: cm-7.9_obj.b name: assessment-objective props: - name: label value: CM-07(09)(b) class: sp800-53a prose: the use or connection of unauthorized hardware components is prohibited; links: - href: '#cm-7.9_smt.b' rel: assessment-for - id: cm-7.9_obj.c name: assessment-objective props: - name: label value: CM-07(09)(c) class: sp800-53a prose: 'the list of authorized hardware components is reviewed and updated {{ insert: param, cm-07.09_odp.02 }}.' links: - href: '#cm-7.9_smt.c' rel: assessment-for links: - href: '#cm-7.9_smt' rel: assessment-for - id: cm-7.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-07(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy network connection policy and procedures configuration management plan system security plan system design documentation system component inventory system audit records system security plan other relevant documents or records - id: cm-7.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-07(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system hardware management responsibilities organizational personnel with information security responsibilities system/network administrators - id: cm-7.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-07(09)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational process for approving execution of binary or machine-executable code mechanisms supporting and/or implementing the prohibition of binary or machine-executable code - 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 guidelines: - prose: frequency at which to review and update the system component inventory is defined; props: - name: label value: CM-08 class: zero-padded - name: label value: CM-8 - name: label value: CM-08 class: sp800-53a - name: sort-id value: cm-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#110e26af-4765-49e1-8740-6750f83fcda1' rel: reference - href: '#e7942589-e267-4a5a-a3d9-f39a7aae81f0' rel: reference - href: '#8306620b-1920-4d73-8b21-12008528595f' rel: reference - href: '#20db4e66-e257-450c-b2e4-2bb9a62a2c88' rel: reference - href: '#70402863-5078-43af-9a6c-e11b0f3ec370' rel: reference - href: '#996241f8-f692-42d5-91f1-ce8b752e39e6' rel: reference - href: '#cm-2' rel: related - href: '#cm-7' rel: related - href: '#cm-9' rel: related - href: '#cm-10' rel: related - href: '#cm-11' rel: related - href: '#cm-13' rel: related - href: '#cp-2' rel: related - href: '#cp-9' rel: related - href: '#ma-2' rel: related - href: '#ma-6' rel: related - href: '#pe-20' rel: related - href: '#pl-9' rel: related - href: '#pm-5' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#si-2' rel: related - href: '#sr-4' rel: related parts: - id: cm-8_smt name: statement parts: - id: cm-8_smt.a name: item props: - 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: 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)](#cm-8.7) can help to eliminate duplicate accounting of components. - 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: 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: 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: 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: 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: 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: label value: CM-08b. class: sp800-53a prose: 'the system component inventory is reviewed and updated {{ insert: param, cm-08_odp.02 }}.' links: - href: '#cm-8_smt.b' rel: assessment-for links: - href: '#cm-8_smt' rel: assessment-for - id: cm-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-08-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing system component inventory configuration management plan system security plan system design documentation system component inventory inventory reviews and update records system security plan other relevant documents or records - id: cm-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-08-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with component inventory management responsibilities organizational personnel with information security responsibilities system/network administrators - id: cm-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-08-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing the system component inventory mechanisms supporting and/or implementing system component inventory controls: - id: cm-8.1 class: SP800-53-enhancement title: Updates During Installation and Removal props: - name: label value: CM-08(01) class: zero-padded - name: label value: CM-8(1) - name: label value: CM-08(01) class: sp800-53a - name: sort-id value: cm-08.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cm-8' rel: required - href: '#pm-16' rel: related parts: - id: cm-8.1_smt name: statement prose: Update the inventory of system components as part of component installations, removals, and system updates. - id: cm-8.1_gdn name: guidance prose: Organizations can improve the accuracy, completeness, and consistency of system component inventories if the inventories are updated as part of component installations or removals or during general system updates. If inventories are not updated at these key times, there is a greater likelihood that the information will not be appropriately captured and documented. System updates include hardware, software, and firmware components. - id: cm-8.1_obj name: assessment-objective props: - name: label value: CM-08(01) class: sp800-53a parts: - id: cm-8.1_obj-1 name: assessment-objective props: - name: label value: CM-08(01)[01] class: sp800-53a prose: the inventory of system components is updated as part of component installations; links: - href: '#cm-8.1_smt' rel: assessment-for - id: cm-8.1_obj-2 name: assessment-objective props: - name: label value: CM-08(01)[02] class: sp800-53a prose: the inventory of system components is updated as part of component removals; links: - href: '#cm-8.1_smt' rel: assessment-for - id: cm-8.1_obj-3 name: assessment-objective props: - name: label value: CM-08(01)[03] class: sp800-53a prose: the inventory of system components is updated as part of system updates. links: - href: '#cm-8.1_smt' rel: assessment-for links: - href: '#cm-8.1_smt' rel: assessment-for - id: cm-8.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-08(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing system component inventory configuration management plan system security plan system component inventory inventory reviews and update records change control records component installation records component removal records system security plan other relevant documents or records - id: cm-8.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-08(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with component inventory updating responsibilities organizational personnel with information security responsibilities system/network administrators - id: cm-8.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-08(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for updating the system component inventory mechanisms supporting and/or implementing system component inventory updates - id: cm-8.2 class: SP800-53-enhancement title: Automated Maintenance params: - id: cm-8.2_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-08.02_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-08.02_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-08.02_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-08.02_odp.04 label: organization-defined automated mechanisms - id: cm-08.02_odp.01 props: - name: label value: CM-08(02)_ODP[01] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to maintain the currency of the system component inventory are defined; - id: cm-08.02_odp.02 props: - name: label value: CM-08(02)_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to maintain the completeness of the system component inventory are defined; - id: cm-08.02_odp.03 props: - name: label value: CM-08(02)_ODP[03] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to maintain the accuracy of the system component inventory are defined; - id: cm-08.02_odp.04 props: - name: label value: CM-08(02)_ODP[04] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to maintain the availability of the system component inventory are defined; props: - name: label value: CM-08(02) class: zero-padded - name: label value: CM-8(2) - name: label value: CM-08(02) class: sp800-53a - name: sort-id value: cm-08.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cm-8' rel: required parts: - id: cm-8.2_smt name: statement prose: 'Maintain the currency, completeness, accuracy, and availability of the inventory of system components using {{ insert: param, cm-8.2_prm_1 }}.' - id: cm-8.2_gdn name: guidance prose: Organizations maintain system inventories to the extent feasible. For example, virtual machines can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. Automated maintenance can be achieved by the implementation of [CM-2(2)](#cm-2.2) for organizations that combine system component inventory and baseline configuration activities. - id: cm-8.2_obj name: assessment-objective props: - name: label value: CM-08(02) class: sp800-53a parts: - id: cm-8.2_obj-1 name: assessment-objective props: - name: label value: CM-08(02)[01] class: sp800-53a prose: '{{ insert: param, cm-08.02_odp.01 }} are used to maintain the currency of the system component inventory;' links: - href: '#cm-8.2_smt' rel: assessment-for - id: cm-8.2_obj-2 name: assessment-objective props: - name: label value: CM-08(02)[02] class: sp800-53a prose: '{{ insert: param, cm-08.02_odp.02 }} are used to maintain the completeness of the system component inventory;' links: - href: '#cm-8.2_smt' rel: assessment-for - id: cm-8.2_obj-3 name: assessment-objective props: - name: label value: CM-08(02)[03] class: sp800-53a prose: '{{ insert: param, cm-08.02_odp.03 }} are used to maintain the accuracy of the system component inventory;' links: - href: '#cm-8.2_smt' rel: assessment-for - id: cm-8.2_obj-4 name: assessment-objective props: - name: label value: CM-08(02)[04] class: sp800-53a prose: '{{ insert: param, cm-08.02_odp.04 }} are used to maintain the availability of the system component inventory.' links: - href: '#cm-8.2_smt' rel: assessment-for links: - href: '#cm-8.2_smt' rel: assessment-for - id: cm-8.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-08(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing system component inventory configuration management plan system design documentation system security plan system component inventory change control records system maintenance records system audit records system security plan other relevant documents or records - id: cm-8.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-08(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with component inventory management responsibilities organizational personnel with information security responsibilities system/network administrators system developers - id: cm-8.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-08(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for maintaining the system component inventory automated mechanisms supporting and/or implementing the system component inventory - id: cm-8.3 class: SP800-53-enhancement title: Automated Unauthorized Component Detection params: - id: cm-8.3_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-08.03_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-08.03_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-08.03_odp.03 label: organization-defined automated mechanisms - id: cm-08.03_odp.01 props: - name: label value: CM-08(03)_ODP[01] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to detect the presence of unauthorized hardware within the system are defined; - id: cm-08.03_odp.02 props: - name: label value: CM-08(03)_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to detect the presence of unauthorized software within the system are defined; - id: cm-08.03_odp.03 props: - name: label value: CM-08(03)_ODP[03] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to detect the presence of unauthorized firmware within the system are defined; - id: cm-08.03_odp.04 props: - name: alt-identifier value: cm-8.3_prm_2 - name: label value: CM-08(03)_ODP[04] class: sp800-53a label: frequency guidelines: - prose: frequency at which automated mechanisms are used to detect the presence of unauthorized system components within the system is defined; - id: cm-08.03_odp.05 props: - name: alt-identifier value: cm-8.3_prm_3 - name: label value: CM-08(03)_ODP[05] class: sp800-53a select: how-many: one-or-more choice: - disable network access by unauthorized components - isolate unauthorized components - 'notify {{ insert: param, cm-08.03_odp.06 }} ' - id: cm-08.03_odp.06 props: - name: alt-identifier value: cm-8.3_prm_4 - name: label value: CM-08(03)_ODP[06] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be notified when unauthorized components are detected is/are defined (if selected); props: - name: label value: CM-08(03) class: zero-padded - name: label value: CM-8(3) - name: label value: CM-08(03) class: sp800-53a - name: sort-id value: cm-08.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cm-8' rel: required - href: '#ac-19' rel: related - href: '#ca-7' rel: related - href: '#ra-5' rel: related - href: '#sc-3' rel: related - href: '#sc-39' rel: related - href: '#sc-44' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related parts: - id: cm-8.3_smt name: statement parts: - id: cm-8.3_smt.a name: item props: - name: label value: (a) prose: 'Detect the presence of unauthorized hardware, software, and firmware components within the system using {{ insert: param, cm-8.3_prm_1 }} {{ insert: param, cm-08.03_odp.04 }} ; and' - id: cm-8.3_smt.b name: item props: - name: label value: (b) prose: 'Take the following actions when unauthorized components are detected: {{ insert: param, cm-08.03_odp.05 }}.' - id: cm-8.3_gdn name: guidance prose: 'Automated unauthorized component detection is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms may also be used to prevent the connection of unauthorized components (see [CM-7(9)](#cm-7.9) ). Automated mechanisms can be implemented in systems or in separate system components. When acquiring and implementing automated mechanisms, organizations consider whether such mechanisms depend on the ability of the system component to support an agent or supplicant in order to be detected since some types of components do not have or cannot support agents (e.g., IoT devices, sensors). Isolation can be achieved , for example, by placing unauthorized system components in separate domains or subnets or quarantining such components. This type of component isolation is commonly referred to as "sandboxing." ' - id: cm-8.3_obj name: assessment-objective props: - name: label value: CM-08(03) class: sp800-53a parts: - id: cm-8.3_obj.a name: assessment-objective props: - name: label value: CM-08(03)(a) class: sp800-53a parts: - id: cm-8.3_obj.a-1 name: assessment-objective props: - name: label value: CM-08(03)(a)[01] class: sp800-53a prose: 'the presence of unauthorized hardware within the system is detected using {{ insert: param, cm-08.03_odp.01 }} {{ insert: param, cm-08.03_odp.04 }};' links: - href: '#cm-8.3_smt.a' rel: assessment-for - id: cm-8.3_obj.a-2 name: assessment-objective props: - name: label value: CM-08(03)(a)[02] class: sp800-53a prose: 'the presence of unauthorized software within the system is detected using {{ insert: param, cm-08.03_odp.02 }} {{ insert: param, cm-08.03_odp.04 }};' links: - href: '#cm-8.3_smt.a' rel: assessment-for - id: cm-8.3_obj.a-3 name: assessment-objective props: - name: label value: CM-08(03)(a)[03] class: sp800-53a prose: 'the presence of unauthorized firmware within the system is detected using {{ insert: param, cm-08.03_odp.03 }} {{ insert: param, cm-08.03_odp.04 }};' links: - href: '#cm-8.3_smt.a' rel: assessment-for links: - href: '#cm-8.3_smt.a' rel: assessment-for - id: cm-8.3_obj.b name: assessment-objective props: - name: label value: CM-08(03)(b) class: sp800-53a parts: - id: cm-8.3_obj.b-1 name: assessment-objective props: - name: label value: CM-08(03)(b)[01] class: sp800-53a prose: '{{ insert: param, cm-08.03_odp.05 }} are taken when unauthorized hardware is detected;' links: - href: '#cm-8.3_smt.b' rel: assessment-for - id: cm-8.3_obj.b-2 name: assessment-objective props: - name: label value: CM-08(03)(b)[02] class: sp800-53a prose: '{{ insert: param, cm-08.03_odp.05 }} are taken when unauthorized software is detected;' links: - href: '#cm-8.3_smt.b' rel: assessment-for - id: cm-8.3_obj.b-3 name: assessment-objective props: - name: label value: CM-08(03)(b)[03] class: sp800-53a prose: '{{ insert: param, cm-08.03_odp.05 }} are taken when unauthorized firmware is detected.' links: - href: '#cm-8.3_smt.b' rel: assessment-for links: - href: '#cm-8.3_smt.b' rel: assessment-for links: - href: '#cm-8.3_smt' rel: assessment-for - id: cm-8.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-08(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing system component inventory configuration management plan system design documentation system security plan system component inventory change control records alerts/notifications of unauthorized components within the system system monitoring records system maintenance records system audit records system security plan other relevant documents or records - id: cm-8.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-08(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with component inventory management responsibilities organizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized system component detection organizational personnel with information security responsibilities system/network administrators system developers - id: cm-8.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-08(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for detection of unauthorized system components organizational processes for taking action when unauthorized system components are detected automated mechanisms supporting and/or implementing the detection of unauthorized system components automated mechanisms supporting and/or implementing actions taken when unauthorized system components are detected - id: cm-8.4 class: SP800-53-enhancement title: Accountability Information params: - id: cm-08.04_odp props: - name: alt-identifier value: cm-8.4_prm_1 - name: label value: CM-08(04)_ODP class: sp800-53a select: how-many: one-or-more choice: - name - position - role props: - name: label value: CM-08(04) class: zero-padded - name: label value: CM-8(4) - name: label value: CM-08(04) class: sp800-53a - name: sort-id value: cm-08.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cm-8' rel: required - href: '#ac-3' rel: related parts: - id: cm-8.4_smt name: statement prose: 'Include in the system component inventory information, a means for identifying by {{ insert: param, cm-08.04_odp }} , individuals responsible and accountable for administering those components.' - id: cm-8.4_gdn name: guidance prose: Identifying individuals who are responsible and accountable for administering system components ensures that the assigned components are properly administered and that organizations can contact those individuals if some action is required (e.g., when the component is determined to be the source of a breach, needs to be recalled or replaced, or needs to be relocated). - id: cm-8.4_obj name: assessment-objective props: - name: label value: CM-08(04) class: sp800-53a prose: 'individuals responsible and accountable for administering system components are identified by {{ insert: param, cm-08.04_odp }} in the system component inventory.' links: - href: '#cm-8.4_smt' rel: assessment-for - id: cm-8.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-08(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing system component inventory configuration management plan system security plan system component inventory system security plan other relevant documents or records - id: cm-8.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-08(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with component inventory management responsibilities organizational personnel with information security responsibilities system/network administrators - id: cm-8.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-08(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing the system component inventory mechanisms supporting and/or implementing the system component inventory - id: cm-8.5 class: SP800-53-enhancement title: No Duplicate Accounting of Components props: - name: label value: CM-08(05) class: zero-padded - name: label value: CM-8(5) - name: label value: CM-08(05) class: sp800-53a - name: sort-id value: cm-08.05 - name: status value: withdrawn links: - href: '#cm-8' rel: incorporated-into - id: cm-8.6 class: SP800-53-enhancement title: Assessed Configurations and Approved Deviations props: - name: label value: CM-08(06) class: zero-padded - name: label value: CM-8(6) - name: label value: CM-08(06) class: sp800-53a - name: sort-id value: cm-08.06 - 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: '#cm-8' rel: required parts: - id: cm-8.6_smt name: statement prose: Include assessed component configurations and any approved deviations to current deployed configurations in the system component inventory. - id: cm-8.6_gdn name: guidance prose: Assessed configurations and approved deviations focus on configuration settings established by organizations for system components, the specific components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings. - id: cm-8.6_obj name: assessment-objective props: - name: label value: CM-08(06) class: sp800-53a parts: - id: cm-8.6_obj-1 name: assessment-objective props: - name: label value: CM-08(06)[01] class: sp800-53a prose: assessed component configurations are included in the system component inventory; links: - href: '#cm-8.6_smt' rel: assessment-for - id: cm-8.6_obj-2 name: assessment-objective props: - name: label value: CM-08(06)[02] class: sp800-53a prose: any approved deviations to current deployed configurations are included in the system component inventory. links: - href: '#cm-8.6_smt' rel: assessment-for links: - href: '#cm-8.6_smt' rel: assessment-for - id: cm-8.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-08(06)-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 system configuration settings and associated documentation change control records system security plan other relevant documents or records - id: cm-8.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-08(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with component inventory management responsibilities organizational personnel with assessment responsibilities organizational personnel with information security responsibilities system/network administrators - id: cm-8.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-08(06)-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-8.7 class: SP800-53-enhancement title: Centralized Repository props: - name: label value: CM-08(07) class: zero-padded - name: label value: CM-8(7) - name: label value: CM-08(07) class: sp800-53a - name: sort-id value: cm-08.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cm-8' rel: required parts: - id: cm-8.7_smt name: statement prose: Provide a centralized repository for the inventory of system components. - id: cm-8.7_gdn name: guidance prose: Organizations may implement centralized system component inventories that include components from all organizational systems. Centralized repositories of component inventories provide opportunities for efficiencies in accounting for organizational hardware, software, and firmware assets. Such repositories may also help organizations rapidly identify the location and responsible individuals of components that have been compromised, breached, or are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized inventories include system-specific information required for proper component accountability. - id: cm-8.7_obj name: assessment-objective props: - name: label value: CM-08(07) class: sp800-53a prose: a centralized repository for the system component inventory is provided. links: - href: '#cm-8.7_smt' rel: assessment-for - id: cm-8.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-08(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing system component inventory configuration management plan system design documentation system security plan system component inventory system configuration settings and associated documentation change control records system security plan other relevant documents or records - id: cm-8.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-08(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |+ Organizational personnel with component inventory management responsibilities organizational personnel with security responsibilities - id: cm-8.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-08(07)-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-8.8 class: SP800-53-enhancement title: Automated Location Tracking params: - id: cm-08.08_odp props: - name: alt-identifier value: cm-8.8_prm_1 - name: label value: CM-08(08)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms for tracking components are defined; props: - name: label value: CM-08(08) class: zero-padded - name: label value: CM-8(8) - name: label value: CM-08(08) class: sp800-53a - name: sort-id value: cm-08.08 - 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: '#cm-8' rel: required parts: - id: cm-8.8_smt name: statement prose: 'Support the tracking of system components by geographic location using {{ insert: param, cm-08.08_odp }}.' - id: cm-8.8_gdn name: guidance prose: The use of automated mechanisms to track the location of system components can increase the accuracy of component inventories. Such capability may help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions. The use of tracking mechanisms can be coordinated with senior agency officials for privacy if there are implications that affect individual privacy. - id: cm-8.8_obj name: assessment-objective props: - name: label value: CM-08(08) class: sp800-53a prose: '{{ insert: param, cm-08.08_odp }} are used to support the tracking of system components by geographic location.' links: - href: '#cm-8.8_smt' rel: assessment-for - id: cm-8.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-08(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing system component inventory configuration management plan system design documentation system component inventory system configuration settings and associated documentation system audit records system security plan privacy plan other relevant documents or records - id: cm-8.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-08(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with component inventory management responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: cm-8.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-08(08)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing the system component inventory automated mechanisms supporting and/or implementing system component inventory automated mechanisms supporting and/or implementing tracking of components by geographic locations - id: cm-8.9 class: SP800-53-enhancement title: Assignment of Components to Systems params: - id: cm-08.09_odp props: - name: alt-identifier value: cm-8.9_prm_1 - name: label value: CM-08(09)_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles from which to receive an acknowledgement is/are defined; props: - name: label value: CM-08(09) class: zero-padded - name: label value: CM-8(9) - name: label value: CM-08(09) class: sp800-53a - name: sort-id value: cm-08.09 - 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: '#cm-8' rel: required parts: - id: cm-8.9_smt name: statement parts: - id: cm-8.9_smt.a name: item props: - name: label value: (a) prose: Assign system components to a system; and - id: cm-8.9_smt.b name: item props: - name: label value: (b) prose: 'Receive an acknowledgement from {{ insert: param, cm-08.09_odp }} of this assignment.' - id: cm-8.9_gdn name: guidance prose: System components that are not assigned to a system may be unmanaged, lack the required protection, and become an organizational vulnerability. - id: cm-8.9_obj name: assessment-objective props: - name: label value: CM-08(09) class: sp800-53a parts: - id: cm-8.9_obj.a name: assessment-objective props: - name: label value: CM-08(09)(a) class: sp800-53a prose: system components are assigned to a system; links: - href: '#cm-8.9_smt.a' rel: assessment-for - id: cm-8.9_obj.b name: assessment-objective props: - name: label value: CM-08(09)(b) class: sp800-53a prose: 'an acknowledgement of the component assignment is received from {{ insert: param, cm-08.09_odp }}.' links: - href: '#cm-8.9_smt.b' rel: assessment-for links: - href: '#cm-8.9_smt' rel: assessment-for - id: cm-8.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-08(09)-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 change control records acknowledgements of system component assignments system security plan other relevant documents or records - id: cm-8.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-08(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with component inventory management responsibilities system owner organizational personnel with information security responsibilities system/network administrators - id: cm-8.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-08(09)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for assigning components to systems organizational processes for acknowledging assignment of components to systems mechanisms implementing assignment of components to the system mechanisms implementing acknowledgment of assignment of components to the system - id: cm-9 class: SP800-53 title: Configuration Management Plan params: - id: cm-09_odp props: - name: alt-identifier value: cm-9_prm_1 - name: label value: CM-09_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to review and approve the configuration management plan is/are defined; props: - name: label value: CM-09 class: zero-padded - name: label value: CM-9 - name: label value: CM-09 class: sp800-53a - name: sort-id value: cm-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#20db4e66-e257-450c-b2e4-2bb9a62a2c88' rel: reference - href: '#cm-2' rel: related - href: '#cm-3' rel: related - href: '#cm-4' rel: related - href: '#cm-5' rel: related - href: '#cm-8' rel: related - href: '#pl-2' rel: related - href: '#ra-8' rel: related - href: '#sa-10' rel: related - href: '#si-12' rel: related parts: - id: cm-9_smt name: statement prose: 'Develop, document, and implement a configuration management plan for the system that:' parts: - id: cm-9_smt.a name: item props: - name: label value: a. prose: Addresses roles, responsibilities, and configuration management processes and procedures; - id: cm-9_smt.b name: item props: - name: label value: b. prose: Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items; - id: cm-9_smt.c name: item props: - name: label value: c. prose: Defines the configuration items for the system and places the configuration items under configuration management; - id: cm-9_smt.d name: item props: - name: label value: d. prose: 'Is reviewed and approved by {{ insert: param, cm-09_odp }} ; and' - id: cm-9_smt.e name: item props: - name: label value: e. prose: Protects the configuration management plan from unauthorized disclosure and modification. - id: cm-9_gdn name: guidance prose: |- Configuration management activities occur throughout the system development life cycle. As such, there are developmental configuration management activities (e.g., the control of code and software libraries) and operational configuration management activities (e.g., control of installed components and how the components are configured). Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual systems. Configuration management plans define processes and procedures for how configuration management is used to support system development life cycle activities. Configuration management plans are generated during the development and acquisition stage of the system development life cycle. The plans describe how to advance changes through change management processes; update configuration settings and baselines; maintain component inventories; control development, test, and operational environments; and develop, release, and update key documents. Organizations can employ templates to help ensure the consistent and timely development and implementation of configuration management plans. Templates can represent a configuration management plan for the organization with subsets of the plan implemented on a system by system basis. Configuration management approval processes include the designation of key stakeholders responsible for reviewing and approving proposed changes to systems, and personnel who conduct security and privacy impact analyses prior to the implementation of changes to the systems. Configuration items are the system components, such as the hardware, software, firmware, and documentation to be configuration-managed. As systems continue through the system development life cycle, new configuration items may be identified, and some existing configuration items may no longer need to be under configuration control. - id: cm-9_obj name: assessment-objective props: - name: label value: CM-09 class: sp800-53a parts: - id: cm-9_obj-1 name: assessment-objective props: - name: label value: CM-09[01] class: sp800-53a prose: a configuration management plan for the system is developed and documented; links: - href: '#cm-9_smt' rel: assessment-for - id: cm-9_obj-2 name: assessment-objective props: - name: label value: CM-09[02] class: sp800-53a prose: a configuration management plan for the system is implemented; links: - href: '#cm-9_smt' rel: assessment-for - id: cm-9_obj.a name: assessment-objective props: - name: label value: CM-09a. class: sp800-53a parts: - id: cm-9_obj.a-1 name: assessment-objective props: - name: label value: CM-09a.[01] class: sp800-53a prose: the configuration management plan addresses roles; links: - href: '#cm-9_smt.a' rel: assessment-for - id: cm-9_obj.a-2 name: assessment-objective props: - name: label value: CM-09a.[02] class: sp800-53a prose: the configuration management plan addresses responsibilities; links: - href: '#cm-9_smt.a' rel: assessment-for - id: cm-9_obj.a-3 name: assessment-objective props: - name: label value: CM-09a.[03] class: sp800-53a prose: the configuration management plan addresses configuration management processes and procedures; links: - href: '#cm-9_smt.a' rel: assessment-for links: - href: '#cm-9_smt.a' rel: assessment-for - id: cm-9_obj.b name: assessment-objective props: - name: label value: CM-09b. class: sp800-53a parts: - id: cm-9_obj.b-1 name: assessment-objective props: - name: label value: CM-09b.[01] class: sp800-53a prose: the configuration management plan establishes a process for identifying configuration items throughout the system development life cycle; links: - href: '#cm-9_smt.b' rel: assessment-for - id: cm-9_obj.b-2 name: assessment-objective props: - name: label value: CM-09b.[02] class: sp800-53a prose: the configuration management plan establishes a process for managing the configuration of the configuration items; links: - href: '#cm-9_smt.b' rel: assessment-for links: - href: '#cm-9_smt.b' rel: assessment-for - id: cm-9_obj.c name: assessment-objective props: - name: label value: CM-09c. class: sp800-53a parts: - id: cm-9_obj.c-1 name: assessment-objective props: - name: label value: CM-09c.[01] class: sp800-53a prose: the configuration management plan defines the configuration items for the system; links: - href: '#cm-9_smt.c' rel: assessment-for - id: cm-9_obj.c-2 name: assessment-objective props: - name: label value: CM-09c.[02] class: sp800-53a prose: the configuration management plan places the configuration items under configuration management; links: - href: '#cm-9_smt.c' rel: assessment-for links: - href: '#cm-9_smt.c' rel: assessment-for - id: cm-9_obj.d name: assessment-objective props: - name: label value: CM-09d. class: sp800-53a prose: 'the configuration management plan is reviewed and approved by {{ insert: param, cm-09_odp }};' links: - href: '#cm-9_smt.d' rel: assessment-for - id: cm-9_obj.e name: assessment-objective props: - name: label value: CM-09e. class: sp800-53a parts: - id: cm-9_obj.e-1 name: assessment-objective props: - name: label value: CM-09e.[01] class: sp800-53a prose: the configuration management plan is protected from unauthorized disclosure; links: - href: '#cm-9_smt.e' rel: assessment-for - id: cm-9_obj.e-2 name: assessment-objective props: - name: label value: CM-09e.[02] class: sp800-53a prose: the configuration management plan is protected from unauthorized modification. links: - href: '#cm-9_smt.e' rel: assessment-for links: - href: '#cm-9_smt.e' rel: assessment-for links: - href: '#cm-9_smt' rel: assessment-for - id: cm-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-09-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing configuration management planning configuration management plan system design documentation system security plan privacy plan other relevant documents or records - id: cm-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-09-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for developing the configuration management plan organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan organizational personnel with responsibilities for protecting the configuration management plan organizational personnel with information security and privacy responsibilities system/network administrators - id: cm-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-09-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for developing and documenting the configuration management plan organizational processes for identifying and managing configuration items organizational processes for protecting the configuration management plan mechanisms implementing the configuration management plan mechanisms for managing configuration items mechanisms for protecting the configuration management plan controls: - id: cm-9.1 class: SP800-53-enhancement title: Assignment of Responsibility props: - name: label value: CM-09(01) class: zero-padded - name: label value: CM-9(1) - name: label value: CM-09(01) class: sp800-53a - name: sort-id value: cm-09.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-9' rel: required parts: - id: cm-9.1_smt name: statement prose: Assign responsibility for developing the configuration management process to organizational personnel that are not directly involved in system development. - id: cm-9.1_gdn name: guidance prose: In the absence of dedicated configuration management teams assigned within organizations, system developers may be tasked with developing configuration management processes using personnel who are not directly involved in system development or system integration. This separation of duties ensures that organizations establish and maintain a sufficient degree of independence between the system development and integration processes and configuration management processes to facilitate quality control and more effective oversight. - id: cm-9.1_obj name: assessment-objective props: - name: label value: CM-09(01) class: sp800-53a prose: the responsibility for developing the configuration management process is assigned to organizational personnel who are not directly involved in system development. links: - href: '#cm-9.1_smt' rel: assessment-for - id: cm-9.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-09(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing responsibilities for configuration management process development configuration management plan system security plan system security plan other relevant documents or records - id: cm-9.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-09(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for configuration management process development organizational personnel with information security responsibilities - 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: '#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: 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: 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: 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: 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: 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: 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 controls: - id: cm-10.1 class: SP800-53-enhancement title: Open-source Software params: - id: cm-10.01_odp props: - name: alt-identifier value: cm-10.1_prm_1 - name: label value: CM-10(01)_ODP class: sp800-53a label: restrictions guidelines: - prose: restrictions on the use of open-source software are defined; props: - name: label value: CM-10(01) class: zero-padded - name: label value: CM-10(1) - name: label value: CM-10(01) class: sp800-53a - name: sort-id value: cm-10.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-10' rel: required - href: '#si-7' rel: related parts: - id: cm-10.1_smt name: statement prose: 'Establish the following restrictions on the use of open-source software: {{ insert: param, cm-10.01_odp }}.' - id: cm-10.1_gdn name: guidance prose: Open-source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open-source software is that it provides organizations with the ability to examine the source code. In some cases, there is an online community associated with the software that inspects, tests, updates, and reports on issues found in software on an ongoing basis. However, remediating vulnerabilities in open-source software may be problematic. There may also be licensing issues associated with open-source software, including the constraints on derivative use of such software. Open-source software that is available only in binary form may increase the level of risk in using such software. - id: cm-10.1_obj name: assessment-objective props: - name: label value: CM-10(01) class: sp800-53a prose: '{{ insert: param, cm-10.01_odp }} are established for the use of open-source software.' links: - href: '#cm-10.1_smt' rel: assessment-for - id: cm-10.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-10(01)-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-10.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-10(01)-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-10.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-10(01)-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 guidelines: - prose: frequency with which to monitor compliance is defined; props: - name: label value: CM-11 class: zero-padded - name: label value: CM-11 - name: label value: CM-11 class: sp800-53a - name: sort-id value: cm-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-3' rel: related - href: '#au-6' rel: related - href: '#cm-2' rel: related - href: '#cm-3' rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: '#cm-7' rel: related - href: '#cm-8' rel: related - href: '#pl-4' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related parts: - id: cm-11_smt name: statement parts: - id: cm-11_smt.a name: item props: - name: 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: 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: 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: 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: 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: 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 controls: - id: cm-11.1 class: SP800-53-enhancement title: Alerts for Unauthorized Installations props: - name: label value: CM-11(01) class: zero-padded - name: label value: CM-11(1) - name: label value: CM-11(01) class: sp800-53a - name: sort-id value: cm-11.01 - name: status value: withdrawn links: - href: '#cm-8.3' rel: incorporated-into - id: cm-11.2 class: SP800-53-enhancement title: Software Installation with Privileged Status props: - name: label value: CM-11(02) class: zero-padded - name: label value: CM-11(2) - name: label value: CM-11(02) class: sp800-53a - name: sort-id value: cm-11.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#cm-11' rel: required - href: '#ac-5' rel: related - href: '#ac-6' rel: related parts: - id: cm-11.2_smt name: statement prose: Allow user installation of software only with explicit privileged status. - id: cm-11.2_gdn name: guidance prose: Privileged status can be obtained, for example, by serving in the role of system administrator. - id: cm-11.2_obj name: assessment-objective props: - name: label value: CM-11(02) class: sp800-53a prose: user installation of software is allowed only with explicit privileged status. links: - href: '#cm-11.2_smt' rel: assessment-for - id: cm-11.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-11(02)-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 alerts/notifications of unauthorized software installations system audit records continuous monitoring strategy system security plan other relevant documents or records - id: cm-11.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-11(02)-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 with information security responsibilities system/network administrators - id: cm-11.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-11(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes governing user-installed software on the system mechanisms for prohibiting installation of software without privileged status (e.g., access controls) - id: cm-11.3 class: SP800-53-enhancement title: Automated Enforcement and Monitoring params: - id: cm-11.3_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-11.03_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-11.03_odp.02 label: organization-defined automated mechanisms - id: cm-11.03_odp.01 props: - name: label value: CM-11(03)_ODP[01] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to enforce compliance are defined; - id: cm-11.03_odp.02 props: - name: label value: CM-11(03)_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to monitor compliance are defined; props: - name: label value: CM-11(03) class: zero-padded - name: label value: CM-11(3) - name: label value: CM-11(03) class: sp800-53a - name: sort-id value: cm-11.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cm-11' rel: required parts: - id: cm-11.3_smt name: statement prose: 'Enforce and monitor compliance with software installation policies using {{ insert: param, cm-11.3_prm_1 }}.' - id: cm-11.3_gdn name: guidance prose: Organizations enforce and monitor compliance with software installation policies using automated mechanisms to more quickly detect and respond to unauthorized software installation which can be an indicator of an internal or external hostile attack. - id: cm-11.3_obj name: assessment-objective props: - name: label value: CM-11(03) class: sp800-53a parts: - id: cm-11.3_obj-1 name: assessment-objective props: - name: label value: CM-11(03)[01] class: sp800-53a prose: 'compliance with software installation policies is enforced using {{ insert: param, cm-11.03_odp.01 }};' links: - href: '#cm-11.3_smt' rel: assessment-for - id: cm-11.3_obj-2 name: assessment-objective props: - name: label value: CM-11(03)[02] class: sp800-53a prose: 'compliance with software installation policies is monitored using {{ insert: param, cm-11.03_odp.02 }}.' links: - href: '#cm-11.3_smt' rel: assessment-for links: - href: '#cm-11.3_smt' rel: assessment-for - id: cm-11.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-11(03)-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-11.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-11(03)-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-11.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-11(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes governing user-installed software on the system automated mechanisms enforcing policies on installation of software by users automated mechanisms monitoring policy compliance - id: cm-12 class: SP800-53 title: Information Location params: - id: cm-12_odp props: - name: alt-identifier value: cm-12_prm_1 - name: label value: CM-12_ODP class: sp800-53a label: information guidelines: - prose: information for which the location is to be identified and documented is defined; props: - name: label value: CM-12 class: zero-padded - name: label value: CM-12 - name: label value: CM-12 class: sp800-53a - name: sort-id value: cm-12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a' rel: reference - href: '#9be5d661-421f-41ad-854e-86f98b811891' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-6' rel: related - href: '#ac-23' rel: related - href: '#cm-8' rel: related - href: '#pm-5' rel: related - href: '#ra-2' rel: related - href: '#sa-4' rel: related - href: '#sa-8' rel: related - href: '#sa-17' rel: related - href: '#sc-4' rel: related - href: '#sc-16' rel: related - href: '#sc-28' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related parts: - id: cm-12_smt name: statement parts: - id: cm-12_smt.a name: item props: - name: label value: a. prose: 'Identify and document the location of {{ insert: param, cm-12_odp }} and the specific system components on which the information is processed and stored;' - id: cm-12_smt.b name: item props: - name: label value: b. prose: Identify and document the users who have access to the system and system components where the information is processed and stored; and - id: cm-12_smt.c name: item props: - name: label value: c. prose: Document changes to the location (i.e., system or system components) where the information is processed and stored. - id: cm-12_gdn name: guidance prose: Information location addresses the need to understand where information is being processed and stored. Information location includes identifying where specific information types and information reside in system components and how information is being processed so that information flow can be understood and adequate protection and policy management provided for such information and system components. The security category of the information is also a factor in determining the controls necessary to protect the information and the system component where the information resides (see [FIPS 199](#628d22a1-6a11-4784-bc59-5cd9497b5445) ). The location of the information and system components is also a factor in the architecture and design of the system (see [SA-4](#sa-4), [SA-8](#sa-8), [SA-17](#sa-17)). - id: cm-12_obj name: assessment-objective props: - name: label value: CM-12 class: sp800-53a parts: - id: cm-12_obj.a name: assessment-objective props: - name: label value: CM-12a. class: sp800-53a parts: - id: cm-12_obj.a-1 name: assessment-objective props: - name: label value: CM-12a.[01] class: sp800-53a prose: 'the location of {{ insert: param, cm-12_odp }} is identified and documented;' links: - href: '#cm-12_smt.a' rel: assessment-for - id: cm-12_obj.a-2 name: assessment-objective props: - name: label value: CM-12a.[02] class: sp800-53a prose: 'the specific system components on which {{ insert: param, cm-12_odp }} is processed are identified and documented;' links: - href: '#cm-12_smt.a' rel: assessment-for - id: cm-12_obj.a-3 name: assessment-objective props: - name: label value: CM-12a.[03] class: sp800-53a prose: 'the specific system components on which {{ insert: param, cm-12_odp }} is stored are identified and documented;' links: - href: '#cm-12_smt.a' rel: assessment-for links: - href: '#cm-12_smt.a' rel: assessment-for - id: cm-12_obj.b name: assessment-objective props: - name: label value: CM-12b. class: sp800-53a parts: - id: cm-12_obj.b-1 name: assessment-objective props: - name: label value: CM-12b.[01] class: sp800-53a prose: 'the users who have access to the system and system components where {{ insert: param, cm-12_odp }} is processed are identified and documented;' links: - href: '#cm-12_smt.b' rel: assessment-for - id: cm-12_obj.b-2 name: assessment-objective props: - name: label value: CM-12b.[02] class: sp800-53a prose: 'the users who have access to the system and system components where {{ insert: param, cm-12_odp }} is stored are identified and documented;' links: - href: '#cm-12_smt.b' rel: assessment-for links: - href: '#cm-12_smt.b' rel: assessment-for - id: cm-12_obj.c name: assessment-objective props: - name: label value: CM-12c. class: sp800-53a parts: - id: cm-12_obj.c-1 name: assessment-objective props: - name: label value: CM-12c.[01] class: sp800-53a prose: 'changes to the location (i.e., system or system components) where {{ insert: param, cm-12_odp }} is processed are documented;' links: - href: '#cm-12_smt.c' rel: assessment-for - id: cm-12_obj.c-2 name: assessment-objective props: - name: label value: CM-12c.[02] class: sp800-53a prose: 'changes to the location (i.e., system or system components) where {{ insert: param, cm-12_odp }} is stored are documented.' links: - href: '#cm-12_smt.c' rel: assessment-for links: - href: '#cm-12_smt.c' rel: assessment-for links: - href: '#cm-12_smt' rel: assessment-for - id: cm-12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-12-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing identification and documentation of information location configuration management plan system design documentation system architecture documentation PII inventory documentation data mapping documentation audit records list of users with system and system component access change control records system component inventory system security plan privacy plan other relevant documents or records - id: cm-12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-12-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for managing information location and user access to information organizational personnel with responsibilities for operating, using, and/or maintaining the system organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: cm-12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-12-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes governing information location mechanisms enforcing policies and methods for governing information location controls: - id: cm-12.1 class: SP800-53-enhancement title: Automated Tools to Support Information Location params: - id: cm-12.01_odp.01 props: - name: alt-identifier value: cm-12.1_prm_1 - name: label value: CM-12(01)_ODP[01] class: sp800-53a label: information by information type guidelines: - prose: information to be protected is defined by information type; - id: cm-12.01_odp.02 props: - name: alt-identifier value: cm-12.1_prm_2 - name: label value: CM-12(01)_ODP[02] class: sp800-53a label: system components guidelines: - prose: system components where the information is located are defined; props: - name: label value: CM-12(01) class: zero-padded - name: label value: CM-12(1) - name: label value: CM-12(01) class: sp800-53a - name: sort-id value: cm-12.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cm-12' rel: required parts: - id: cm-12.1_smt name: statement prose: 'Use automated tools to identify {{ insert: param, cm-12.01_odp.01 }} on {{ insert: param, cm-12.01_odp.02 }} to ensure controls are in place to protect organizational information and individual privacy.' - id: cm-12.1_gdn name: guidance prose: The use of automated tools helps to increase the effectiveness and efficiency of the information location capability implemented within the system. Automation also helps organizations manage the data produced during information location activities and share such information across the organization. The output of automated information location tools can be used to guide and inform system architecture and design decisions. - id: cm-12.1_obj name: assessment-objective props: - name: label value: CM-12(01) class: sp800-53a prose: 'automated tools are used to identify {{ insert: param, cm-12.01_odp.01 }} on {{ insert: param, cm-12.01_odp.02 }} to ensure that controls are in place to protect organizational information and individual privacy.' links: - href: '#cm-12.1_smt' rel: assessment-for - id: cm-12.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-12(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing identification and documentation of information location configuration management plan system design documentation PII inventory documentation data mapping documentation change control records system component inventory system security plan privacy plan other relevant documents or records - id: cm-12.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-12(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for managing information location organizational personnel with information security responsibilities system/network administrators system developers - id: cm-12.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-12(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes governing information location automated mechanisms enforcing policies and methods for governing information location automated tools used to identify information on system components - id: cm-13 class: SP800-53 title: Data Action Mapping props: - name: label value: CM-13 class: zero-padded - name: label value: CM-13 - name: label value: CM-13 class: sp800-53a - name: sort-id value: cm-13 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-3' rel: related - href: '#cm-4' rel: related - href: '#cm-12' rel: related - href: '#pm-5' rel: related - href: '#pm-27' rel: related - href: '#pt-2' rel: related - href: '#pt-3' rel: related - href: '#ra-3' rel: related - href: '#ra-8' rel: related parts: - id: cm-13_smt name: statement prose: Develop and document a map of system data actions. - id: cm-13_gdn name: guidance prose: Data actions are system operations that process personally identifiable information. The processing of such information encompasses the full information life cycle, which includes collection, generation, transformation, use, disclosure, retention, and disposal. A map of system data actions includes discrete data actions, elements of personally identifiable information being processed in the data actions, system components involved in the data actions, and the owners or operators of the system components. Understanding what personally identifiable information is being processed (e.g., the sensitivity of the personally identifiable information), how personally identifiable information is being processed (e.g., if the data action is visible to the individual or is processed in another part of the system), and by whom (e.g., individuals may have different privacy perceptions based on the entity that is processing the personally identifiable information) provides a number of contextual factors that are important to assessing the degree of privacy risk created by the system. Data maps can be illustrated in different ways, and the level of detail may vary based on the mission and business needs of the organization. The data map may be an overlay of any system design artifact that the organization is using. The development of this map may necessitate coordination between the privacy and security programs regarding the covered data actions and the components that are identified as part of the system. - id: cm-13_obj name: assessment-objective props: - name: label value: CM-13 class: sp800-53a prose: a map of system data actions is developed and documented. links: - href: '#cm-13_smt' rel: assessment-for - id: cm-13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-13-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures for identification and documentation of information location procedures for mapping data actions configuration management plan system security plan privacy plan system design documentation PII inventory documentation data mapping documentation change control records system component inventory other relevant documents or records - id: cm-13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-13-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for managing information location organizational personnel responsible for data action mapping organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: cm-13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-13-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes governing information location mechanisms supporting or implementing data action mapping - id: cm-14 class: SP800-53 title: Signed Components params: - id: cm-14_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-14_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cm-14_odp.02 label: organization-defined software and firmware components - id: cm-14_odp.01 props: - name: label value: CM-14_ODP[01] class: sp800-53a label: software components guidelines: - prose: software components requiring verification of a digitally signed certificate before installation are defined; - id: cm-14_odp.02 props: - name: label value: CM-14_ODP[02] class: sp800-53a label: firmware components guidelines: - prose: firmware components requiring verification of a digitally signed certificate before installation are defined; props: - name: label value: CM-14 class: zero-padded - name: label value: CM-14 - name: label value: CM-14 class: sp800-53a - name: sort-id value: cm-14 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference - href: '#cm-7' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#si-7' rel: related parts: - id: cm-14_smt name: statement prose: 'Prevent the installation of {{ insert: param, cm-14_prm_1 }} without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.' - id: cm-14_gdn name: guidance prose: Software and firmware components prevented from installation unless signed with recognized and approved certificates include software and firmware version updates, patches, service packs, device drivers, and basic input/output system updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures is a method of code authentication. - id: cm-14_obj name: assessment-objective props: - name: label value: CM-14 class: sp800-53a parts: - id: cm-14_obj-1 name: assessment-objective props: - name: label value: CM-14[01] class: sp800-53a prose: 'the installation of {{ insert: param, cm-14_odp.01 }} is prevented unless it is verified that the software has been digitally signed using a certificate recognized and approved by the organization;' links: - href: '#cm-14_smt' rel: assessment-for - id: cm-14_obj-2 name: assessment-objective props: - name: label value: CM-14[02] class: sp800-53a prose: 'the installation of {{ insert: param, cm-14_odp.02 }} is prevented unless it is verified that the firmware has been digitally signed using a certificate recognized and approved by the organization.' links: - href: '#cm-14_smt' rel: assessment-for links: - href: '#cm-14_smt' rel: assessment-for - id: cm-14_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CM-14-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Configuration management policy procedures addressing digitally signed certificates for software and firmware components configuration management plan system security plan system design documentation change control records system component inventory system security plan other relevant documents or records - id: cm-14_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CM-14-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for verifying digitally signed certificates for software and firmware component installation organizational personnel with information security responsibilities system/network administrators system developers - id: cm-14_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CM-14-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes governing information location mechanisms enforcing policies and methods for governing information location automated tools supporting or implementing digitally signatures for software and firmware components automated tools supporting or implementing verification of digital signatures for software and firmware component installation - id: cp class: family title: Contingency Planning controls: - id: cp-1 class: SP800-53 title: Policy and Procedures params: - id: cp-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-01_odp.02 label: organization-defined personnel or roles - id: cp-01_odp.01 props: - name: label value: CP-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the contingency planning policy is to be disseminated is/are defined; - id: cp-01_odp.02 props: - name: label value: CP-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the contingency planning procedures are to be disseminated is/are defined; - id: cp-01_odp.03 props: - name: alt-identifier value: cp-1_prm_2 - name: label value: CP-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: cp-01_odp.04 props: - name: alt-identifier value: cp-1_prm_3 - name: label value: CP-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the contingency planning policy and procedures is defined; - id: cp-01_odp.05 props: - name: alt-identifier value: cp-1_prm_4 - name: label value: CP-01_ODP[05] class: sp800-53a label: frequency 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 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 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: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 guidelines: - prose: frequency of contingency plan review is defined; - id: cp-02_odp.06 props: - name: label value: CP-02_ODP[06] class: sp800-53a label: key contingency personnel guidelines: - prose: key contingency personnel (identified by name and/or by role) to communicate changes to are defined; - id: cp-02_odp.07 props: - name: label value: CP-02_ODP[07] class: sp800-53a label: organizational elements guidelines: - prose: key contingency organizational elements to communicate changes to are defined; props: - name: label value: CP-02 class: zero-padded - name: label value: CP-2 - name: label value: CP-02 class: sp800-53a - name: sort-id value: cp-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#bc39f179-c735-4da2-b7a7-b2b622119755' rel: reference - href: '#d4296805-2dca-4c63-a95f-eeccaa826aec' rel: reference - href: '#cp-3' rel: related - href: '#cp-4' rel: related - href: '#cp-6' rel: related - href: '#cp-7' rel: related - href: '#cp-8' rel: related - href: '#cp-9' rel: related - href: '#cp-10' rel: related - href: '#cp-11' rel: related - href: '#cp-13' rel: related - href: '#ir-4' rel: related - href: '#ir-6' rel: related - href: '#ir-8' rel: related - href: '#ir-9' rel: related - href: '#ma-6' rel: related - href: '#mp-2' rel: related - href: '#mp-4' rel: related - href: '#mp-5' rel: related - href: '#pl-2' rel: related - href: '#pm-8' rel: related - href: '#pm-11' rel: related - href: '#sa-15' rel: related - href: '#sa-20' rel: related - href: '#sc-7' rel: related - href: '#sc-23' rel: related - href: '#si-12' rel: related parts: - id: cp-2_smt name: statement parts: - id: cp-2_smt.a name: item props: - name: 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: 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: label value: c. prose: Coordinate contingency planning activities with incident handling activities; - id: cp-2_smt.d name: item props: - 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: 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: label value: f. prose: 'Communicate contingency plan changes to {{ insert: param, cp-2_prm_4 }};' - id: cp-2_smt.g name: item props: - 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: 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)](#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_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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: label value: CP-02h. class: sp800-53a parts: - id: cp-2_obj.h-1 name: assessment-objective props: - name: label value: CP-02h.[01] class: sp800-53a prose: the contingency plan is protected from unauthorized disclosure; links: - href: '#cp-2_smt.h' rel: assessment-for - id: cp-2_obj.h-2 name: assessment-objective props: - name: label value: CP-02h.[02] class: sp800-53a prose: the contingency plan is protected from unauthorized modification. links: - href: '#cp-2_smt.h' rel: assessment-for links: - href: '#cp-2_smt.h' rel: assessment-for links: - href: '#cp-2_smt' rel: assessment-for - id: cp-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-02-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing contingency operations for the system contingency plan evidence of contingency plan reviews and updates system security plan other relevant documents or records - id: cp-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-02-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel with incident handling responsibilities organizational personnel with knowledge of requirements for mission and business functions organizational personnel with information security responsibilities - id: cp-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-02-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for contingency plan development, review, update, and protection mechanisms for developing, reviewing, updating, and/or protecting the contingency plan controls: - id: cp-2.1 class: SP800-53-enhancement title: Coordinate with Related Plans props: - name: label value: CP-02(01) class: zero-padded - name: label value: CP-2(1) - name: label value: CP-02(01) class: sp800-53a - name: sort-id value: cp-02.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: required parts: - id: cp-2.1_smt name: statement prose: Coordinate contingency plan development with organizational elements responsible for related plans. - id: cp-2.1_gdn name: guidance prose: Plans that are related to contingency plans include Business Continuity Plans, Disaster Recovery Plans, Critical Infrastructure Plans, Continuity of Operations Plans, Crisis Communications Plans, Insider Threat Implementation Plans, Data Breach Response Plans, Cyber Incident Response Plans, Breach Response Plans, and Occupant Emergency Plans. - id: cp-2.1_obj name: assessment-objective props: - name: label value: CP-02(01) class: sp800-53a prose: contingency plan development is coordinated with organizational elements responsible for related plans. links: - href: '#cp-2.1_smt' rel: assessment-for - id: cp-2.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-02(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing contingency operations for the system contingency plan business contingency plans disaster recovery plans continuity of operations plans crisis communications plans critical infrastructure plans cyber incident response plan insider threat implementation plans occupant emergency plans system security plan other relevant documents or records - id: cp-2.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-02(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel with information security responsibilities personnel with responsibility for related plans - id: cp-2.2 class: SP800-53-enhancement title: Capacity Planning props: - name: label value: CP-02(02) class: zero-padded - name: label value: CP-2(2) - name: label value: CP-02(02) class: sp800-53a - name: sort-id value: cp-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: required - href: '#pe-11' rel: related - href: '#pe-12' rel: related - href: '#pe-13' rel: related - href: '#pe-14' rel: related - href: '#pe-18' rel: related - href: '#sc-5' rel: related parts: - id: cp-2.2_smt name: statement prose: Conduct capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations. - id: cp-2.2_gdn name: guidance prose: Capacity planning is needed because different threats can result in a reduction of the available processing, telecommunications, and support services intended to support essential mission and business functions. Organizations anticipate degraded operations during contingency operations and factor the degradation into capacity planning. For capacity planning, environmental support refers to any environmental factor for which the organization determines that it needs to provide support in a contingency situation, even if in a degraded state. Such determinations are based on an organizational assessment of risk, system categorization (impact level), and organizational risk tolerance. - id: cp-2.2_obj name: assessment-objective props: - name: label value: CP-02(02) class: sp800-53a parts: - id: cp-2.2_obj-1 name: assessment-objective props: - name: label value: CP-02(02)[01] class: sp800-53a prose: capacity planning is conducted so that the necessary capacity exists during contingency operations for information processing; links: - href: '#cp-2.2_smt' rel: assessment-for - id: cp-2.2_obj-2 name: assessment-objective props: - name: label value: CP-02(02)[02] class: sp800-53a prose: capacity planning is conducted so that the necessary capacity exists during contingency operations for telecommunications; links: - href: '#cp-2.2_smt' rel: assessment-for - id: cp-2.2_obj-3 name: assessment-objective props: - name: label value: CP-02(02)[03] class: sp800-53a prose: capacity planning is conducted so that the necessary capacity exists during contingency operations for environmental support. links: - href: '#cp-2.2_smt' rel: assessment-for links: - href: '#cp-2.2_smt' rel: assessment-for - id: cp-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing contingency operations for the system contingency plan capacity planning documents system security plan other relevant documents or records - id: cp-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel responsible for capacity planning organizational personnel with information security responsibilities - id: cp-2.3 class: SP800-53-enhancement title: Resume Mission and Business Functions params: - id: cp-02.03_odp.01 props: - name: alt-identifier value: cp-2.3_prm_1 - name: label value: CP-02(03)_ODP[01] class: sp800-53a select: choice: - all - essential - id: cp-02.03_odp.02 props: - name: alt-identifier value: cp-2.3_prm_2 - name: label value: CP-02(03)_ODP[02] class: sp800-53a label: time period guidelines: - prose: the contingency plan activation time period within which to resume mission and business functions is defined; props: - name: label value: CP-02(03) class: zero-padded - name: label value: CP-2(3) - name: label value: CP-02(03) class: sp800-53a - name: sort-id value: cp-02.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: required parts: - id: cp-2.3_smt name: statement prose: 'Plan for the resumption of {{ insert: param, cp-02.03_odp.01 }} mission and business functions within {{ insert: param, cp-02.03_odp.02 }} of contingency plan activation.' - id: cp-2.3_gdn name: guidance prose: Organizations may choose to conduct contingency planning activities to resume mission and business functions as part of business continuity planning or as part of business impact analyses. Organizations prioritize the resumption of mission and business functions. The time period for resuming mission and business functions may be dependent on the severity and extent of the disruptions to the system and its supporting infrastructure. - id: cp-2.3_obj name: assessment-objective props: - name: label value: CP-02(03) class: sp800-53a prose: 'the resumption of {{ insert: param, cp-02.03_odp.01 }} mission and business functions are planned for within {{ insert: param, cp-02.03_odp.02 }} of contingency plan activation.' links: - href: '#cp-2.3_smt' rel: assessment-for - id: cp-2.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-02(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing contingency operations for the system contingency plan business impact assessment system security plan privacy plan other related plans system security plan other relevant documents or records - id: cp-2.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-02(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with knowledge of requirements for mission and business functions - id: cp-2.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-02(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for resumption of missions and business functions - id: cp-2.4 class: SP800-53-enhancement title: Resume All Mission and Business Functions props: - name: label value: CP-02(04) class: zero-padded - name: label value: CP-2(4) - name: label value: CP-02(04) class: sp800-53a - name: sort-id value: cp-02.04 - name: status value: withdrawn links: - href: '#cp-2.3' rel: incorporated-into - id: cp-2.5 class: SP800-53-enhancement title: Continue Mission and Business Functions params: - id: cp-02.05_odp props: - name: alt-identifier value: cp-2.5_prm_1 - name: label value: CP-02(05)_ODP class: sp800-53a select: choice: - all - essential props: - name: label value: CP-02(05) class: zero-padded - name: label value: CP-2(5) - name: label value: CP-02(05) class: sp800-53a - name: sort-id value: cp-02.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: required parts: - id: cp-2.5_smt name: statement prose: 'Plan for the continuance of {{ insert: param, cp-02.05_odp }} mission and business functions with minimal or no loss of operational continuity and sustains that continuity until full system restoration at primary processing and/or storage sites.' - id: cp-2.5_gdn name: guidance prose: Organizations may choose to conduct the contingency planning activities to continue mission and business functions as part of business continuity planning or business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency. - id: cp-2.5_obj name: assessment-objective props: - name: label value: CP-02(05) class: sp800-53a parts: - id: cp-2.5_obj-1 name: assessment-objective props: - name: label value: CP-02(05)[01] class: sp800-53a prose: 'the continuance of {{ insert: param, cp-02.05_odp }} mission and business functions with minimal or no loss of operational continuity is planned for;' links: - href: '#cp-2.5_smt' rel: assessment-for - id: cp-2.5_obj-2 name: assessment-objective props: - name: label value: CP-02(05)[02] class: sp800-53a prose: continuity is sustained until full system restoration at primary processing and/or storage sites. links: - href: '#cp-2.5_smt' rel: assessment-for links: - href: '#cp-2.5_smt' rel: assessment-for - id: cp-2.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-02(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing contingency operations for the system contingency plan business impact assessment primary processing site agreements primary storage site agreements alternate processing site agreements alternate storage site agreements contingency plan test documentation contingency plan test results system security plan other relevant documents or records - id: cp-2.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-02(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel with knowledge of requirements for mission and business functions organizational personnel with information security responsibilities - id: cp-2.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-02(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for continuing missions and business functions - id: cp-2.6 class: SP800-53-enhancement title: Alternate Processing and Storage Sites params: - id: cp-02.06_odp props: - name: alt-identifier value: cp-2.6_prm_1 - name: label value: CP-02(06)_ODP class: sp800-53a select: choice: - all - essential props: - name: label value: CP-02(06) class: zero-padded - name: label value: CP-2(6) - name: label value: CP-02(06) class: sp800-53a - name: sort-id value: cp-02.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: required parts: - id: cp-2.6_smt name: statement prose: 'Plan for the transfer of {{ insert: param, cp-02.06_odp }} mission and business functions to alternate processing and/or storage sites with minimal or no loss of operational continuity and sustain that continuity through system restoration to primary processing and/or storage sites.' - id: cp-2.6_gdn name: guidance prose: Organizations may choose to conduct contingency planning activities for alternate processing and storage sites as part of business continuity planning or business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency. - id: cp-2.6_obj name: assessment-objective props: - name: label value: CP-02(06) class: sp800-53a parts: - id: cp-2.6_obj-1 name: assessment-objective props: - name: label value: CP-02(06)[01] class: sp800-53a prose: 'the transfer of {{ insert: param, cp-02.06_odp }} mission and business functions to alternate processing and/or storage sites with minimal or no loss of operational continuity is planned for;' links: - href: '#cp-2.6_smt' rel: assessment-for - id: cp-2.6_obj-2 name: assessment-objective props: - name: label value: CP-02(06)[02] class: sp800-53a prose: operational continuity is sustained until full system restoration at primary processing and/or storage sites. links: - href: '#cp-2.6_smt' rel: assessment-for links: - href: '#cp-2.6_smt' rel: assessment-for - id: cp-2.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-02(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing contingency operations for the system contingency plan business impact assessment alternate processing site agreements alternate storage site agreements contingency plan testing documentation contingency plan test results system security plan other relevant documents or records - id: cp-2.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-02(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel with knowledge of requirements for mission and business functions organizational personnel with information security responsibilities - id: cp-2.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-02(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for transfer of essential mission and business functions to alternate processing/storage sites - id: cp-2.7 class: SP800-53-enhancement title: Coordinate with External Service Providers props: - name: label value: CP-02(07) class: zero-padded - name: label value: CP-2(7) - name: label value: CP-02(07) class: sp800-53a - name: sort-id value: cp-02.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: required - href: '#sa-9' rel: related parts: - id: cp-2.7_smt name: statement prose: Coordinate the contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied. - id: cp-2.7_gdn name: guidance prose: When the capability of an organization to carry out its mission and business functions is dependent on external service providers, developing a comprehensive and timely contingency plan may become more challenging. When mission and business functions are dependent on external service providers, organizations coordinate contingency planning activities with the external entities to ensure that the individual plans reflect the overall contingency needs of the organization. - id: cp-2.7_obj name: assessment-objective props: - name: label value: CP-02(07) class: sp800-53a prose: the contingency plan is coordinated with the contingency plans of external service providers to ensure that contingency requirements can be satisfied. links: - href: '#cp-2.7_smt' rel: assessment-for - id: cp-2.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-02(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing contingency operations for the system contingency plan contingency plans of external service providers service level agreements contingency plan requirements system security plan other relevant documents or records - id: cp-2.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-02(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency planning and plan implementation responsibilities external service providers organizational personnel with information security responsibilities - id: cp-2.8 class: SP800-53-enhancement title: Identify Critical Assets params: - id: cp-02.08_odp props: - name: alt-identifier value: cp-2.8_prm_1 - name: label value: CP-02(08)_ODP class: sp800-53a select: choice: - all - essential props: - name: label value: CP-02(08) class: zero-padded - name: label value: CP-2(8) - name: label value: CP-02(08) class: sp800-53a - name: sort-id value: cp-02.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: required - href: '#cm-8' rel: related - href: '#ra-9' rel: related parts: - id: cp-2.8_smt name: statement prose: 'Identify critical system assets supporting {{ insert: param, cp-02.08_odp }} mission and business functions.' - id: cp-2.8_gdn name: guidance prose: Organizations may choose to identify critical assets as part of criticality analysis, business continuity planning, or business impact analyses. Organizations identify critical system assets so that additional controls can be employed (beyond the controls routinely implemented) to help ensure that organizational mission and business functions can continue to be conducted during contingency operations. The identification of critical information assets also facilitates the prioritization of organizational resources. Critical system assets include technical and operational aspects. Technical aspects include system components, information technology services, information technology products, and mechanisms. Operational aspects include procedures (i.e., manually executed operations) and personnel (i.e., individuals operating technical controls and/or executing manual procedures). Organizational program protection plans can assist in identifying critical assets. If critical assets are resident within or supported by external service providers, organizations consider implementing [CP-2(7)](#cp-2.7) as a control enhancement. - id: cp-2.8_obj name: assessment-objective props: - name: label value: CP-02(08) class: sp800-53a prose: 'critical system assets supporting {{ insert: param, cp-02.08_odp }} mission and business functions are identified.' links: - href: '#cp-2.8_smt' rel: assessment-for - id: cp-2.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-02(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing contingency operations for the system contingency plan business impact assessment system security plan other relevant documents or records - id: cp-2.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-02(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel with knowledge of requirements for mission and business functions organizational personnel with information security responsibilities - id: cp-3 class: SP800-53 title: Contingency Training params: - id: cp-03_odp.01 props: - name: alt-identifier value: cp-3_prm_1 - name: label value: CP-03_ODP[01] class: sp800-53a label: time period 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 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 guidelines: - prose: frequency at which to review and update contingency training content is defined; - id: cp-03_odp.04 props: - name: alt-identifier value: cp-3_prm_4 - name: label value: CP-03_ODP[04] class: sp800-53a label: events guidelines: - prose: events necessitating review and update of contingency training are defined; props: - name: label value: CP-03 class: zero-padded - name: label value: CP-3 - name: label value: CP-03 class: sp800-53a - name: sort-id value: cp-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#511f6832-23ca-49a3-8c0f-ce493373cab8' rel: reference - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#at-4' rel: related - href: '#cp-2' rel: related - href: '#cp-4' rel: related - href: '#cp-8' rel: related - href: '#ir-2' rel: related - href: '#ir-4' rel: related - href: '#ir-9' rel: related parts: - id: cp-3_smt name: statement parts: - id: cp-3_smt.a name: item props: - name: 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: 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_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: 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: 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: 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: 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: label value: CP-03b.[02] class: sp800-53a prose: 'the contingency plan training content is reviewed and updated following {{ insert: param, cp-03_odp.04 }}.' links: - href: '#cp-3_smt.b' rel: assessment-for links: - href: '#cp-3_smt.b' rel: assessment-for links: - href: '#cp-3_smt' rel: assessment-for - id: cp-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-03-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing contingency training contingency plan contingency training curriculum contingency training material contingency training records system security plan other relevant documents or records - id: cp-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-03-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency planning, plan implementation, and training responsibilities organizational personnel with information security responsibilities - id: cp-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-03-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for contingency training controls: - id: cp-3.1 class: SP800-53-enhancement title: Simulated Events props: - name: label value: CP-03(01) class: zero-padded - name: label value: CP-3(1) - name: label value: CP-03(01) class: sp800-53a - name: sort-id value: cp-03.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cp-3' rel: required parts: - id: cp-3.1_smt name: statement prose: Incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations. - id: cp-3.1_gdn name: guidance prose: The use of simulated events creates an environment for personnel to experience actual threat events, including cyber-attacks that disable websites, ransomware attacks that encrypt organizational data on servers, hurricanes that damage or destroy organizational facilities, or hardware or software failures. - id: cp-3.1_obj name: assessment-objective props: - name: label value: CP-03(01) class: sp800-53a prose: simulated events are incorporated into contingency training to facilitate effective response by personnel in crisis situations. links: - href: '#cp-3.1_smt' rel: assessment-for - id: cp-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing contingency training contingency plan contingency training curriculum contingency training material system security plan other relevant documents or records - id: cp-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency planning, plan implementation, and training responsibilities organizational personnel with information security responsibilities - id: cp-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-03(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for contingency training mechanisms for simulating contingency events - id: cp-3.2 class: SP800-53-enhancement title: Mechanisms Used in Training Environments props: - name: label value: CP-03(02) class: zero-padded - name: label value: CP-3(2) - name: label value: CP-03(02) class: sp800-53a - name: sort-id value: cp-03.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cp-3' rel: required parts: - id: cp-3.2_smt name: statement prose: Employ mechanisms used in operations to provide a more thorough and realistic contingency training environment. - id: cp-3.2_gdn name: guidance prose: Operational mechanisms refer to processes that have been established to accomplish an organizational goal or a system that supports a particular organizational mission or business objective. Actual mission and business processes, systems, and/or facilities may be used to generate simulated events and enhance the realism of simulated events during contingency training. - id: cp-3.2_obj name: assessment-objective props: - name: label value: CP-03(02) class: sp800-53a prose: mechanisms used in operations are employed to provide a more thorough and realistic contingency training environment. links: - href: '#cp-3.2_smt' rel: assessment-for - id: cp-3.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-03(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing contingency training contingency plan contingency training curriculum contingency training material system security plan other relevant documents or records - id: cp-3.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-03(02)-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-3.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-03(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for contingency training mechanisms for providing contingency training environments - 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 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 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 guidelines: - prose: tests for determining readiness to execute the contingency plan are defined; props: - name: label value: CP-04 class: zero-padded - name: label value: CP-4 - name: label value: CP-04 class: sp800-53a - name: sort-id value: cp-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#bc39f179-c735-4da2-b7a7-b2b622119755' rel: reference - href: '#53be2fcf-cfd1-4bcb-896b-9a3b65c22098' rel: reference - href: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference - href: '#at-3' rel: related - href: '#cp-2' rel: related - href: '#cp-3' rel: related - href: '#cp-8' rel: related - href: '#cp-9' rel: related - href: '#ir-3' rel: related - href: '#ir-4' rel: related - href: '#pl-2' rel: related - href: '#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: 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: label value: b. prose: Review the contingency plan test results; and - id: cp-4_smt.c name: item props: - 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_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: 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: 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: 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: 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: label value: CP-04c. class: sp800-53a prose: corrective actions are initiated, if needed. links: - href: '#cp-4_smt.c' rel: assessment-for links: - href: '#cp-4_smt' rel: assessment-for - id: cp-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-04-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing contingency plan testing contingency plan contingency plan test documentation contingency plan test results system security plan other relevant documents or records - id: cp-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-04-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for contingency plan testing, reviewing, or responding to contingency plan tests organizational personnel with information security responsibilities - id: cp-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-04-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for contingency plan testing mechanisms supporting the contingency plan and/or contingency plan testing controls: - id: cp-4.1 class: SP800-53-enhancement title: Coordinate with Related Plans props: - name: label value: CP-04(01) class: zero-padded - name: label value: CP-4(1) - name: label value: CP-04(01) class: sp800-53a - name: sort-id value: cp-04.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cp-4' rel: required - href: '#ir-8' rel: related - href: '#pm-8' rel: related parts: - id: cp-4.1_smt name: statement prose: Coordinate contingency plan testing with organizational elements responsible for related plans. - id: cp-4.1_gdn name: guidance prose: Plans related to contingency planning for organizational systems include Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. Coordination of contingency plan testing does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. However, it does require that if such organizational elements are responsible for related plans, organizations coordinate with those elements. - id: cp-4.1_obj name: assessment-objective props: - name: label value: CP-04(01) class: sp800-53a prose: contingency plan testing is coordinated with organizational elements responsible for related plans. links: - href: '#cp-4.1_smt' rel: assessment-for - id: cp-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy incident response policy procedures addressing contingency plan testing contingency plan testing documentation contingency plan business continuity plans disaster recovery plans continuity of operations plans crisis communications plans critical infrastructure plans cyber incident response plans occupant emergency plans system security plan other relevant documents or records - id: cp-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency plan testing responsibilities personnel with responsibilities for related plans organizational personnel with information security responsibilities - id: cp-4.2 class: SP800-53-enhancement title: Alternate Processing Site props: - name: label value: CP-04(02) class: zero-padded - name: label value: CP-4(2) - name: label value: CP-04(02) class: sp800-53a - name: sort-id value: cp-04.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cp-4' rel: required - href: '#cp-7' rel: related parts: - id: cp-4.2_smt name: statement prose: 'Test the contingency plan at the alternate processing site:' parts: - id: cp-4.2_smt.a name: item props: - name: label value: (a) prose: To familiarize contingency personnel with the facility and available resources; and - id: cp-4.2_smt.b name: item props: - name: label value: (b) prose: To evaluate the capabilities of the alternate processing site to support contingency operations. - id: cp-4.2_gdn name: guidance prose: Conditions at the alternate processing site may be significantly different than the conditions at the primary site. Having the opportunity to visit the alternate site and experience the actual capabilities available at the site can provide valuable information on potential vulnerabilities that could affect essential organizational mission and business functions. The on-site visit can also provide an opportunity to refine the contingency plan to address the vulnerabilities discovered during testing. - id: cp-4.2_obj name: assessment-objective props: - name: label value: CP-04(02) class: sp800-53a parts: - id: cp-4.2_obj.a name: assessment-objective props: - name: label value: CP-04(02)(a) class: sp800-53a prose: the contingency plan is tested at the alternate processing site to familiarize contingency personnel with the facility and available resources; links: - href: '#cp-4.2_smt.a' rel: assessment-for - id: cp-4.2_obj.b name: assessment-objective props: - name: label value: CP-04(02)(b) class: sp800-53a prose: the contingency plan is tested at the alternate processing site to evaluate the capabilities of the alternate processing site to support contingency operations. links: - href: '#cp-4.2_smt.b' rel: assessment-for links: - href: '#cp-4.2_smt' rel: assessment-for - id: cp-4.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-04(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing contingency plan testing contingency plan contingency plan test documentation contingency plan test results alternate processing site agreements service-level agreements system security plan other relevant documents or records - id: cp-4.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-04(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel with information security responsibilities - id: cp-4.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-04(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for contingency plan testing mechanisms supporting the contingency plan and/or contingency plan testing - id: cp-4.3 class: SP800-53-enhancement title: Automated Testing params: - id: cp-04.03_odp props: - name: alt-identifier value: cp-4.3_prm_1 - name: label value: CP-04(03)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms for contingency plan testing are defined; props: - name: label value: CP-04(03) class: zero-padded - name: label value: CP-4(3) - name: label value: CP-04(03) class: sp800-53a - name: sort-id value: cp-04.03 - 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: '#cp-4' rel: required parts: - id: cp-4.3_smt name: statement prose: 'Test the contingency plan using {{ insert: param, cp-04.03_odp }}.' - id: cp-4.3_gdn name: guidance prose: Automated mechanisms facilitate thorough and effective testing of contingency plans by providing more complete coverage of contingency issues, selecting more realistic test scenarios and environments, and effectively stressing the system and supported mission and business functions. - id: cp-4.3_obj name: assessment-objective props: - name: label value: CP-04(03) class: sp800-53a prose: 'the contingency plan is tested using {{ insert: param, cp-04.03_odp }}.' links: - href: '#cp-4.3_smt' rel: assessment-for - id: cp-4.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-04(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing contingency plan testing contingency plan automated mechanisms supporting contingency plan testing contingency plan test documentation contingency plan test results system security plan other relevant documents or records - id: cp-4.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-04(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency plan testing responsibilities organizational personnel with information security responsibilities - id: cp-4.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-04(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for contingency plan testing automated mechanisms supporting contingency plan testing - id: cp-4.4 class: SP800-53-enhancement title: Full Recovery and Reconstitution props: - name: label value: CP-04(04) class: zero-padded - name: label value: CP-4(4) - name: label value: CP-04(04) class: sp800-53a - name: sort-id value: cp-04.04 - 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: '#cp-4' rel: required - href: '#cp-10' rel: related - href: '#sc-24' rel: related parts: - id: cp-4.4_smt name: statement prose: Include a full recovery and reconstitution of the system to a known state as part of contingency plan testing. - id: cp-4.4_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. Organizations establish a known state for systems that includes system state information for hardware, software programs, and data. Preserving system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission and business processes. - id: cp-4.4_obj name: assessment-objective props: - name: label value: CP-04(04) class: sp800-53a parts: - id: cp-4.4_obj-1 name: assessment-objective props: - name: label value: CP-04(04)[01] class: sp800-53a prose: a full recovery of the system to a known state is included as part of contingency plan testing; links: - href: '#cp-4.4_smt' rel: assessment-for - id: cp-4.4_obj-2 name: assessment-objective props: - name: label value: CP-04(04)[02] class: sp800-53a prose: a full reconstitution of the system to a known state is included as part of contingency plan testing. links: - href: '#cp-4.4_smt' rel: assessment-for links: - href: '#cp-4.4_smt' rel: assessment-for - id: cp-4.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-04(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing system recovery and reconstitution contingency plan contingency plan test documentation contingency plan test results system security plan other relevant documents or records - id: cp-4.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-04(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency plan testing responsibilities organizational personnel with system recovery and reconstitution responsibilities organizational personnel with information security responsibilities - id: cp-4.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-04(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for contingency plan testing mechanisms supporting contingency plan testing mechanisms supporting recovery and reconstitution of the system - id: cp-4.5 class: SP800-53-enhancement title: Self-challenge params: - id: cp-04.05_odp.01 props: - name: alt-identifier value: cp-4.5_prm_1 - name: label value: CP-04(05)_ODP[01] class: sp800-53a label: mechanisms guidelines: - prose: mechanisms employed to disrupt and adversely affect the system or system component are defined; - id: cp-04.05_odp.02 props: - name: alt-identifier value: cp-4.5_prm_2 - name: label value: CP-04(05)_ODP[02] class: sp800-53a label: system or system component guidelines: - prose: system or system component on which to apply disruption mechanisms are defined; props: - name: label value: CP-04(05) class: zero-padded - name: label value: CP-4(5) - name: label value: CP-04(05) class: sp800-53a - name: sort-id value: cp-04.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cp-4' rel: required parts: - id: cp-4.5_smt name: statement prose: 'Employ {{ insert: param, cp-04.05_odp.01 }} to {{ insert: param, cp-04.05_odp.02 }} to disrupt and adversely affect the system or system component.' - id: cp-4.5_gdn name: guidance prose: Often, the best method of assessing system resilience is to disrupt the system in some manner. The mechanisms used by the organization could disrupt system functions or system services in many ways, including terminating or disabling critical system components, changing the configuration of system components, degrading critical functionality (e.g., restricting network bandwidth), or altering privileges. Automated, on-going, and simulated cyber-attacks and service disruptions can reveal unexpected functional dependencies and help the organization determine its ability to ensure resilience in the face of an actual cyber-attack. - id: cp-4.5_obj name: assessment-objective props: - name: label value: CP-04(05) class: sp800-53a prose: '{{ insert: param, cp-04.05_odp.01 }} are employed to disrupt and adversely affect the {{ insert: param, cp-04.05_odp.02 }}.' links: - href: '#cp-4.5_smt' rel: assessment-for - id: cp-4.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-04(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing system recovery and reconstitution contingency plan contingency plan test documentation contingency plan test results system security plan other relevant documents or records - id: cp-4.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-04(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency plan testing responsibilities organizational personnel with system recovery and reconstitution responsibilities organizational personnel with information security responsibilities - id: cp-4.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-04(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for contingency plan testing mechanisms supporting contingency plan testing - id: cp-5 class: SP800-53 title: Contingency Plan Update props: - name: label value: CP-05 class: zero-padded - name: label value: CP-5 - name: label value: CP-05 class: sp800-53a - name: sort-id value: cp-05 - name: status value: withdrawn links: - href: '#cp-2' rel: incorporated-into - id: cp-6 class: SP800-53 title: Alternate Storage Site props: - name: label value: CP-06 class: zero-padded - name: label value: CP-6 - name: label value: CP-06 class: sp800-53a - name: sort-id value: cp-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#bc39f179-c735-4da2-b7a7-b2b622119755' rel: reference - href: '#cp-2' rel: related - href: '#cp-7' rel: related - href: '#cp-8' rel: related - href: '#cp-9' rel: related - href: '#cp-10' rel: related - href: '#mp-4' rel: related - href: '#mp-5' rel: related - href: '#pe-3' rel: related - href: '#sc-36' rel: related - href: '#si-13' rel: related parts: - id: cp-6_smt name: statement parts: - id: cp-6_smt.a name: item props: - name: label value: a. prose: Establish an alternate storage site, including necessary agreements to permit the storage and retrieval of system backup information; and - id: cp-6_smt.b name: item props: - name: label value: b. prose: Ensure that the alternate storage site provides controls equivalent to that of the primary site. - id: cp-6_gdn name: guidance prose: Alternate storage sites are geographically distinct from primary storage sites and maintain duplicate copies of information and data if the primary storage site is not available. Similarly, alternate processing sites provide processing capability if the primary processing site is not available. Geographically distributed architectures that support contingency requirements may be considered alternate storage sites. Items covered by alternate storage site agreements include environmental conditions at the alternate sites, access rules for systems and facilities, physical and environmental protection requirements, and coordination of delivery and retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential mission and business functions despite compromise, failure, or disruption in organizational systems. - id: cp-6_obj name: assessment-objective props: - name: label value: CP-06 class: sp800-53a parts: - id: cp-6_obj.a name: assessment-objective props: - name: label value: CP-06a. class: sp800-53a parts: - id: cp-6_obj.a-1 name: assessment-objective props: - name: label value: CP-06a.[01] class: sp800-53a prose: an alternate storage site is established; links: - href: '#cp-6_smt.a' rel: assessment-for - id: cp-6_obj.a-2 name: assessment-objective props: - name: label value: CP-06a.[02] class: sp800-53a prose: establishment of the alternate storage site includes necessary agreements to permit the storage and retrieval of system backup information; links: - href: '#cp-6_smt.a' rel: assessment-for links: - href: '#cp-6_smt.a' rel: assessment-for - id: cp-6_obj.b name: assessment-objective props: - name: label value: CP-06b. class: sp800-53a prose: the alternate storage site provides controls equivalent to that of the primary site. links: - href: '#cp-6_smt.b' rel: assessment-for links: - href: '#cp-6_smt' rel: assessment-for - id: cp-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-06-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing alternate storage sites contingency plan alternate storage site agreements primary storage site agreements system security plan other relevant documents or records - id: cp-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-06-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency plan alternate storage site responsibilities organizational personnel with system recovery responsibilities organizational personnel with information security responsibilities - id: cp-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-06-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for storing and retrieving system backup information at the alternate storage site mechanisms supporting and/or implementing the storage and retrieval of system backup information at the alternate storage site controls: - id: cp-6.1 class: SP800-53-enhancement title: Separation from Primary Site props: - name: label value: CP-06(01) class: zero-padded - name: label value: CP-6(1) - name: label value: CP-06(01) class: sp800-53a - name: sort-id value: cp-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-6' rel: required - href: '#ra-3' rel: related parts: - id: cp-6.1_smt name: statement prose: Identify an alternate storage site that is sufficiently separated from the primary storage site to reduce susceptibility to the same threats. - id: cp-6.1_gdn name: guidance prose: Threats that affect alternate storage sites are defined in organizational risk assessments and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant. - id: cp-6.1_obj name: assessment-objective props: - name: label value: CP-06(01) class: sp800-53a prose: an alternate storage site that is sufficiently separated from the primary storage site is identified to reduce susceptibility to the same threats. links: - href: '#cp-6.1_smt' rel: assessment-for - id: cp-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-06(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing alternate storage sites contingency plan alternate storage site alternate storage site agreements primary storage site agreements system security plan other relevant documents or records - id: cp-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-06(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency plan alternate storage site responsibilities organizational personnel with system recovery responsibilities organizational personnel with information security responsibilities - id: cp-6.2 class: SP800-53-enhancement title: Recovery Time and Recovery Point Objectives props: - name: label value: CP-06(02) class: zero-padded - name: label value: CP-6(2) - name: label value: CP-06(02) class: sp800-53a - name: sort-id value: cp-06.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-6' rel: required parts: - id: cp-6.2_smt name: statement prose: Configure the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives. - id: cp-6.2_gdn name: guidance prose: Organizations establish recovery time and recovery point objectives as part of contingency planning. Configuration of the alternate storage site includes physical facilities and the systems supporting recovery operations that ensure accessibility and correct execution. - id: cp-6.2_obj name: assessment-objective props: - name: label value: CP-06(02) class: sp800-53a parts: - id: cp-6.2_obj-1 name: assessment-objective props: - name: label value: CP-06(02)[01] class: sp800-53a prose: the alternate storage site is configured to facilitate recovery operations in accordance with recovery time objectives; links: - href: '#cp-6.2_smt' rel: assessment-for - id: cp-6.2_obj-2 name: assessment-objective props: - name: label value: CP-06(02)[02] class: sp800-53a prose: the alternate storage site is configured to facilitate recovery operations in accordance with recovery point objectives. links: - href: '#cp-6.2_smt' rel: assessment-for links: - href: '#cp-6.2_smt' rel: assessment-for - id: cp-6.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-06(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing alternate storage sites contingency plan alternate storage site alternate storage site agreements alternate storage site configurations system security plan other relevant documents or records - id: cp-6.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-06(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency plan testing responsibilities organizational personnel with responsibilities for testing related plans organizational personnel with information security responsibilities - id: cp-6.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-06(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for contingency plan testing mechanisms supporting recovery time and point objectives - id: cp-6.3 class: SP800-53-enhancement title: Accessibility props: - name: label value: CP-06(03) class: zero-padded - name: label value: CP-6(3) - name: label value: CP-06(03) class: sp800-53a - name: sort-id value: cp-06.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-6' rel: required - href: '#ra-3' rel: related parts: - id: cp-6.3_smt name: statement prose: Identify potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outline explicit mitigation actions. - id: cp-6.3_gdn name: guidance prose: Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites or planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted. - id: cp-6.3_obj name: assessment-objective props: - name: label value: CP-06(03) class: sp800-53a parts: - id: cp-6.3_obj-1 name: assessment-objective props: - name: label value: CP-06(03)[01] class: sp800-53a prose: potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster are identified; links: - href: '#cp-6.3_smt' rel: assessment-for - id: cp-6.3_obj-2 name: assessment-objective props: - name: label value: CP-06(03)[02] class: sp800-53a prose: explicit mitigation actions to address identified accessibility problems are outlined. links: - href: '#cp-6.3_smt' rel: assessment-for links: - href: '#cp-6.3_smt' rel: assessment-for - id: cp-6.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-06(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing alternate storage sites contingency plan alternate storage site list of potential accessibility problems to alternate storage site mitigation actions for accessibility problems to alternate storage site organizational risk assessments system security plan other relevant documents or records - id: cp-6.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-06(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency plan alternate storage site responsibilities organizational personnel with system recovery responsibilities organizational personnel with information security responsibilities - id: cp-7 class: SP800-53 title: Alternate Processing Site params: - id: cp-07_odp.01 props: - name: alt-identifier value: cp-7_prm_1 - name: label value: CP-07_ODP[01] class: sp800-53a label: system operations guidelines: - prose: system operations for essential mission and business functions are defined; - id: cp-07_odp.02 props: - name: alt-identifier value: cp-7_prm_2 - name: alt-label value: time period consistent with recovery time and recovery point objectives class: sp800-53 - name: label value: CP-07_ODP[02] class: sp800-53a label: time period guidelines: - prose: time period consistent with recovery time and recovery point objectives is defined; props: - name: label value: CP-07 class: zero-padded - name: label value: CP-7 - name: label value: CP-07 class: sp800-53a - name: sort-id value: cp-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#bc39f179-c735-4da2-b7a7-b2b622119755' rel: reference - href: '#cp-2' rel: related - href: '#cp-6' rel: related - href: '#cp-8' rel: related - href: '#cp-9' rel: related - href: '#cp-10' rel: related - href: '#ma-6' rel: related - href: '#pe-3' rel: related - href: '#pe-11' rel: related - href: '#pe-12' rel: related - href: '#pe-17' rel: related - href: '#sc-36' rel: related - href: '#si-13' rel: related parts: - id: cp-7_smt name: statement parts: - id: cp-7_smt.a name: item props: - name: label value: a. prose: 'Establish an alternate processing site, including necessary agreements to permit the transfer and resumption of {{ insert: param, cp-07_odp.01 }} for essential mission and business functions within {{ insert: param, cp-07_odp.02 }} when the primary processing capabilities are unavailable;' - id: cp-7_smt.b name: item props: - name: label value: b. prose: Make available at the alternate processing site, the equipment and supplies required to transfer and resume operations or put contracts in place to support delivery to the site within the organization-defined time period for transfer and resumption; and - id: cp-7_smt.c name: item props: - name: label value: c. prose: Provide controls at the alternate processing site that are equivalent to those at the primary site. - id: cp-7_gdn name: guidance prose: Alternate processing sites are geographically distinct from primary processing sites and provide processing capability if the primary processing site is not available. The alternate processing capability may be addressed using a physical processing site or other alternatives, such as failover to a cloud-based service provider or other internally or externally provided processing service. Geographically distributed architectures that support contingency requirements may also be considered alternate processing sites. Controls that are covered by alternate processing site agreements include the environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and the coordination for the transfer and assignment of personnel. Requirements are allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential mission and business functions despite disruption, compromise, or failure in organizational systems. - id: cp-7_obj name: assessment-objective props: - name: label value: CP-07 class: sp800-53a parts: - id: cp-7_obj.a name: assessment-objective props: - name: label value: CP-07a. class: sp800-53a prose: 'an alternate processing site, including necessary agreements to permit the transfer and resumption of {{ insert: param, cp-07_odp.01 }} for essential mission and business functions, is established within {{ insert: param, cp-07_odp.02 }} when the primary processing capabilities are unavailable;' links: - href: '#cp-7_smt.a' rel: assessment-for - id: cp-7_obj.b name: assessment-objective props: - name: label value: CP-07b. class: sp800-53a parts: - id: cp-7_obj.b-1 name: assessment-objective props: - name: label value: CP-07b.[01] class: sp800-53a prose: 'the equipment and supplies required to transfer operations are made available at the alternate processing site or if contracts are in place to support delivery to the site within {{ insert: param, cp-07_odp.02 }} for transfer;' links: - href: '#cp-7_smt.b' rel: assessment-for - id: cp-7_obj.b-2 name: assessment-objective props: - name: label value: CP-07b.[02] class: sp800-53a prose: 'the equipment and supplies required to resume operations are made available at the alternate processing site or if contracts are in place to support delivery to the site within {{ insert: param, cp-07_odp.02 }} for resumption;' links: - href: '#cp-7_smt.b' rel: assessment-for links: - href: '#cp-7_smt.b' rel: assessment-for - id: cp-7_obj.c name: assessment-objective props: - name: label value: CP-07c. class: sp800-53a prose: controls provided at the alternate processing site are equivalent to those at the primary site. links: - href: '#cp-7_smt.c' rel: assessment-for links: - href: '#cp-7_smt' rel: assessment-for - id: cp-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-07-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing alternate processing sites contingency plan alternate processing site agreements primary processing site agreements spare equipment and supplies inventory at alternate processing site equipment and supply contracts service-level agreements system security plan other relevant documents or records - id: cp-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-07-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for contingency planning and/or alternate site arrangements organizational personnel with information security responsibilities - id: cp-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-07-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for recovery at the alternate site mechanisms supporting and/or implementing recovery at the alternate processing site controls: - id: cp-7.1 class: SP800-53-enhancement title: Separation from Primary Site props: - name: label value: CP-07(01) class: zero-padded - name: label value: CP-7(1) - name: label value: CP-07(01) class: sp800-53a - name: sort-id value: cp-07.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-7' rel: required - href: '#ra-3' rel: related parts: - id: cp-7.1_smt name: statement prose: Identify an alternate processing site that is sufficiently separated from the primary processing site to reduce susceptibility to the same threats. - id: cp-7.1_gdn name: guidance prose: Threats that affect alternate processing sites are defined in organizational assessments of risk and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant. - id: cp-7.1_obj name: assessment-objective props: - name: label value: CP-07(01) class: sp800-53a prose: an alternate processing site that is sufficiently separated from the primary processing site to reduce susceptibility to the same threats is identified. links: - href: '#cp-7.1_smt' rel: assessment-for - id: cp-7.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-07(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing alternate processing sites contingency plan alternate processing site alternate processing site agreements primary processing site agreements system security plan other relevant documents or records - id: cp-7.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-07(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency plan alternate processing site responsibilities organizational personnel with system recovery responsibilities organizational personnel with information security responsibilities - id: cp-7.2 class: SP800-53-enhancement title: Accessibility props: - name: label value: CP-07(02) class: zero-padded - name: label value: CP-7(2) - name: label value: CP-07(02) class: sp800-53a - name: sort-id value: cp-07.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-7' rel: required - href: '#ra-3' rel: related parts: - id: cp-7.2_smt name: statement prose: Identify potential accessibility problems to alternate processing sites in the event of an area-wide disruption or disaster and outlines explicit mitigation actions. - id: cp-7.2_gdn name: guidance prose: Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk. - id: cp-7.2_obj name: assessment-objective props: - name: label value: CP-07(02) class: sp800-53a parts: - id: cp-7.2_obj-1 name: assessment-objective props: - name: label value: CP-07(02)[01] class: sp800-53a prose: potential accessibility problems to alternate processing sites in the event of an area-wide disruption or disaster are identified; links: - href: '#cp-7.2_smt' rel: assessment-for - id: cp-7.2_obj-2 name: assessment-objective props: - name: label value: CP-07(02)[02] class: sp800-53a prose: explicit mitigation actions to address identified accessibility problems are outlined. links: - href: '#cp-7.2_smt' rel: assessment-for links: - href: '#cp-7.2_smt' rel: assessment-for - id: cp-7.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-07(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing alternate processing sites contingency plan alternate processing site alternate processing site agreements primary processing site agreements system security plan other relevant documents or records - id: cp-7.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-07(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency plan alternate processing site responsibilities organizational personnel with system recovery responsibilities organizational personnel with information security responsibilities - id: cp-7.3 class: SP800-53-enhancement title: Priority of Service props: - name: label value: CP-07(03) class: zero-padded - name: label value: CP-7(3) - name: label value: CP-07(03) class: sp800-53a - name: sort-id value: cp-07.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-7' rel: required parts: - id: cp-7.3_smt name: statement prose: Develop alternate processing site agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives). - id: cp-7.3_gdn name: guidance prose: Priority of service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources for logical alternate processing and/or at the physical alternate processing site. Organizations establish recovery time objectives as part of contingency planning. - id: cp-7.3_obj name: assessment-objective props: - name: label value: CP-07(03) class: sp800-53a prose: alternate processing site agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed. links: - href: '#cp-7.3_smt' rel: assessment-for - id: cp-7.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-07(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing alternate processing sites contingency plan alternate processing site agreements service-level agreements system security plan other relevant documents or records - id: cp-7.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-07(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency plan alternate processing site responsibilities organizational personnel with system recovery responsibilities organizational personnel with information security responsibilities organizational personnel with responsibility for acquisitions/contractual agreements - id: cp-7.4 class: SP800-53-enhancement title: Preparation for Use props: - name: label value: CP-07(04) class: zero-padded - name: label value: CP-7(4) - name: label value: CP-07(04) class: sp800-53a - name: sort-id value: cp-07.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-7' rel: required - href: '#cm-2' rel: related - href: '#cm-6' rel: related - href: '#cp-4' rel: related parts: - id: cp-7.4_smt name: statement prose: Prepare the alternate processing site so that the site can serve as the operational site supporting essential mission and business functions. - id: cp-7.4_gdn name: guidance prose: Site preparation includes establishing configuration settings for systems at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and logistical considerations are in place. - id: cp-7.4_obj name: assessment-objective props: - name: label value: CP-07(04) class: sp800-53a prose: the alternate processing site is prepared so that the site can serve as the operational site supporting essential mission and business functions. links: - href: '#cp-7.4_smt' rel: assessment-for - id: cp-7.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-07(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing alternate processing sites contingency plan alternate processing site alternate processing site agreements alternate processing site configurations system security plan other relevant documents or records - id: cp-7.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-07(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency plan alternate processing site responsibilities organizational personnel with system recovery responsibilities organizational personnel with information security responsibilities - id: cp-7.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-07(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing recovery at the alternate processing site - id: cp-7.5 class: SP800-53-enhancement title: Equivalent Information Security Safeguards props: - name: label value: CP-07(05) class: zero-padded - name: label value: CP-7(5) - name: label value: CP-07(05) class: sp800-53a - name: sort-id value: cp-07.05 - name: status value: withdrawn links: - href: '#cp-7' rel: incorporated-into - id: cp-7.6 class: SP800-53-enhancement title: Inability to Return to Primary Site props: - name: label value: CP-07(06) class: zero-padded - name: label value: CP-7(6) - name: label value: CP-07(06) class: sp800-53a - name: sort-id value: cp-07.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-7' rel: required parts: - id: cp-7.6_smt name: statement prose: Plan and prepare for circumstances that preclude returning to the primary processing site. - id: cp-7.6_gdn name: guidance prose: There may be situations that preclude an organization from returning to the primary processing site such as if a natural disaster (e.g., flood or a hurricane) damaged or destroyed a facility and it was determined that rebuilding in the same location was not prudent. - id: cp-7.6_obj name: assessment-objective props: - name: label value: CP-07(06) class: sp800-53a parts: - id: cp-7.6_obj-1 name: assessment-objective props: - name: label value: CP-07(06)[01] class: sp800-53a prose: circumstances that preclude returning to the primary processing site are planned for; links: - href: '#cp-7.6_smt' rel: assessment-for - id: cp-7.6_obj-2 name: assessment-objective props: - name: label value: CP-07(06)[02] class: sp800-53a prose: circumstances that preclude returning to the primary processing site are prepared for. links: - href: '#cp-7.6_smt' rel: assessment-for links: - href: '#cp-7.6_smt' rel: assessment-for - id: cp-7.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-07(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing alternate processing sites contingency plan alternate processing site alternate processing site agreements alternate processing site configurations system security plan other relevant documents or records - id: cp-7.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-07(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system reconstitution responsibilities organizational personnel with information security responsibilities - id: cp-8 class: SP800-53 title: Telecommunications Services params: - id: cp-08_odp.01 props: - name: alt-identifier value: cp-8_prm_1 - name: label value: CP-08_ODP[01] class: sp800-53a label: system operations guidelines: - prose: system operations to be resumed for essential mission and business functions are defined; - id: cp-08_odp.02 props: - name: alt-identifier value: cp-8_prm_2 - name: label value: CP-08_ODP[02] class: sp800-53a label: time period guidelines: - prose: time period within which to resume essential mission and business functions when the primary telecommunications capabilities are unavailable is defined; props: - name: label value: CP-08 class: zero-padded - name: label value: CP-8 - name: label value: CP-08 class: sp800-53a - name: sort-id value: cp-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#bc39f179-c735-4da2-b7a7-b2b622119755' rel: reference - href: '#cp-2' rel: related - href: '#cp-6' rel: related - href: '#cp-7' rel: related - href: '#cp-11' rel: related - href: '#sc-7' rel: related parts: - id: cp-8_smt name: statement prose: 'Establish alternate telecommunications services, including necessary agreements to permit the resumption of {{ insert: param, cp-08_odp.01 }} for essential mission and business functions within {{ insert: param, cp-08_odp.02 }} when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.' - id: cp-8_gdn name: guidance prose: Telecommunications services (for data and voice) for primary and alternate processing and storage sites are in scope for [CP-8](#cp-8) . Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential mission and business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary or alternate sites. Alternate telecommunications services include additional organizational or commercial ground-based circuits or lines, network-based approaches to telecommunications, or the use of satellites. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements. - id: cp-8_obj name: assessment-objective props: - name: label value: CP-08 class: sp800-53a prose: 'alternate telecommunications services, including necessary agreements to permit the resumption of {{ insert: param, cp-08_odp.01 }} , are established for essential mission and business functions within {{ insert: param, cp-08_odp.02 }} when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.' links: - href: '#cp-8_smt' rel: assessment-for - id: cp-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-08-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing alternate telecommunications services contingency plan primary and alternate telecommunications service agreements system security plan other relevant documents or records - id: cp-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-08-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency plan telecommunications responsibilities organizational personnel with system recovery responsibilities organizational personnel with knowledge of requirements for mission and business functions organizational personnel with information security responsibilities organizational personnel with responsibility for acquisitions/contractual agreements - id: cp-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-08-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting telecommunications controls: - id: cp-8.1 class: SP800-53-enhancement title: Priority of Service Provisions props: - name: label value: CP-08(01) class: zero-padded - name: label value: CP-8(1) - name: label value: CP-08(01) class: sp800-53a - name: sort-id value: cp-08.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-8' rel: required parts: - id: cp-8.1_smt name: statement parts: - id: cp-8.1_smt.a name: item props: - name: label value: (a) prose: Develop primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives); and - id: cp-8.1_smt.b name: item props: - name: label value: (b) prose: Request Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier. - id: cp-8.1_gdn name: guidance prose: Organizations consider the potential mission or business impact in situations where telecommunications service providers are servicing other organizations with similar priority of service provisions. Telecommunications Service Priority (TSP) is a Federal Communications Commission (FCC) program that directs telecommunications service providers (e.g., wireline and wireless phone companies) to give preferential treatment to users enrolled in the program when they need to add new lines or have their lines restored following a disruption of service, regardless of the cause. The FCC sets the rules and policies for the TSP program, and the Department of Homeland Security manages the TSP program. The TSP program is always in effect and not contingent on a major disaster or attack taking place. Federal sponsorship is required to enroll in the TSP program. - id: cp-8.1_obj name: assessment-objective props: - name: label value: CP-08(01) class: sp800-53a parts: - id: cp-8.1_obj.a name: assessment-objective props: - name: label value: CP-08(01)(a) class: sp800-53a parts: - id: cp-8.1_obj.a-1 name: assessment-objective props: - name: label value: CP-08(01)(a)[01] class: sp800-53a prose: primary telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed; links: - href: '#cp-8.1_smt.a' rel: assessment-for - id: cp-8.1_obj.a-2 name: assessment-objective props: - name: label value: CP-08(01)(a)[02] class: sp800-53a prose: alternate telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed; links: - href: '#cp-8.1_smt.a' rel: assessment-for links: - href: '#cp-8.1_smt.a' rel: assessment-for - id: cp-8.1_obj.b name: assessment-objective props: - name: label value: CP-08(01)(b) class: sp800-53a prose: Telecommunications Service Priority is requested for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier. links: - href: '#cp-8.1_smt.b' rel: assessment-for links: - href: '#cp-8.1_smt' rel: assessment-for - id: cp-8.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-08(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing primary and alternate telecommunications services contingency plan primary and alternate telecommunications service agreements Telecommunications Service Priority documentation system security plan other relevant documents or records - id: cp-8.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-08(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency plan telecommunications responsibilities organizational personnel with system recovery responsibilities organizational personnel with information security responsibilities organizational personnel with responsibility for acquisitions/contractual agreements - id: cp-8.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-08(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting telecommunications - id: cp-8.2 class: SP800-53-enhancement title: Single Points of Failure props: - name: label value: CP-08(02) class: zero-padded - name: label value: CP-8(2) - name: label value: CP-08(02) class: sp800-53a - name: sort-id value: cp-08.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-8' rel: required parts: - id: cp-8.2_smt name: statement prose: Obtain alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services. - id: cp-8.2_gdn name: guidance prose: In certain circumstances, telecommunications service providers or services may share the same physical lines, which increases the vulnerability of a single failure point. It is important to have provider transparency for the actual physical transmission capability for telecommunication services. - id: cp-8.2_obj name: assessment-objective props: - name: label value: CP-08(02) class: sp800-53a prose: alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services are obtained. links: - href: '#cp-8.2_smt' rel: assessment-for - id: cp-8.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-08(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing primary and alternate telecommunications services contingency plan primary and alternate telecommunications service agreements system security plan other relevant documents or records - id: cp-8.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-08(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency plan telecommunications responsibilities organizational personnel with system recovery responsibilities primary and alternate telecommunications service providers organizational personnel with information security responsibilities - id: cp-8.3 class: SP800-53-enhancement title: Separation of Primary and Alternate Providers props: - name: label value: CP-08(03) class: zero-padded - name: label value: CP-8(3) - name: label value: CP-08(03) class: sp800-53a - name: sort-id value: cp-08.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-8' rel: required parts: - id: cp-8.3_smt name: statement prose: Obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats. - id: cp-8.3_gdn name: guidance prose: Threats that affect telecommunications services are defined in organizational assessments of risk and include natural disasters, structural failures, cyber or physical attacks, and errors of omission or commission. Organizations can reduce common susceptibilities by minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services that meet the separation needs addressed in the risk assessment. - id: cp-8.3_obj name: assessment-objective props: - name: label value: CP-08(03) class: sp800-53a prose: alternate telecommunications services from providers that are separated from primary service providers are obtained to reduce susceptibility to the same threats. links: - href: '#cp-8.3_smt' rel: assessment-for - id: cp-8.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-08(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing primary and alternate telecommunications services contingency plan primary and alternate telecommunications service agreements alternate telecommunications service provider site primary telecommunications service provider site other relevant documents or records - id: cp-8.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-08(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency plan telecommunications responsibilities organizational personnel with system recovery responsibilities primary and alternate telecommunications service providers organizational personnel with information security responsibilities - id: cp-8.4 class: SP800-53-enhancement title: Provider Contingency Plan params: - id: cp-8.4_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-08.04_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-08.04_odp.02 label: organization-defined frequency - id: cp-08.04_odp.01 props: - name: label value: CP-08(04)_ODP[01] class: sp800-53a label: frequency guidelines: - prose: frequency at which to obtain evidence of contingency testing by providers is defined; - id: cp-08.04_odp.02 props: - name: label value: CP-08(04)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: frequency at which to obtain evidence of contingency training by providers is defined; props: - name: label value: CP-08(04) class: zero-padded - name: label value: CP-8(4) - name: label value: CP-08(04) class: sp800-53a - name: sort-id value: cp-08.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-8' rel: required - href: '#cp-3' rel: related - href: '#cp-4' rel: related parts: - id: cp-8.4_smt name: statement parts: - id: cp-8.4_smt.a name: item props: - name: label value: (a) prose: Require primary and alternate telecommunications service providers to have contingency plans; - id: cp-8.4_smt.b name: item props: - name: label value: (b) prose: Review provider contingency plans to ensure that the plans meet organizational contingency requirements; and - id: cp-8.4_smt.c name: item props: - name: label value: (c) prose: 'Obtain evidence of contingency testing and training by providers {{ insert: param, cp-8.4_prm_1 }}.' - id: cp-8.4_gdn name: guidance prose: Reviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security and state and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training. - id: cp-8.4_obj name: assessment-objective props: - name: label value: CP-08(04) class: sp800-53a parts: - id: cp-8.4_obj.a name: assessment-objective props: - name: label value: CP-08(04)(a) class: sp800-53a parts: - id: cp-8.4_obj.a-1 name: assessment-objective props: - name: label value: CP-08(04)(a)[01] class: sp800-53a prose: primary telecommunications service providers are required to have contingency plans; links: - href: '#cp-8.4_smt.a' rel: assessment-for - id: cp-8.4_obj.a-2 name: assessment-objective props: - name: label value: CP-08(04)(a)[02] class: sp800-53a prose: alternate telecommunications service providers are required to have contingency plans; links: - href: '#cp-8.4_smt.a' rel: assessment-for links: - href: '#cp-8.4_smt.a' rel: assessment-for - id: cp-8.4_obj.b name: assessment-objective props: - name: label value: CP-08(04)(b) class: sp800-53a prose: provider contingency plans are reviewed to ensure that the plans meet organizational contingency requirements; links: - href: '#cp-8.4_smt.b' rel: assessment-for - id: cp-8.4_obj.c name: assessment-objective props: - name: label value: CP-08(04)(c) class: sp800-53a parts: - id: cp-8.4_obj.c-1 name: assessment-objective props: - name: label value: CP-08(04)(c)[01] class: sp800-53a prose: 'evidence of contingency testing by providers is obtained {{ insert: param, cp-08.04_odp.01 }}.' links: - href: '#cp-8.4_smt.c' rel: assessment-for - id: cp-8.4_obj.c-2 name: assessment-objective props: - name: label value: CP-08(04)(c)[02] class: sp800-53a prose: 'evidence of contingency training by providers is obtained {{ insert: param, cp-08.04_odp.02 }}.' links: - href: '#cp-8.4_smt.c' rel: assessment-for links: - href: '#cp-8.4_smt.c' rel: assessment-for links: - href: '#cp-8.4_smt' rel: assessment-for - id: cp-8.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-08(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing primary and alternate telecommunications services contingency plan provider contingency plans evidence of contingency testing/training by providers primary and alternate telecommunications service agreements system security plan other relevant documents or records - id: cp-8.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-08(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency planning, plan implementation, and testing responsibilities primary and alternate telecommunications service providers organizational personnel with information security responsibilities organizational personnel with responsibility for acquisitions/contractual agreements - id: cp-8.5 class: SP800-53-enhancement title: Alternate Telecommunication Service Testing params: - id: cp-08.05_odp props: - name: alt-identifier value: cp-8.5_prm_1 - name: label value: CP-08(05)_ODP class: sp800-53a label: frequency guidelines: - prose: frequency at which alternate telecommunications services are tested is defined; props: - name: label value: CP-08(05) class: zero-padded - name: label value: CP-8(5) - name: label value: CP-08(05) class: sp800-53a - name: sort-id value: cp-08.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-8' rel: required - href: '#cp-3' rel: related parts: - id: cp-8.5_smt name: statement prose: 'Test alternate telecommunication services {{ insert: param, cp-08.05_odp }}.' - id: cp-8.5_gdn name: guidance prose: Alternate telecommunications services testing is arranged through contractual agreements with service providers. The testing may occur in parallel with normal operations to ensure that there is no degradation in organizational missions or functions. - id: cp-8.5_obj name: assessment-objective props: - name: label value: CP-08(05) class: sp800-53a prose: 'alternate telecommunications services are tested {{ insert: param, cp-08.05_odp }}.' links: - href: '#cp-8.5_smt' rel: assessment-for - id: cp-8.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-08(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing alternate telecommunications services contingency plan evidence of testing alternate telecommunications services alternate telecommunications service agreements system security plan other relevant documents or records - id: cp-8.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-08(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency planning, plan implementation, and testing responsibilities alternate telecommunications service providers organizational personnel with information security responsibilities - id: cp-8.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-08(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting testing alternate telecommunications services - 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 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 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 guidelines: - prose: frequency at which to conduct backups of system documentation consistent with recovery time and recovery point objectives is defined; props: - name: label value: CP-09 class: zero-padded - name: label value: CP-9 - name: label value: CP-09 class: sp800-53a - name: sort-id value: cp-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1' rel: reference - href: '#bc39f179-c735-4da2-b7a7-b2b622119755' rel: reference - href: '#3653e316-8923-430e-8943-b3b2b2562fc6' rel: reference - href: '#2494df28-9049-4196-b233-540e7440993f' rel: reference - href: '#cp-2' rel: related - href: '#cp-6' rel: related - href: '#cp-10' rel: related - href: '#mp-4' rel: related - href: '#mp-5' rel: related - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#si-4' rel: related - href: '#si-13' rel: related parts: - id: cp-9_smt name: statement parts: - id: cp-9_smt.a name: item props: - 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: 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: 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: label value: d. prose: Protect the confidentiality, integrity, and availability of backup information. - id: cp-9_gdn name: guidance prose: System-level information includes system state information, operating system software, middleware, application software, and licenses. User-level information includes information other than system-level information. Mechanisms employed to protect the integrity of system backups include digital signatures and cryptographic hashes. Protection of system backup information while in transit is addressed by [MP-5](#mp-5) and [SC-8](#sc-8) . System backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information. Organizations may be subject to laws, executive orders, directives, regulations, or policies with requirements regarding specific categories of information (e.g., personal health information). Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements. - id: cp-9_obj name: assessment-objective props: - name: label value: CP-09 class: sp800-53a parts: - id: cp-9_obj.a name: assessment-objective props: - 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: 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: 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: label value: CP-09d. class: sp800-53a parts: - id: cp-9_obj.d-1 name: assessment-objective props: - name: label value: CP-09d.[01] class: sp800-53a prose: the confidentiality of backup information is protected; links: - href: '#cp-9_smt.d' rel: assessment-for - id: cp-9_obj.d-2 name: assessment-objective props: - name: label value: CP-09d.[02] class: sp800-53a prose: the integrity of backup information is protected; links: - href: '#cp-9_smt.d' rel: assessment-for - id: cp-9_obj.d-3 name: assessment-objective props: - name: label value: CP-09d.[03] class: sp800-53a prose: the availability of backup information is protected. links: - href: '#cp-9_smt.d' rel: assessment-for links: - href: '#cp-9_smt.d' rel: assessment-for links: - href: '#cp-9_smt' rel: assessment-for - id: cp-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-09-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing system backup contingency plan backup storage location(s) system backup logs or records system security plan privacy plan other relevant documents or records - id: cp-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-09-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system backup responsibilities organizational personnel with information security and privacy responsibilities - id: cp-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-09-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for conducting system backups mechanisms supporting and/or implementing system backups controls: - id: cp-9.1 class: SP800-53-enhancement title: Testing for Reliability and Integrity params: - id: cp-9.1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-09.01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-09.01_odp.02 label: organization-defined frequency - id: cp-09.01_odp.01 props: - name: label value: CP-09(01)_ODP[01] class: sp800-53a label: frequency guidelines: - prose: frequency at which to test backup information for media reliability is defined; - id: cp-09.01_odp.02 props: - name: label value: CP-09(01)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: frequency at which to test backup information for information integrity is defined; props: - name: label value: CP-09(01) class: zero-padded - name: label value: CP-9(1) - name: label value: CP-09(01) class: sp800-53a - name: sort-id value: cp-09.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-9' rel: required - href: '#cp-4' rel: related parts: - id: cp-9.1_smt name: statement prose: 'Test backup information {{ insert: param, cp-9.1_prm_1 }} to verify media reliability and information integrity.' - id: cp-9.1_gdn name: guidance prose: Organizations need assurance that backup information can be reliably retrieved. Reliability pertains to the systems and system components where the backup information is stored, the operations used to retrieve the information, and the integrity of the information being retrieved. Independent and specialized tests can be used for each of the aspects of reliability. For example, decrypting and transporting (or transmitting) a random sample of backup files from the alternate storage or backup site and comparing the information to the same information at the primary processing site can provide such assurance. - id: cp-9.1_obj name: assessment-objective props: - name: label value: CP-09(01) class: sp800-53a parts: - id: cp-9.1_obj-1 name: assessment-objective props: - name: label value: CP-09(01)[01] class: sp800-53a prose: 'backup information is tested {{ insert: param, cp-09.01_odp.01 }} to verify media reliability;' links: - href: '#cp-9.1_smt' rel: assessment-for - id: cp-9.1_obj-2 name: assessment-objective props: - name: label value: CP-09(01)[02] class: sp800-53a prose: 'backup information is tested {{ insert: param, cp-09.01_odp.02 }} to verify information integrity.' links: - href: '#cp-9.1_smt' rel: assessment-for links: - href: '#cp-9.1_smt' rel: assessment-for - id: cp-9.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-09(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing system backup contingency plan system backup test results contingency plan test documentation contingency plan test results system security plan other relevant documents or records - id: cp-9.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-09(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system backup responsibilities organizational personnel with information security responsibilities - id: cp-9.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-09(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for conducting system backups mechanisms supporting and/or implementing system backups - id: cp-9.2 class: SP800-53-enhancement title: Test Restoration Using Sampling props: - name: label value: CP-09(02) class: zero-padded - name: label value: CP-9(2) - name: label value: CP-09(02) class: sp800-53a - name: sort-id value: cp-09.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-9' rel: required - href: '#cp-4' rel: related parts: - id: cp-9.2_smt name: statement prose: Use a sample of backup information in the restoration of selected system functions as part of contingency plan testing. - id: cp-9.2_gdn name: guidance prose: Organizations need assurance that system functions can be restored correctly and can support established organizational missions. To ensure that the selected system functions are thoroughly exercised during contingency plan testing, a sample of backup information is retrieved to determine whether the functions are operating as intended. Organizations can determine the sample size for the functions and backup information based on the level of assurance needed. - id: cp-9.2_obj name: assessment-objective props: - name: label value: CP-09(02) class: sp800-53a prose: a sample of backup information in the restoration of selected system functions is used as part of contingency plan testing. links: - href: '#cp-9.2_smt' rel: assessment-for - id: cp-9.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-09(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing system backup contingency plan system backup test results contingency plan test documentation contingency plan test results system security plan other relevant documents or records - id: cp-9.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-09(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system backup responsibilities organizational personnel with contingency planning/contingency plan testing responsibilities organizational personnel with information security responsibilities - id: cp-9.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-09(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for conducting system backups mechanisms supporting and/or implementing system backups - id: cp-9.3 class: SP800-53-enhancement title: Separate Storage for Critical Information params: - id: cp-09.03_odp props: - name: alt-identifier value: cp-9.3_prm_1 - name: label value: CP-09(03)_ODP class: sp800-53a label: critical system software and other security-related information guidelines: - prose: critical system software and other security-related information backups to be stored in a separate facility are defined; props: - name: label value: CP-09(03) class: zero-padded - name: label value: CP-9(3) - name: label value: CP-09(03) class: sp800-53a - name: sort-id value: cp-09.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-9' rel: required - href: '#cm-2' rel: related - href: '#cm-6' rel: related - href: '#cm-8' rel: related parts: - id: cp-9.3_smt name: statement prose: 'Store backup copies of {{ insert: param, cp-09.03_odp }} in a separate facility or in a fire rated container that is not collocated with the operational system.' - id: cp-9.3_gdn name: guidance prose: Separate storage for critical information applies to all critical information regardless of the type of backup storage media. Critical system software includes operating systems, middleware, cryptographic key management systems, and intrusion detection systems. Security-related information includes inventories of system hardware, software, and firmware components. Alternate storage sites, including geographically distributed architectures, serve as separate storage facilities for organizations. Organizations may provide separate storage by implementing automated backup processes at alternative storage sites (e.g., data centers). The General Services Administration (GSA) establishes standards and specifications for security and fire rated containers. - id: cp-9.3_obj name: assessment-objective props: - name: label value: CP-09(03) class: sp800-53a prose: 'backup copies of {{ insert: param, cp-09.03_odp }} are stored in a separate facility or in a fire rated container that is not collocated with the operational system.' links: - href: '#cp-9.3_smt' rel: assessment-for - id: cp-9.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-09(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing system backup contingency plan backup storage location(s) system backup configurations and associated documentation system backup logs or records system security plan other relevant documents or records - id: cp-9.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-09(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel with system backup responsibilities organizational personnel with information security responsibilities - id: cp-9.4 class: SP800-53-enhancement title: Protection from Unauthorized Modification props: - name: label value: CP-09(04) class: zero-padded - name: label value: CP-9(4) - name: label value: CP-09(04) class: sp800-53a - name: sort-id value: cp-09.04 - name: status value: withdrawn links: - href: '#cp-9' rel: incorporated-into - id: cp-9.5 class: SP800-53-enhancement title: Transfer to Alternate Storage Site params: - id: cp-9.5_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-09.05_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-09.05_odp.02 label: organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives - id: cp-09.05_odp.01 props: - name: label value: CP-09(05)_ODP[01] class: sp800-53a label: time period guidelines: - prose: time period consistent with recovery time and recovery point objectives is defined; - id: cp-09.05_odp.02 props: - name: label value: CP-09(05)_ODP[02] class: sp800-53a label: transfer rate guidelines: - prose: transfer rate consistent with recovery time and recovery point objectives is defined; props: - name: label value: CP-09(05) class: zero-padded - name: label value: CP-9(5) - name: label value: CP-09(05) class: sp800-53a - name: sort-id value: cp-09.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-9' rel: required - href: '#cp-7' rel: related - href: '#mp-3' rel: related - href: '#mp-4' rel: related - href: '#mp-5' rel: related parts: - id: cp-9.5_smt name: statement prose: 'Transfer system backup information to the alternate storage site {{ insert: param, cp-9.5_prm_1 }}.' - id: cp-9.5_gdn name: guidance prose: System backup information can be transferred to alternate storage sites either electronically or by the physical shipment of storage media. - id: cp-9.5_obj name: assessment-objective props: - name: label value: CP-09(05) class: sp800-53a parts: - id: cp-9.5_obj-1 name: assessment-objective props: - name: label value: CP-09(05)[01] class: sp800-53a prose: 'system backup information is transferred to the alternate storage site for {{ insert: param, cp-09.05_odp.01 }};' links: - href: '#cp-9.5_smt' rel: assessment-for - id: cp-9.5_obj-2 name: assessment-objective props: - name: label value: CP-09(05)[02] class: sp800-53a prose: 'system backup information is transferred to the alternate storage site {{ insert: param, cp-09.05_odp.02 }}.' links: - href: '#cp-9.5_smt' rel: assessment-for links: - href: '#cp-9.5_smt' rel: assessment-for - id: cp-9.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-09(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing system backup contingency plan system backup logs or records evidence of system backup information transferred to alternate storage site alternate storage site agreements system security plan other relevant documents or records - id: cp-9.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-09(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system backup responsibilities organizational personnel with information security responsibilities - id: cp-9.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-09(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for transferring system backups to the alternate storage site mechanisms supporting and/or implementing system backups mechanisms supporting and/or implementing information transfer to the alternate storage site - id: cp-9.6 class: SP800-53-enhancement title: Redundant Secondary System props: - name: label value: CP-09(06) class: zero-padded - name: label value: CP-9(6) - name: label value: CP-09(06) class: sp800-53a - name: sort-id value: cp-09.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-9' rel: required - href: '#cp-7' rel: related parts: - id: cp-9.6_smt name: statement prose: Conduct system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations. - id: cp-9.6_gdn name: guidance prose: The effect of system backup can be achieved by maintaining a redundant secondary system that mirrors the primary system, including the replication of information. If this type of redundancy is in place and there is sufficient geographic separation between the two systems, the secondary system can also serve as the alternate processing site. - id: cp-9.6_obj name: assessment-objective props: - name: label value: CP-09(06) class: sp800-53a parts: - id: cp-9.6_obj-1 name: assessment-objective props: - name: label value: CP-09(06)[01] class: sp800-53a prose: system backup is conducted by maintaining a redundant secondary system that is not collocated with the primary system; links: - href: '#cp-9.6_smt' rel: assessment-for - id: cp-9.6_obj-2 name: assessment-objective props: - name: label value: CP-09(06)[02] class: sp800-53a prose: system backup is conducted by maintaining a redundant secondary system that can be activated without loss of information or disruption to operations. links: - href: '#cp-9.6_smt' rel: assessment-for links: - href: '#cp-9.6_smt' rel: assessment-for - id: cp-9.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-09(06)-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-9.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-09(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system backup responsibilities organizational personnel with information security responsibilities organizational personnel with responsibility for the redundant secondary system - id: cp-9.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-09(06)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for maintaining redundant secondary systems mechanisms supporting and/or implementing system backups mechanisms supporting and/or implementing information transfer to a redundant secondary system - id: cp-9.7 class: SP800-53-enhancement title: Dual Authorization for Deletion or Destruction params: - id: cp-09.07_odp props: - name: alt-identifier value: cp-9.7_prm_1 - name: label value: CP-09(07)_ODP class: sp800-53a label: backup information guidelines: - prose: backup information for which to enforce dual authorization in order to delete or destroy is defined; props: - name: label value: CP-09(07) class: zero-padded - name: label value: CP-9(7) - name: label value: CP-09(07) class: sp800-53a - name: sort-id value: cp-09.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-9' rel: required - href: '#ac-3' rel: related - href: '#ac-5' rel: related - href: '#mp-2' rel: related parts: - id: cp-9.7_smt name: statement prose: 'Enforce dual authorization for the deletion or destruction of {{ insert: param, cp-09.07_odp }}.' - id: cp-9.7_gdn name: guidance prose: Dual authorization ensures that deletion or destruction of backup information cannot occur unless two qualified individuals carry out the task. Individuals deleting or destroying backup information possess the skills or expertise to determine if the proposed deletion or destruction of information reflects organizational policies and procedures. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. - id: cp-9.7_obj name: assessment-objective props: - name: label value: CP-09(07) class: sp800-53a prose: 'dual authorization for the deletion or destruction of {{ insert: param, cp-09.07_odp }} is enforced.' links: - href: '#cp-9.7_smt' rel: assessment-for - id: cp-9.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-09(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing system backup contingency plan system design documentation system configuration settings and associated documentation system generated list of dual authorization credentials or rules logs or records of deletion or destruction of backup information system security plan other relevant documents or records - id: cp-9.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-09(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system backup responsibilities organizational personnel with information security responsibilities - id: cp-9.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-09(07)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing dual authorization mechanisms supporting and/or implementing the deletion/destruction of backup information - id: cp-9.8 class: SP800-53-enhancement title: Cryptographic Protection params: - id: cp-09.08_odp props: - name: alt-identifier value: cp-9.8_prm_1 - name: label value: CP-09(08)_ODP class: sp800-53a label: backup information guidelines: - prose: backup information to protect against unauthorized disclosure and modification is defined; props: - name: label value: CP-09(08) class: zero-padded - name: label value: CP-9(8) - name: label value: CP-09(08) class: sp800-53a - name: sort-id value: cp-09.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-9' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-28' rel: related parts: - id: cp-9.8_smt name: statement prose: 'Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of {{ insert: param, cp-09.08_odp }}.' - id: cp-9.8_gdn name: guidance prose: The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of backup information. The strength of mechanisms selected is commensurate with the security category or classification of the information. Cryptographic protection applies to system backup information in storage at both primary and alternate locations. Organizations that implement cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions. - id: cp-9.8_obj name: assessment-objective props: - name: label value: CP-09(08) class: sp800-53a prose: 'cryptographic mechanisms are implemented to prevent unauthorized disclosure and modification of {{ insert: param, cp-09.08_odp }}.' links: - href: '#cp-9.8_smt' rel: assessment-for - id: cp-9.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-09(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing system backup contingency plan system design documentation system configuration settings and associated documentation system security plan other relevant documents or records - id: cp-9.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-09(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system backup responsibilities organizational personnel with information security responsibilities - id: cp-9.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-09(08)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing cryptographic protection of backup information - id: cp-10 class: SP800-53 title: System Recovery and Reconstitution params: - id: cp-10_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-10_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: cp-10_odp.02 label: organization-defined time period consistent with recovery time and recovery point objectives - id: cp-10_odp.01 props: - name: label value: CP-10_ODP[01] class: sp800-53a label: time period guidelines: - prose: time period consistent with recovery time and recovery point objectives for the recovery of the system is determined; - id: cp-10_odp.02 props: - name: label value: CP-10_ODP[02] class: sp800-53a label: time period guidelines: - prose: time period consistent with recovery time and recovery point objectives for the reconstitution of the system is determined; props: - name: label value: CP-10 class: zero-padded - name: label value: CP-10 - name: label value: CP-10 class: sp800-53a - name: sort-id value: cp-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#bc39f179-c735-4da2-b7a7-b2b622119755' rel: reference - href: '#cp-2' rel: related - href: '#cp-4' rel: related - href: '#cp-6' rel: related - href: '#cp-7' rel: related - href: '#cp-9' rel: related - href: '#ir-4' rel: related - href: '#sa-8' rel: related - href: '#sc-24' rel: related - href: '#si-13' rel: related parts: - id: cp-10_smt name: statement 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: label value: CP-10 class: sp800-53a parts: - id: cp-10_obj-1 name: assessment-objective props: - name: label value: CP-10[01] class: sp800-53a prose: 'the recovery of the system to a known state is provided within {{ insert: param, cp-10_odp.01 }} after a disruption, compromise, or failure;' links: - href: '#cp-10_smt' rel: assessment-for - id: cp-10_obj-2 name: assessment-objective props: - name: label value: CP-10[02] class: sp800-53a prose: 'a reconstitution of the system to a known state is provided within {{ insert: param, cp-10_odp.02 }} after a disruption, compromise, or failure.' links: - href: '#cp-10_smt' rel: assessment-for links: - href: '#cp-10_smt' rel: assessment-for - id: cp-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-10-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing system backup contingency plan system backup test results contingency plan test results contingency plan test documentation redundant secondary system for system backups location(s) of redundant secondary backup system(s) system security plan other relevant documents or records - id: cp-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-10-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency planning, recovery, and/or reconstitution responsibilities organizational personnel with information security responsibilities - id: cp-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-10-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes implementing system recovery and reconstitution operations mechanisms supporting and/or implementing system recovery and reconstitution operations controls: - id: cp-10.1 class: SP800-53-enhancement title: Contingency Plan Testing props: - name: label value: CP-10(01) class: zero-padded - name: label value: CP-10(1) - name: label value: CP-10(01) class: sp800-53a - name: sort-id value: cp-10.01 - name: status value: withdrawn links: - href: '#cp-4' rel: incorporated-into - id: cp-10.2 class: SP800-53-enhancement title: Transaction Recovery props: - name: label value: CP-10(02) class: zero-padded - name: label value: CP-10(2) - name: label value: CP-10(02) class: sp800-53a - name: sort-id value: cp-10.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-10' rel: required parts: - id: cp-10.2_smt name: statement prose: Implement transaction recovery for systems that are transaction-based. - id: cp-10.2_gdn name: guidance prose: Transaction-based systems include database management systems and transaction processing systems. Mechanisms supporting transaction recovery include transaction rollback and transaction journaling. - id: cp-10.2_obj name: assessment-objective props: - name: label value: CP-10(02) class: sp800-53a prose: transaction recovery is implemented for systems that are transaction-based. links: - href: '#cp-10.2_smt' rel: assessment-for - id: cp-10.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-10(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing system recovery and reconstitution contingency plan system design documentation system configuration settings and associated documentation contingency plan test documentation contingency plan test results system transaction recovery records system audit records system security plan other relevant documents or records - id: cp-10.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-10(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibility for transaction recovery organizational personnel with information security responsibilities - id: cp-10.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-10(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing transaction recovery capability - id: cp-10.3 class: SP800-53-enhancement title: Compensating Security Controls props: - name: label value: CP-10(03) class: zero-padded - name: label value: CP-10(3) - name: label value: CP-10(03) class: sp800-53a - name: sort-id value: cp-10.03 - name: status value: withdrawn parts: - id: cp-10.3_smt name: statement prose: Addressed through tailoring. - id: cp-10.4 class: SP800-53-enhancement title: Restore Within Time Period params: - id: cp-10.04_odp props: - name: alt-identifier value: cp-10.4_prm_1 - name: label value: CP-10(04)_ODP class: sp800-53a label: restoration time periods guidelines: - prose: restoration time period within which to restore system components to a known, operational state is defined; props: - name: label value: CP-10(04) class: zero-padded - name: label value: CP-10(4) - name: label value: CP-10(04) class: sp800-53a - name: sort-id value: cp-10.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-10' rel: required - href: '#cm-2' rel: related - href: '#cm-6' rel: related parts: - id: cp-10.4_smt name: statement prose: 'Provide the capability to restore system components within {{ insert: param, cp-10.04_odp }} from configuration-controlled and integrity-protected information representing a known, operational state for the components.' - id: cp-10.4_gdn name: guidance prose: Restoration of system components includes reimaging, which restores the components to known, operational states. - id: cp-10.4_obj name: assessment-objective props: - name: label value: CP-10(04) class: sp800-53a prose: 'the capability to restore system components within {{ insert: param, cp-10.04_odp }} from configuration-controlled and integrity-protected information representing a known, operational state for the components is provided.' links: - href: '#cp-10.4_smt' rel: assessment-for - id: cp-10.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-10(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing system recovery and reconstitution contingency plan system design documentation system configuration settings and associated documentation contingency plan test documentation contingency plan test results evidence of system recovery and reconstitution operations system security plan other relevant documents or records - id: cp-10.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-10(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system recovery and reconstitution responsibilities organizational personnel with information security responsibilities - id: cp-10.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-10(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the recovery/reconstitution of system information - id: cp-10.5 class: SP800-53-enhancement title: Failover Capability props: - name: label value: CP-10(05) class: zero-padded - name: label value: CP-10(5) - name: label value: CP-10(05) class: sp800-53a - name: sort-id value: cp-10.05 - name: status value: withdrawn links: - href: '#si-13' rel: incorporated-into - id: cp-10.6 class: SP800-53-enhancement title: Component Protection props: - name: label value: CP-10(06) class: zero-padded - name: label value: CP-10(6) - name: label value: CP-10(06) class: sp800-53a - name: sort-id value: cp-10.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-10' rel: required - href: '#ac-3' rel: related - href: '#ac-6' rel: related - href: '#mp-2' rel: related - href: '#mp-4' rel: related - href: '#pe-3' rel: related - href: '#pe-6' rel: related parts: - id: cp-10.6_smt name: statement prose: Protect system components used for recovery and reconstitution. - id: cp-10.6_gdn name: guidance prose: Protection of system recovery and reconstitution components (i.e., hardware, firmware, and software) includes physical and technical controls. Backup and restoration components used for recovery and reconstitution include router tables, compilers, and other system software. - id: cp-10.6_obj name: assessment-objective props: - name: label value: CP-10(06) class: sp800-53a prose: system components used for recovery and reconstitution are protected. links: - href: '#cp-10.6_smt' rel: assessment-for - id: cp-10.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-10(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing system recovery and reconstitution contingency plan system design documentation system configuration settings and associated documentation logical access credentials physical access credentials logical access authorization records physical access authorization records system security plan other relevant documents or records - id: cp-10.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-10(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system recovery and reconstitution responsibilities organizational personnel with information security responsibilities - id: cp-10.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-10(06)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for protecting backup and restoration of hardware, firmware, and software mechanisms supporting and/or implementing protection of backups and restoration of hardware, firmware, and software - id: cp-11 class: SP800-53 title: Alternate Communications Protocols params: - id: cp-11_odp props: - name: alt-identifier value: cp-11_prm_1 - name: label value: CP-11_ODP class: sp800-53a label: alternative communications protocols guidelines: - prose: alternative communications protocols in support of maintaining continuity of operations are defined; props: - name: label value: CP-11 class: zero-padded - name: label value: CP-11 - name: label value: CP-11 class: sp800-53a - name: sort-id value: cp-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: related - href: '#cp-8' rel: related - href: '#cp-13' rel: related parts: - id: cp-11_smt name: statement prose: 'Provide the capability to employ {{ insert: param, cp-11_odp }} in support of maintaining continuity of operations.' - id: cp-11_gdn name: guidance prose: Contingency plans and the contingency training or testing associated with those plans incorporate an alternate communications protocol capability as part of establishing resilience in organizational systems. Switching communications protocols may affect software applications and operational aspects of systems. Organizations assess the potential side effects of introducing alternate communications protocols prior to implementation. - id: cp-11_obj name: assessment-objective props: - name: label value: CP-11 class: sp800-53a prose: 'the capability to employ {{ insert: param, cp-11_odp }} are provided in support of maintaining continuity of operations.' links: - href: '#cp-11_smt' rel: assessment-for - id: cp-11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-11-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing alternative communications protocols contingency plan continuity of operations plan system design documentation system configuration settings and associated documentation list of alternative communications protocols supporting continuity of operations system security plan other relevant documents or records - id: cp-11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-11-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with contingency planning and plan implementation responsibilities organizational personnel with continuity of operations planning and plan implementation responsibilities organizational personnel with information security responsibilities system/network administrators system developers - id: cp-11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-11-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms employing alternative communications protocols - id: cp-12 class: SP800-53 title: Safe Mode params: - id: cp-12_odp.01 props: - name: alt-identifier value: cp-12_prm_2 - name: alt-label value: restrictions of safe mode of operation class: sp800-53 - name: label value: CP-12_ODP[01] class: sp800-53a label: restrictions guidelines: - prose: restrictions for safe mode of operation are defined; - id: cp-12_odp.02 props: - name: alt-identifier value: cp-12_prm_1 - name: label value: CP-12_ODP[02] class: sp800-53a label: conditions guidelines: - prose: conditions detected to enter a safe mode of operation are defined; props: - name: label value: CP-12 class: zero-padded - name: label value: CP-12 - name: label value: CP-12 class: sp800-53a - name: sort-id value: cp-12 - 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: '#cm-2' rel: related - href: '#sa-8' rel: related - href: '#sc-24' rel: related - href: '#si-13' rel: related - href: '#si-17' rel: related parts: - id: cp-12_smt name: statement prose: 'When {{ insert: param, cp-12_odp.02 }} are detected, enter a safe mode of operation with {{ insert: param, cp-12_odp.01 }}.' - id: cp-12_gdn name: guidance prose: For systems that support critical mission and business functions—including military operations, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments)—organizations can identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated either automatically or manually, restricts the operations that systems can execute when those conditions are encountered. Restriction includes allowing only selected functions to execute that can be carried out under limited power or with reduced communications bandwidth. - id: cp-12_obj name: assessment-objective props: - name: label value: CP-12 class: sp800-53a prose: 'a safe mode of operation is entered with {{ insert: param, cp-12_odp.01 }} when {{ insert: param, cp-12_odp.02 }} are detected.' links: - href: '#cp-12_smt' rel: assessment-for - id: cp-12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-12-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing safe mode of operation for the system contingency plan system design documentation system configuration settings and associated documentation system administration manuals system operation manuals system installation manuals contingency plan test records incident handling records system audit records system security plan other relevant documents or records - id: cp-12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-12-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system operation responsibilities organizational personnel with information security responsibilities system/network administrators system developers - id: cp-12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-12-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing safe mode of operation - id: cp-13 class: SP800-53 title: Alternative Security Mechanisms params: - id: cp-13_odp.01 props: - name: alt-identifier value: cp-13_prm_1 - name: label value: CP-13_ODP[01] class: sp800-53a label: alternative or supplemental security mechanisms guidelines: - prose: alternative or supplemental security mechanisms are defined; - id: cp-13_odp.02 props: - name: alt-identifier value: cp-13_prm_2 - name: label value: CP-13_ODP[02] class: sp800-53a label: security functions guidelines: - prose: security functions are defined; props: - name: label value: CP-13 class: zero-padded - name: label value: CP-13 - name: label value: CP-13 class: sp800-53a - name: sort-id value: cp-13 - 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: '#cp-2' rel: related - href: '#cp-11' rel: related - href: '#si-13' rel: related parts: - id: cp-13_smt name: statement prose: 'Employ {{ insert: param, cp-13_odp.01 }} for satisfying {{ insert: param, cp-13_odp.02 }} when the primary means of implementing the security function is unavailable or compromised.' - id: cp-13_gdn name: guidance prose: Use of alternative security mechanisms supports system resiliency, contingency planning, and continuity of operations. To ensure mission and business continuity, organizations can implement alternative or supplemental security mechanisms. The mechanisms may be less effective than the primary mechanisms. However, having the capability to readily employ alternative or supplemental mechanisms enhances mission and business continuity that might otherwise be adversely impacted if operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, the alternative or supplemental mechanisms are only applied to critical security capabilities provided by systems, system components, or system services. For example, an organization may issue one-time pads to senior executives, officials, and system administrators if multi-factor tokens—the standard means for achieving secure authentication— are compromised. - id: cp-13_obj name: assessment-objective props: - name: label value: CP-13 class: sp800-53a prose: '{{ insert: param, cp-13_odp.01 }} are employed for satisfying {{ insert: param, cp-13_odp.02 }} when the primary means of implementing the security function is unavailable or compromised.' links: - href: '#cp-13_smt' rel: assessment-for - id: cp-13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: CP-13-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Contingency planning policy procedures addressing alternate security mechanisms contingency plan continuity of operations plan system design documentation system configuration settings and associated documentation contingency plan test records contingency plan test results system security plan other relevant documents or records - id: cp-13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: CP-13-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system operation responsibilities organizational personnel with information security responsibilities - id: cp-13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: CP-13-Test class: sp800-53a parts: - name: assessment-objects prose: system capability implementing alternative security mechanisms - 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 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 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 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: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: label value: IA-02 class: zero-padded - name: label value: IA-2 - name: label value: IA-02 class: sp800-53a - name: sort-id value: ia-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#a295ca19-8c75-4b4c-8800-98024732e181' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#858705be-3c1f-48aa-a328-0ce398d95ef0' rel: reference - href: '#7af2e6ec-9f7e-4232-ad3f-09888eb0793a' rel: reference - href: '#828856bd-d7c4-427b-8b51-815517ec382d' rel: reference - href: '#10963761-58fc-4b20-b3d6-b44a54daba03' rel: reference - href: '#d9e036ba-6eec-46a6-9340-b0bf1fea23b4' rel: reference - href: '#e8552d48-cf41-40aa-8b06-f45f7fb4706c' rel: reference - href: '#15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c' rel: reference - href: '#4b38e961-1125-4a5b-aa35-1d6c02846dad' rel: reference - href: '#91701292-8bcd-4d2e-a5bd-59ab61e34b3c' rel: reference - href: '#4f5f51ac-2b8d-4b90-a3c7-46f56e967617' rel: reference - href: '#604774da-9e1d-48eb-9c62-4e959dc80737' rel: reference - href: '#7f473f21-fdbf-4a6c-81a1-0ab95919609d' rel: reference - href: '#3915a084-b87b-4f02-83d4-c369e746292f' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-14' rel: related - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#au-1' rel: related - href: '#au-6' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: '#ia-8' rel: related - href: '#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 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_obj name: assessment-objective props: - name: label value: IA-02 class: sp800-53a parts: - id: ia-2_obj-1 name: assessment-objective props: - 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: 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: label value: IA-02(01) class: zero-padded - name: label value: IA-2(1) - name: label value: IA-02(01) class: sp800-53a - name: sort-id value: ia-02.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-2' rel: required - href: '#ac-5' rel: related - href: '#ac-6' rel: related parts: - id: ia-2.1_smt name: statement 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_obj name: assessment-objective props: - 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: label value: IA-02(02) class: zero-padded - name: label value: IA-2(2) - name: label value: IA-02(02) class: sp800-53a - name: sort-id value: ia-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-2' rel: required - href: '#ac-5' rel: related parts: - id: ia-2.2_smt name: statement 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_obj name: assessment-objective props: - 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-2.3 class: SP800-53-enhancement title: Local Access to Privileged Accounts props: - name: label value: IA-02(03) class: zero-padded - name: label value: IA-2(3) - name: label value: IA-02(03) class: sp800-53a - name: sort-id value: ia-02.03 - name: status value: withdrawn links: - href: '#ia-2.1' rel: incorporated-into - id: ia-2.4 class: SP800-53-enhancement title: Local Access to Non-privileged Accounts props: - name: label value: IA-02(04) class: zero-padded - name: label value: IA-2(4) - name: label value: IA-02(04) class: sp800-53a - name: sort-id value: ia-02.04 - name: status value: withdrawn links: - href: '#ia-2.2' rel: incorporated-into - id: ia-2.5 class: SP800-53-enhancement title: Individual Authentication with Group Authentication props: - name: label value: IA-02(05) class: zero-padded - name: label value: IA-2(5) - name: label value: IA-02(05) class: sp800-53a - name: sort-id value: ia-02.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-2' rel: required parts: - id: ia-2.5_smt name: statement prose: When shared accounts or authenticators are employed, require users to be individually authenticated before granting access to the shared accounts or resources. - id: ia-2.5_gdn name: guidance prose: Individual authentication prior to shared group authentication mitigates the risk of using group accounts or authenticators. - id: ia-2.5_obj name: assessment-objective props: - name: label value: IA-02(05) class: sp800-53a prose: users are required to be individually authenticated before granting access to the shared accounts or resources when shared accounts or authenticators are employed. links: - href: '#ia-2.5_smt' rel: assessment-for - id: ia-2.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-02(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy system security plan procedures addressing user identification and authentication system design documentation system configuration settings and associated documentation system audit records list of system accounts other relevant documents or records - id: ia-2.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-02(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system operations responsibilities organizational personnel with account management responsibilities organizational personnel with information security responsibilities system/network administrators system developers - id: ia-2.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-02(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing an authentication capability for group accounts - id: ia-2.6 class: SP800-53-enhancement title: Access to Accounts —separate Device params: - id: ia-02.06_odp.01 props: - name: alt-identifier value: ia-2.6_prm_1 - name: label value: IA-02(06)_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - local - network - remote - id: ia-02.06_odp.02 props: - name: alt-identifier value: ia-2.6_prm_2 - name: label value: IA-02(06)_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - privileged accounts - non-privileged accounts - id: ia-02.06_odp.03 props: - name: alt-identifier value: ia-2.6_prm_3 - name: label value: IA-02(06)_ODP[03] class: sp800-53a label: strength of mechanism requirements guidelines: - prose: the strength of mechanism requirements to be enforced by a device separate from the system gaining access to accounts is defined; props: - name: label value: IA-02(06) class: zero-padded - name: label value: IA-2(6) - name: label value: IA-02(06) class: sp800-53a - name: sort-id value: ia-02.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-2' rel: required - href: '#ac-6' rel: related parts: - id: ia-2.6_smt name: statement prose: 'Implement multi-factor authentication for {{ insert: param, ia-02.06_odp.01 }} access to {{ insert: param, ia-02.06_odp.02 }} such that:' parts: - id: ia-2.6_smt.a name: item props: - name: label value: (a) prose: One of the factors is provided by a device separate from the system gaining access; and - id: ia-2.6_smt.b name: item props: - name: label value: (b) prose: 'The device meets {{ insert: param, ia-02.06_odp.03 }}.' - id: ia-2.6_gdn name: guidance prose: The purpose of requiring a device that is separate from the system to which the user is attempting to gain access for one of the factors during multi-factor authentication is to reduce the likelihood of compromising authenticators or credentials stored on the system. Adversaries may be able to compromise such authenticators or credentials and subsequently impersonate authorized users. Implementing one of the factors on a separate device (e.g., a hardware token), provides a greater strength of mechanism and an increased level of assurance in the authentication process. - id: ia-2.6_obj name: assessment-objective props: - name: label value: IA-02(06) class: sp800-53a parts: - id: ia-2.6_obj.a name: assessment-objective props: - name: label value: IA-02(06)(a) class: sp800-53a prose: 'multi-factor authentication is implemented for {{ insert: param, ia-02.06_odp.01 }} access to {{ insert: param, ia-02.06_odp.02 }} such that one of the factors is provided by a device separate from the system gaining access;' links: - href: '#ia-2.6_smt.a' rel: assessment-for - id: ia-2.6_obj.b name: assessment-objective props: - name: label value: IA-02(06)(b) class: sp800-53a prose: 'multi-factor authentication is implemented for {{ insert: param, ia-02.06_odp.01 }} access to {{ insert: param, ia-02.06_odp.02 }} such that the device meets {{ insert: param, ia-02.06_odp.03 }}.' links: - href: '#ia-2.6_smt.b' rel: assessment-for links: - href: '#ia-2.6_smt' rel: assessment-for - id: ia-2.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-02(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy system security plan procedures addressing user identification and authentication system design documentation system configuration settings and associated documentation system audit records list of system accounts other relevant documents or records - id: ia-2.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-02(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system operations responsibilities organizational personnel with account management responsibilities organizational personnel with information security responsibilities system/network administrators system developers - id: ia-2.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-02(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing multi-factor authentication capability - id: ia-2.7 class: SP800-53-enhancement title: Network Access to Non-privileged Accounts — Separate Device props: - name: label value: IA-02(07) class: zero-padded - name: label value: IA-2(7) - name: label value: IA-02(07) class: sp800-53a - name: sort-id value: ia-02.07 - name: status value: withdrawn links: - href: '#ia-2.6' rel: incorporated-into - 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: 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 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: 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-2.9 class: SP800-53-enhancement title: Network Access to Non-privileged Accounts — Replay Resistant props: - name: label value: IA-02(09) class: zero-padded - name: label value: IA-2(9) - name: label value: IA-02(09) class: sp800-53a - name: sort-id value: ia-02.09 - name: status value: withdrawn links: - href: '#ia-2.8' rel: incorporated-into - id: ia-2.10 class: SP800-53-enhancement title: Single Sign-on params: - id: ia-02.10_odp props: - name: alt-identifier value: ia-2.10_prm_1 - name: label value: IA-02(10)_ODP class: sp800-53a label: system accounts and services guidelines: - prose: system accounts and services for which a single sign-on capability must be provided are defined; props: - name: label value: IA-02(10) class: zero-padded - name: label value: IA-2(10) - name: label value: IA-02(10) class: sp800-53a - name: sort-id value: ia-02.10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-2' rel: required parts: - id: ia-2.10_smt name: statement prose: 'Provide a single sign-on capability for {{ insert: param, ia-02.10_odp }}.' - id: ia-2.10_gdn name: guidance prose: Single sign-on enables users to log in once and gain access to multiple system resources. Organizations consider the operational efficiencies provided by single sign-on capabilities with the risk introduced by allowing access to multiple systems via a single authentication event. Single sign-on can present opportunities to improve system security, for example by providing the ability to add multi-factor authentication for applications and systems (existing and new) that may not be able to natively support multi-factor authentication. - id: ia-2.10_obj name: assessment-objective props: - name: label value: IA-02(10) class: sp800-53a prose: 'a single sign-on capability is provided for {{ insert: param, ia-02.10_odp }}.' links: - href: '#ia-2.10_smt' rel: assessment-for - id: ia-2.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-02(10)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy system security plan procedures addressing single sign-on capability for system accounts and services procedures addressing identification and authentication system design documentation system configuration settings and associated documentation system audit records list of system accounts and services requiring single sign-on capability other relevant documents or records - id: ia-2.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-02(10)-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-2.10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-02(10)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing identification and authentication capabilities mechanisms supporting and/or implementing single sign-on capability for system accounts and services - id: ia-2.11 class: SP800-53-enhancement title: Remote Access — Separate Device props: - name: label value: IA-02(11) class: zero-padded - name: label value: IA-2(11) - name: label value: IA-02(11) class: sp800-53a - name: sort-id value: ia-02.11 - name: status value: withdrawn links: - href: '#ia-2.6' rel: incorporated-into - id: ia-2.12 class: SP800-53-enhancement title: Acceptance of PIV Credentials props: - 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 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_obj name: assessment-objective props: - 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-2.13 class: SP800-53-enhancement title: Out-of-band Authentication params: - id: ia-02.13_odp.01 props: - name: alt-identifier value: ia-2.13_prm_2 - name: label value: IA-02(13)_ODP[01] class: sp800-53a label: out-of-band authentication guidelines: - prose: out-of-band authentication mechanisms to be implemented are defined; - id: ia-02.13_odp.02 props: - name: alt-identifier value: ia-2.13_prm_1 - name: label value: IA-02(13)_ODP[02] class: sp800-53a label: conditions guidelines: - prose: conditions under which out-of-band authentication is to be implemented are defined; props: - name: label value: IA-02(13) class: zero-padded - name: label value: IA-2(13) - name: label value: IA-02(13) class: sp800-53a - name: sort-id value: ia-02.13 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-2' rel: required - href: '#ia-10' rel: related - href: '#ia-11' rel: related - href: '#sc-37' rel: related parts: - id: ia-2.13_smt name: statement prose: 'Implement the following out-of-band authentication mechanisms under {{ insert: param, ia-02.13_odp.02 }}: {{ insert: param, ia-02.13_odp.01 }}.' - id: ia-2.13_gdn name: guidance prose: Out-of-band authentication refers to the use of two separate communication paths to identify and authenticate users or devices to an information system. The first path (i.e., the in-band path) is used to identify and authenticate users or devices and is generally the path through which information flows. The second path (i.e., the out-of-band path) is used to independently verify the authentication and/or requested action. For example, a user authenticates via a notebook computer to a remote server to which the user desires access and requests some action of the server via that communication path. Subsequently, the server contacts the user via the user’s cell phone to verify that the requested action originated from the user. The user may confirm the intended action to an individual on the telephone or provide an authentication code via the telephone. Out-of-band authentication can be used to mitigate actual or suspected "man-in the-middle" attacks. The conditions or criteria for activation include suspicious activities, new threat indicators, elevated threat levels, or the impact or classification level of information in requested transactions. - id: ia-2.13_obj name: assessment-objective props: - name: label value: IA-02(13) class: sp800-53a prose: '{{ insert: param, ia-02.13_odp.01 }} mechanisms are implemented under {{ insert: param, ia-02.13_odp.02 }}.' links: - href: '#ia-2.13_smt' rel: assessment-for - id: ia-2.13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-02(13)-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 system-generated list of out-of-band authentication paths other relevant documents or records - id: ia-2.13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-02(13)-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-2.13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-02(13)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing out-of-band authentication capability - id: ia-3 class: SP800-53 title: Device Identification and Authentication params: - id: ia-03_odp.01 props: - name: alt-identifier value: ia-3_prm_1 - name: label value: IA-03_ODP[01] class: sp800-53a label: devices and/or types of devices guidelines: - prose: devices and/or types of devices to be uniquely identified and authenticated before establishing a connection are defined; - id: ia-03_odp.02 props: - name: alt-identifier value: ia-3_prm_2 - name: label value: IA-03_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - local - remote - network props: - name: label value: IA-03 class: zero-padded - name: label value: IA-3 - name: label value: IA-03 class: sp800-53a - name: sort-id value: ia-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#au-6' rel: related - href: '#ca-3' rel: related - href: '#ca-9' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: '#ia-9' rel: related - href: '#ia-11' rel: related - href: '#ia-13' rel: related - href: '#si-4' rel: related parts: - id: ia-3_smt name: statement prose: 'Uniquely identify and authenticate {{ insert: param, ia-03_odp.01 }} before establishing a {{ insert: param, ia-03_odp.02 }} connection.' - id: ia-3_gdn name: guidance prose: Devices that require unique device-to-device identification and authentication are defined by type, device, or a combination of type and device. Organization-defined device types include devices that are not owned by the organization. Systems use shared known information (e.g., Media Access Control [MAC], Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., Institute of Electrical and Electronics Engineers (IEEE) 802.1x and Extensible Authentication Protocol [EAP], RADIUS server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify and authenticate devices on local and wide area networks. Organizations determine the required strength of authentication mechanisms based on the security categories of systems and mission or business requirements. Because of the challenges of implementing device authentication on a large scale, organizations can restrict the application of the control to a limited number/type of devices based on mission or business needs. - id: ia-3_obj name: assessment-objective props: - name: label value: IA-03 class: sp800-53a prose: '{{ insert: param, ia-03_odp.01 }} are uniquely identified and authenticated before establishing a {{ insert: param, ia-03_odp.02 }} connection.' links: - href: '#ia-3_smt' rel: assessment-for - id: ia-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-03-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy system security plan procedures addressing device identification and authentication system design documentation list of devices requiring unique identification and authentication device connection reports system configuration settings and associated documentation other relevant documents or records - id: ia-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-03-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with operational responsibilities for device identification and authentication organizational personnel with information security responsibilities system/network administrators system developers - id: ia-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-03-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing device identification and authentication capabilities controls: - id: ia-3.1 class: SP800-53-enhancement title: Cryptographic Bidirectional Authentication params: - id: ia-03.01_odp.01 props: - name: alt-identifier value: ia-3.1_prm_1 - name: label value: IA-03(01)_ODP[01] class: sp800-53a label: devices and/or types of devices guidelines: - prose: devices and/or types of devices requiring use of cryptographically based, bidirectional authentication to authenticate before establishing one or more connections are defined; - id: ia-03.01_odp.02 props: - name: alt-identifier value: ia-3.1_prm_2 - name: label value: IA-03(01)_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - local - remote - network props: - name: label value: IA-03(01) class: zero-padded - name: label value: IA-3(1) - name: label value: IA-03(01) class: sp800-53a - name: sort-id value: ia-03.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-3' rel: required - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: ia-3.1_smt name: statement prose: 'Authenticate {{ insert: param, ia-03.01_odp.01 }} before establishing {{ insert: param, ia-03.01_odp.02 }} connection using bidirectional authentication that is cryptographically based.' - id: ia-3.1_gdn name: guidance prose: A local connection is a connection with a device that communicates without the use of a network. A network connection is a connection with a device that communicates through a network. A remote connection is a connection with a device that communicates through an external network. Bidirectional authentication provides stronger protection to validate the identity of other devices for connections that are of greater risk. - id: ia-3.1_obj name: assessment-objective props: - name: label value: IA-03(01) class: sp800-53a prose: '{{ insert: param, ia-03.01_odp.01 }} are authenticated before establishing {{ insert: param, ia-03.01_odp.02 }} connection using bidirectional authentication that is cryptographically based.' links: - href: '#ia-3.1_smt' rel: assessment-for - id: ia-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy system security plan procedures addressing device identification and authentication system design documentation list of devices requiring unique identification and authentication device connection reports system configuration settings and associated documentation other relevant documents or records - id: ia-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with operational responsibilities for device identification and authentication organizational personnel with information security responsibilities system/network administrators system developers - id: ia-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-03(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing device authentication capability cryptographically based bidirectional authentication mechanisms - id: ia-3.2 class: SP800-53-enhancement title: Cryptographic Bidirectional Network Authentication props: - name: label value: IA-03(02) class: zero-padded - name: label value: IA-3(2) - name: label value: IA-03(02) class: sp800-53a - name: sort-id value: ia-03.02 - name: status value: withdrawn links: - href: '#ia-3.1' rel: incorporated-into - id: ia-3.3 class: SP800-53-enhancement title: Dynamic Address Allocation params: - id: ia-3.3_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ia-03.03_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ia-03.03_odp.02 label: organization-defined lease information and lease duration - id: ia-03.03_odp.01 props: - name: label value: IA-03(03)_ODP[01] class: sp800-53a label: lease information guidelines: - prose: lease information to be employed to standardize dynamic address allocation for devices is defined; - id: ia-03.03_odp.02 props: - name: label value: IA-03(03)_ODP[02] class: sp800-53a label: lease duration guidelines: - prose: lease duration to be employed to standardize dynamic address allocation for devices is defined; props: - name: label value: IA-03(03) class: zero-padded - name: label value: IA-3(3) - name: label value: IA-03(03) class: sp800-53a - name: sort-id value: ia-03.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-3' rel: required - href: '#au-2' rel: related parts: - id: ia-3.3_smt name: statement parts: - id: ia-3.3_smt.a name: item props: - name: label value: (a) prose: 'Where addresses are allocated dynamically, standardize dynamic address allocation lease information and the lease duration assigned to devices in accordance with {{ insert: param, ia-3.3_prm_1 }} ; and' - id: ia-3.3_smt.b name: item props: - name: label value: (b) prose: Audit lease information when assigned to a device. - id: ia-3.3_gdn name: guidance prose: The Dynamic Host Configuration Protocol (DHCP) is an example of a means by which clients can dynamically receive network address assignments. - id: ia-3.3_obj name: assessment-objective props: - name: label value: IA-03(03) class: sp800-53a parts: - id: ia-3.3_obj.a name: assessment-objective props: - name: label value: IA-03(03)(a) class: sp800-53a parts: - id: ia-3.3_obj.a-1 name: assessment-objective props: - name: label value: IA-03(03)(a)[01] class: sp800-53a prose: 'dynamic address allocation lease information assigned to devices where addresses are allocated dynamically are standardized in accordance with {{ insert: param, ia-03.03_odp.01 }};' links: - href: '#ia-3.3_smt.a' rel: assessment-for - id: ia-3.3_obj.a-2 name: assessment-objective props: - name: label value: IA-03(03)(a)[02] class: sp800-53a prose: 'dynamic address allocation lease duration assigned to devices where addresses are allocated dynamically are standardized in accordance with {{ insert: param, ia-03.03_odp.02 }};' links: - href: '#ia-3.3_smt.a' rel: assessment-for links: - href: '#ia-3.3_smt.a' rel: assessment-for - id: ia-3.3_obj.b name: assessment-objective props: - name: label value: IA-03(03)(b) class: sp800-53a prose: lease information is audited when assigned to a device. links: - href: '#ia-3.3_smt.b' rel: assessment-for links: - href: '#ia-3.3_smt' rel: assessment-for - id: ia-3.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-03(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy system security plan procedures addressing device identification and authentication system design documentation system configuration settings and associated documentation evidence of lease information and lease duration assigned to devices device connection reports system audit records other relevant documents or records - id: ia-3.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-03(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with operational responsibilities for device identification and authentication organizational personnel with information security responsibilities system/network administrators system developers - id: ia-3.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-03(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing device identification and authentication capabilities mechanisms supporting and/or implementing dynamic address allocation mechanisms supporting and/or implanting auditing of lease information - id: ia-3.4 class: SP800-53-enhancement title: Device Attestation params: - id: ia-03.04_odp props: - name: alt-identifier value: ia-3.4_prm_1 - name: label value: IA-03(04)_ODP class: sp800-53a label: configuration management process guidelines: - prose: configuration management process to be employed to handle device identification and authentication based on attestation is defined; props: - name: label value: IA-03(04) class: zero-padded - name: label value: IA-3(4) - name: label value: IA-03(04) class: sp800-53a - name: sort-id value: ia-03.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-3' rel: required - href: '#cm-2' rel: related - href: '#cm-3' rel: related - href: '#cm-6' rel: related parts: - id: ia-3.4_smt name: statement prose: 'Handle device identification and authentication based on attestation by {{ insert: param, ia-03.04_odp }}.' - id: ia-3.4_gdn name: guidance prose: Device attestation refers to the identification and authentication of a device based on its configuration and known operating state. Device attestation can be determined via a cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the patches and updates are done securely and do not disrupt identification and authentication to other devices. - id: ia-3.4_obj name: assessment-objective props: - name: label value: IA-03(04) class: sp800-53a prose: 'device identification and authentication are handled based on attestation by {{ insert: param, ia-03.04_odp }}.' links: - href: '#ia-3.4_smt' rel: assessment-for - id: ia-3.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-03(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy system security plan procedures addressing device identification and authentication procedures addressing device configuration management system design documentation system configuration settings and associated documentation configuration management records change control records system audit records other relevant documents or records - id: ia-3.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-03(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with operational responsibilities for device identification and authentication organizational personnel with information security responsibilities system/network administrators - id: ia-3.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-03(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing device identification and authentication capabilities mechanisms supporting and/or implementing configuration management cryptographic mechanisms supporting device attestation - 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 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 guidelines: - prose: a time period for preventing reuse of identifiers is defined; props: - name: label value: IA-04 class: zero-padded - name: label value: IA-4 - name: label value: IA-04 class: sp800-53a - name: sort-id value: ia-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#858705be-3c1f-48aa-a328-0ce398d95ef0' rel: reference - href: '#7af2e6ec-9f7e-4232-ad3f-09888eb0793a' rel: reference - href: '#828856bd-d7c4-427b-8b51-815517ec382d' rel: reference - href: '#ac-5' rel: related - href: '#ia-2' rel: related - href: '#ia-3' rel: related - href: '#ia-5' rel: related - href: '#ia-8' rel: related - href: '#ia-9' rel: related - href: '#ia-12' rel: related - href: '#ma-4' rel: related - href: '#pe-2' rel: related - href: '#pe-3' rel: related - href: '#pe-4' rel: related - href: '#pl-4' rel: related - href: '#pm-12' rel: related - href: '#ps-3' rel: related - href: '#ps-4' rel: related - href: '#ps-5' rel: related - href: '#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: 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: 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: 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: 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: 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: 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: 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: label value: IA-04d. class: sp800-53a prose: 'system identifiers are managed by preventing reuse of identifiers for {{ insert: param, ia-04_odp.02 }}.' links: - href: '#ia-4_smt.d' rel: assessment-for links: - href: '#ia-4_smt' rel: assessment-for - id: ia-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-04-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing identifier management procedures addressing account management system security plan system design documentation system configuration settings and associated documentation list of system accounts list of identifiers generated from physical access control devices other relevant documents or records - id: ia-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-04-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with identifier management responsibilities organizational personnel with information security responsibilities system/network administrators system developers - id: ia-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-04-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identifier management controls: - id: ia-4.1 class: SP800-53-enhancement title: Prohibit Account Identifiers as Public Identifiers props: - name: label value: IA-04(01) class: zero-padded - name: label value: IA-4(1) - name: label value: IA-04(01) class: sp800-53a - name: sort-id value: ia-04.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-4' rel: required - href: '#at-2' rel: related - href: '#pt-7' rel: related parts: - id: ia-4.1_smt name: statement prose: Prohibit the use of system account identifiers that are the same as public identifiers for individual accounts. - id: ia-4.1_gdn name: guidance prose: Prohibiting account identifiers as public identifiers applies to any publicly disclosed account identifier used for communication such as, electronic mail and instant messaging. Prohibiting the use of systems account identifiers that are the same as some public identifier, such as the individual identifier section of an electronic mail address, makes it more difficult for adversaries to guess user identifiers. Prohibiting account identifiers as public identifiers without the implementation of other supporting controls only complicates guessing of identifiers. Additional protections are required for authenticators and credentials to protect the account. - id: ia-4.1_obj name: assessment-objective props: - name: label value: IA-04(01) class: sp800-53a prose: the use of system account identifiers that are the same as public identifiers is prohibited for individual accounts. links: - href: '#ia-4.1_smt' rel: assessment-for - id: ia-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy system security plan procedures addressing identifier management procedures addressing account management system design documentation system configuration settings and associated documentation system audit records other relevant documents or records - id: ia-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with identifier management responsibilities organizational personnel with information security responsibilities system/network administrators - id: ia-4.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-04(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identifier management - id: ia-4.2 class: SP800-53-enhancement title: Supervisor Authorization props: - name: label value: IA-04(02) class: zero-padded - name: label value: IA-4(2) - name: label value: IA-04(02) class: sp800-53a - name: sort-id value: ia-04.02 - name: status value: withdrawn links: - href: '#ia-12.1' rel: incorporated-into - id: ia-4.3 class: SP800-53-enhancement title: Multiple Forms of Certification props: - name: label value: IA-04(03) class: zero-padded - name: label value: IA-4(3) - name: label value: IA-04(03) class: sp800-53a - name: sort-id value: ia-04.03 - name: status value: withdrawn links: - href: '#ia-12.2' rel: incorporated-into - id: ia-4.4 class: SP800-53-enhancement title: Identify User Status params: - id: ia-04.04_odp props: - name: alt-identifier value: ia-4.4_prm_1 - name: alt-label value: characteristic identifying individual status class: sp800-53 - name: label value: IA-04(04)_ODP class: sp800-53a label: characteristics guidelines: - prose: characteristics used to identify individual status is defined; props: - name: label value: IA-04(04) class: zero-padded - name: label value: IA-4(4) - name: label value: IA-04(04) class: sp800-53a - name: sort-id value: ia-04.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-4' rel: required parts: - id: ia-4.4_smt name: statement prose: 'Manage individual identifiers by uniquely identifying each individual as {{ insert: param, ia-04.04_odp }}.' - id: ia-4.4_gdn name: guidance prose: Characteristics that identify the status of individuals include contractors, foreign nationals, and non-organizational users. Identifying the status of individuals by these characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor. - id: ia-4.4_obj name: assessment-objective props: - name: label value: IA-04(04) class: sp800-53a prose: 'individual identifiers are managed by uniquely identifying each individual as {{ insert: param, ia-04.04_odp }}.' links: - href: '#ia-4.4_smt' rel: assessment-for - id: ia-4.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-04(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy system security plan procedures addressing identifier management procedures addressing account management list of characteristics identifying individual status other relevant documents or records - id: ia-4.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-04(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with identifier management responsibilities organizational personnel with information security responsibilities system/network administrators - id: ia-4.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-04(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identifier management - id: ia-4.5 class: SP800-53-enhancement title: Dynamic Management params: - id: ia-04.05_odp props: - name: alt-identifier value: ia-4.5_prm_1 - name: label value: IA-04(05)_ODP class: sp800-53a label: dynamic identifier policy guidelines: - prose: a dynamic identifier policy for managing individual identifiers is defined; props: - name: label value: IA-04(05) class: zero-padded - name: label value: IA-4(5) - name: label value: IA-04(05) class: sp800-53a - name: sort-id value: ia-04.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-4' rel: required - href: '#ac-16' rel: related parts: - id: ia-4.5_smt name: statement prose: 'Manage individual identifiers dynamically in accordance with {{ insert: param, ia-04.05_odp }}.' - id: ia-4.5_gdn name: guidance prose: In contrast to conventional approaches to identification that presume static accounts for preregistered users, many distributed systems establish identifiers at runtime for entities that were previously unknown. When identifiers are established at runtime for previously unknown entities, organizations can anticipate and provision for the dynamic establishment of identifiers. Pre-established trust relationships and mechanisms with appropriate authorities to validate credentials and related identifiers are essential. - id: ia-4.5_obj name: assessment-objective props: - name: label value: IA-04(05) class: sp800-53a prose: 'individual identifiers are dynamically managed in accordance with {{ insert: param, ia-04.05_odp }}.' links: - href: '#ia-4.5_smt' rel: assessment-for - id: ia-4.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-04(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy system security plan procedures addressing identifier management procedures addressing account management system design documentation system configuration settings and associated documentation system audit records other relevant documents or records - id: ia-4.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-04(05)-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-4.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-04(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing dynamic identifier management - id: ia-4.6 class: SP800-53-enhancement title: Cross-organization Management params: - id: ia-04.06_odp props: - name: alt-identifier value: ia-4.6_prm_1 - name: label value: IA-04(06)_ODP class: sp800-53a label: external organizations guidelines: - prose: external organizations with whom to coordinate the cross-organization management of identifiers are defined; props: - name: label value: IA-04(06) class: zero-padded - name: label value: IA-4(6) - name: label value: IA-04(06) class: sp800-53a - name: sort-id value: ia-04.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-4' rel: required - href: '#au-16' rel: related - href: '#ia-2' rel: related - href: '#ia-5' rel: related parts: - id: ia-4.6_smt name: statement prose: 'Coordinate with the following external organizations for cross-organization management of identifiers: {{ insert: param, ia-04.06_odp }}.' - id: ia-4.6_gdn name: guidance prose: Cross-organization identifier management provides the capability to identify individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information. - id: ia-4.6_obj name: assessment-objective props: - name: label value: IA-04(06) class: sp800-53a prose: 'cross-organization management of identifiers is coordinated with {{ insert: param, ia-04.06_odp }}.' links: - href: '#ia-4.6_smt' rel: assessment-for - id: ia-4.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-04(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing identifier management procedures addressing account management system security plan other relevant documents or records - id: ia-4.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-04(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with identifier management responsibilities organizational personnel with information security responsibilities - id: ia-4.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-04(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identifier management - id: ia-4.7 class: SP800-53-enhancement title: In-person Registration props: - name: label value: IA-04(07) class: zero-padded - name: label value: IA-4(7) - name: label value: IA-04(07) class: sp800-53a - name: sort-id value: ia-04.07 - name: status value: withdrawn links: - href: '#ia-12.4' rel: incorporated-into - id: ia-4.8 class: SP800-53-enhancement title: Pairwise Pseudonymous Identifiers props: - name: label value: IA-04(08) class: zero-padded - name: label value: IA-4(8) - name: label value: IA-04(08) class: sp800-53a - name: sort-id value: ia-04.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-4' rel: required - href: '#ia-5' rel: related parts: - id: ia-4.8_smt name: statement prose: Generate pairwise pseudonymous identifiers. - id: ia-4.8_gdn name: guidance prose: A pairwise pseudonymous identifier is an opaque unguessable subscriber identifier generated by an identity provider for use at a specific individual relying party. Generating distinct pairwise pseudonymous identifiers with no identifying information about a subscriber discourages subscriber activity tracking and profiling beyond the operational requirements established by an organization. The pairwise pseudonymous identifiers are unique to each relying party except in situations where relying parties can show a demonstrable relationship justifying an operational need for correlation, or all parties consent to being correlated in such a manner. - id: ia-4.8_obj name: assessment-objective props: - name: label value: IA-04(08) class: sp800-53a prose: pairwise pseudonymous identifiers are generated. links: - href: '#ia-4.8_smt' rel: assessment-for - id: ia-4.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-04(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy system security plan procedures addressing identifier management procedures addressing account management system design documentation system configuration settings and associated documentation system audit records other relevant documents or records - id: ia-4.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-04(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with identifier management responsibilities organizational personnel with information security responsibilities - id: ia-4.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-04(08)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identifier management - id: ia-4.9 class: SP800-53-enhancement title: Attribute Maintenance and Protection params: - id: ia-04.09_odp props: - name: alt-identifier value: ia-4.9_prm_1 - name: label value: IA-04(09)_ODP class: sp800-53a label: protected central storage guidelines: - prose: protected central storage used to maintain the attributes for each uniquely identified individual, device, or service is defined; props: - name: label value: IA-04(09) class: zero-padded - name: label value: IA-4(9) - name: label value: IA-04(09) class: sp800-53a - name: sort-id value: ia-04.09 - 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-4' rel: required parts: - id: ia-4.9_smt name: statement prose: 'Maintain the attributes for each uniquely identified individual, device, or service in {{ insert: param, ia-04.09_odp }}.' - id: ia-4.9_gdn name: guidance prose: For each of the entities covered in [IA-2](#ia-2), [IA-3](#ia-3), [IA-8](#ia-8) , and [IA-9](#ia-9) , it is important to maintain the attributes for each authenticated entity on an ongoing basis in a central (protected) store. - id: ia-4.9_obj name: assessment-objective props: - name: label value: IA-04(09) class: sp800-53a prose: 'the attributes for each uniquely identified individual, device, or service are maintained in {{ insert: param, ia-04.09_odp }}.' links: - href: '#ia-4.9_smt' rel: assessment-for - id: ia-4.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-04(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy system security plan procedures addressing identifier management procedures addressing account management system design documentation system configuration settings and associated documentation system audit records other relevant documents or records - id: ia-4.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-04(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with identifier management responsibilities organizational personnel with information security responsibilities - id: ia-4.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-04(09)-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: label value: IA-05 class: zero-padded - name: label value: IA-5 - name: label value: IA-05 class: sp800-53a - name: sort-id value: ia-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#eea3c092-42ed-4382-a6f4-1adadef01b9d' rel: reference - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#a295ca19-8c75-4b4c-8800-98024732e181' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#858705be-3c1f-48aa-a328-0ce398d95ef0' rel: reference - href: '#7af2e6ec-9f7e-4232-ad3f-09888eb0793a' rel: reference - href: '#828856bd-d7c4-427b-8b51-815517ec382d' rel: reference - href: '#15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c' rel: reference - href: '#91701292-8bcd-4d2e-a5bd-59ab61e34b3c' rel: reference - href: '#4f5f51ac-2b8d-4b90-a3c7-46f56e967617' rel: reference - href: '#604774da-9e1d-48eb-9c62-4e959dc80737' rel: reference - href: '#81aeb0a3-d0ee-4e44-b842-6bf28d2bd7f5' rel: reference - href: '#ac-3' rel: related - href: '#ac-6' rel: related - href: '#cm-6' rel: related - href: '#ia-2' rel: related - href: '#ia-4' rel: related - href: '#ia-7' rel: related - href: '#ia-8' rel: related - href: '#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: 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: label value: b. prose: Establishing initial authenticator content for any authenticators issued by the organization; - id: ia-5_smt.c name: item props: - 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: 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: label value: e. prose: Changing default authenticators prior to first use; - id: ia-5_smt.f name: item props: - 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: label value: g. prose: Protecting authenticator content from unauthorized disclosure and modification; - id: ia-5_smt.h name: item props: - 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: label value: i. prose: Changing authenticators for group or role accounts when membership to those accounts changes. - id: ia-5_gdn name: guidance prose: |- Authenticators include passwords, cryptographic devices, biometrics, certificates, one-time password devices, and ID badges. Device authenticators include certificates and passwords. Initial authenticator content is the actual content of the authenticator (e.g., the initial password). In contrast, the requirements for authenticator content contain specific criteria or characteristics (e.g., minimum password length). Developers may deliver system components with factory default authentication credentials (i.e., passwords) to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant risk. The requirement to protect individual authenticators may be implemented via control [PL-4](#pl-4) or [PS-6](#ps-6) for authenticators in the possession of individuals and by controls [AC-3](#ac-3), [AC-6](#ac-6) , and [SC-28](#sc-28) for authenticators stored in organizational systems, including passwords stored in hashed or encrypted formats or files containing encrypted or hashed passwords accessible with administrator privileges. Systems support authenticator management by organization-defined settings and restrictions for various authenticator characteristics (e.g., minimum password length, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication). Actions can be taken to safeguard individual authenticators, including maintaining possession of authenticators, not sharing authenticators with others, and immediately reporting lost, stolen, or compromised authenticators. Authenticator management includes issuing and revoking authenticators for temporary access when no longer needed. - id: ia-5_obj name: assessment-objective props: - name: label value: IA-05 class: sp800-53a parts: - id: ia-5_obj.a name: assessment-objective props: - 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: label value: (c) prose: Transmit passwords only over cryptographically-protected channels; - id: ia-5.1_smt.d name: item props: - 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: label value: (e) prose: Require immediate selection of a new password upon account recovery; - id: ia-5.1_smt.f name: item props: - 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: 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: 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_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: 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: 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: 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: 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: 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: 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: 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: label value: IA-05(01)(h) class: sp800-53a prose: 'for password-based authentication, {{ insert: param, ia-05.01_odp.02 }} are enforced.' links: - href: '#ia-5.1_smt.h' rel: assessment-for links: - href: '#ia-5.1_smt' rel: assessment-for - id: ia-5.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy password policy procedures addressing authenticator management system security plan system design documentation system configuration settings and associated documentation password configurations and associated documentation other relevant documents or records - id: ia-5.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with authenticator management responsibilities organizational personnel with information security responsibilities system/network administrators system developers - id: ia-5.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing password-based authenticator management capability - id: ia-5.2 class: SP800-53-enhancement title: Public Key-based Authentication props: - name: label value: IA-05(02) class: zero-padded - name: label value: IA-5(2) - name: label value: IA-05(02) class: sp800-53a - name: sort-id value: ia-05.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-5' rel: required - href: '#ia-3' rel: related - href: '#sc-17' rel: related parts: - id: ia-5.2_smt name: statement parts: - id: ia-5.2_smt.a name: item props: - name: label value: (a) prose: 'For public key-based authentication:' parts: - id: ia-5.2_smt.a.1 name: item props: - name: label value: (1) prose: Enforce authorized access to the corresponding private key; and - id: ia-5.2_smt.a.2 name: item props: - name: label value: (2) prose: Map the authenticated identity to the account of the individual or group; and - id: ia-5.2_smt.b name: item props: - name: label value: (b) prose: 'When public key infrastructure (PKI) is used:' parts: - id: ia-5.2_smt.b.1 name: item props: - name: label value: (1) prose: Validate certificates by constructing and verifying a certification path to an accepted trust anchor, including checking certificate status information; and - id: ia-5.2_smt.b.2 name: item props: - name: label value: (2) prose: Implement a local cache of revocation data to support path discovery and validation. - id: ia-5.2_gdn name: guidance prose: Public key cryptography is a valid authentication mechanism for individuals, machines, and devices. For PKI solutions, status information for certification paths includes certificate revocation lists or certificate status protocol responses. For PIV cards, certificate validation involves the construction and verification of a certification path to the Common Policy Root trust anchor, which includes certificate policy processing. Implementing a local cache of revocation data to support path discovery and validation also supports system availability in situations where organizations are unable to access revocation information via the network. - id: ia-5.2_obj name: assessment-objective props: - name: label value: IA-05(02) class: sp800-53a parts: - id: ia-5.2_obj.a name: assessment-objective props: - name: label value: IA-05(02)(a) class: sp800-53a parts: - id: ia-5.2_obj.a.1 name: assessment-objective props: - name: label value: IA-05(02)(a)(01) class: sp800-53a prose: authorized access to the corresponding private key is enforced for public key-based authentication; links: - href: '#ia-5.2_smt.a.1' rel: assessment-for - id: ia-5.2_obj.a.2 name: assessment-objective props: - name: label value: IA-05(02)(a)(02) class: sp800-53a prose: the authenticated identity is mapped to the account of the individual or group for public key-based authentication; links: - href: '#ia-5.2_smt.a.2' rel: assessment-for links: - href: '#ia-5.2_smt.a' rel: assessment-for - id: ia-5.2_obj.b name: assessment-objective props: - name: label value: IA-05(02)(b) class: sp800-53a parts: - id: ia-5.2_obj.b.1 name: assessment-objective props: - name: label value: IA-05(02)(b)(01) class: sp800-53a prose: when public key infrastructure (PKI) is used, certificates are validated by constructing and verifying a certification path to an accepted trust anchor, including checking certificate status information; links: - href: '#ia-5.2_smt.b.1' rel: assessment-for - id: ia-5.2_obj.b.2 name: assessment-objective props: - name: label value: IA-05(02)(b)(02) class: sp800-53a prose: when public key infrastructure (PKI) is used, a local cache of revocation data is implemented to support path discovery and validation. links: - href: '#ia-5.2_smt.b.2' rel: assessment-for links: - href: '#ia-5.2_smt.b' rel: assessment-for links: - href: '#ia-5.2_smt' rel: assessment-for - id: ia-5.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing authenticator management system security plan system design documentation system configuration settings and associated documentation PKI certification validation records PKI certification revocation lists other relevant documents or records - id: ia-5.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with PKI-based, authenticator management responsibilities organizational personnel with information security responsibilities system/network administrators system developers - id: ia-5.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing PKI-based, authenticator management capability - id: ia-5.3 class: SP800-53-enhancement title: In-person or Trusted External Party Registration props: - name: label value: IA-05(03) class: zero-padded - name: label value: IA-5(3) - name: label value: IA-05(03) class: sp800-53a - name: sort-id value: ia-05.03 - name: status value: withdrawn links: - href: '#ia-12.4' rel: incorporated-into - id: ia-5.4 class: SP800-53-enhancement title: Automated Support for Password Strength Determination props: - name: label value: IA-05(04) class: zero-padded - name: label value: IA-5(4) - name: label value: IA-05(04) class: sp800-53a - name: sort-id value: ia-05.04 - name: status value: withdrawn links: - href: '#ia-5.1' rel: incorporated-into - id: ia-5.5 class: SP800-53-enhancement title: Change Authenticators Prior to Delivery props: - name: label value: IA-05(05) class: zero-padded - name: label value: IA-5(5) - name: label value: IA-05(05) class: sp800-53a - name: sort-id value: ia-05.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-5' rel: required parts: - id: ia-5.5_smt name: statement prose: Require developers and installers of system components to provide unique authenticators or change default authenticators prior to delivery and installation. - id: ia-5.5_gdn name: guidance prose: Changing authenticators prior to the delivery and installation of system components extends the requirement for organizations to change default authenticators upon system installation by requiring developers and/or installers to provide unique authenticators or change default authenticators for system components prior to delivery and/or installation. However, it typically does not apply to developers of commercial off-the-shelf information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring systems or system components. - id: ia-5.5_obj name: assessment-objective props: - name: label value: IA-05(05) class: sp800-53a prose: developers and installers of system components are required to provide unique authenticators or change default authenticators prior to delivery and installation. links: - href: '#ia-5.5_smt' rel: assessment-for - id: ia-5.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy system security plan system and services acquisition policy procedures addressing authenticator management procedures addressing the integration of security requirements into the acquisition process acquisition documentation acquisition contracts for system procurements or services other relevant documents or records - id: ia-5.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with authenticator management responsibilities organizational personnel with information security, acquisition, and contracting responsibilities system developers - id: ia-5.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing authenticator management capability - id: ia-5.6 class: SP800-53-enhancement title: Protection of Authenticators props: - name: label value: IA-05(06) class: zero-padded - name: label value: IA-5(6) - name: label value: IA-05(06) class: sp800-53a - name: sort-id value: ia-05.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-5' rel: required - href: '#ra-2' rel: related parts: - id: ia-5.6_smt name: statement prose: Protect authenticators commensurate with the security category of the information to which use of the authenticator permits access. - id: ia-5.6_gdn name: guidance prose: For systems that contain multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems. Security categories of information are determined as part of the security categorization process. - id: ia-5.6_obj name: assessment-objective props: - name: label value: IA-05(06) class: sp800-53a prose: authenticators are protected commensurate with the security category of the information to which use of the authenticator permits access. links: - href: '#ia-5.6_smt' rel: assessment-for - id: ia-5.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing authenticator management security categorization documentation for the system security assessments of authenticator protections risk assessment results system security plan other relevant documents or records - id: ia-5.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with authenticator management responsibilities organizational personnel implementing and/or maintaining authenticator protections organizational personnel with information security responsibilities system/network administrators - id: ia-5.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(06)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing authenticator management capability mechanisms protecting authenticators - id: ia-5.7 class: SP800-53-enhancement title: No Embedded Unencrypted Static Authenticators props: - name: label value: IA-05(07) class: zero-padded - name: label value: IA-5(7) - name: label value: IA-05(07) class: sp800-53a - name: sort-id value: ia-05.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-5' rel: required parts: - id: ia-5.7_smt name: statement prose: Ensure that unencrypted static authenticators are not embedded in applications or other forms of static storage. - id: ia-5.7_gdn name: guidance prose: In addition to applications, other forms of static storage include access scripts and function keys. Organizations exercise caution when determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators. - id: ia-5.7_obj name: assessment-objective props: - name: label value: IA-05(07) class: sp800-53a prose: unencrypted static authenticators are not embedded in applications or other forms of static storage. links: - href: '#ia-5.7_smt' rel: assessment-for - id: ia-5.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy system security plan procedures addressing authenticator management system design documentation system configuration settings and associated documentation logical access scripts application code reviews for detecting unencrypted static authenticators other relevant documents or records - id: ia-5.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with authenticator management responsibilities organizational personnel with information security responsibilities system/network administrators system developers - id: ia-5.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(07)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing authenticator management capability mechanisms implementing authentication in applications - id: ia-5.8 class: SP800-53-enhancement title: Multiple System Accounts params: - id: ia-05.08_odp props: - name: alt-identifier value: ia-5.8_prm_1 - name: label value: IA-05(08)_ODP class: sp800-53a label: security controls guidelines: - prose: security controls implemented to manage the risk of compromise due to individuals having accounts on multiple systems are defined; props: - name: label value: IA-05(08) class: zero-padded - name: label value: IA-5(8) - name: label value: IA-05(08) class: sp800-53a - name: sort-id value: ia-05.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-5' rel: required - href: '#ps-6' rel: related parts: - id: ia-5.8_smt name: statement prose: 'Implement {{ insert: param, ia-05.08_odp }} to manage the risk of compromise due to individuals having accounts on multiple systems.' - id: ia-5.8_gdn name: guidance prose: When individuals have accounts on multiple systems and use the same authenticators such as passwords, there is the risk that a compromise of one account may lead to the compromise of other accounts. Alternative approaches include having different authenticators (passwords) on all systems, employing a single sign-on or federation mechanism, or using some form of one-time passwords on all systems. Organizations can also use rules of behavior (see [PL-4](#pl-4) ) and access agreements (see [PS-6](#ps-6) ) to mitigate the risk of multiple system accounts. - id: ia-5.8_obj name: assessment-objective props: - name: label value: IA-05(08) class: sp800-53a prose: '{{ insert: param, ia-05.08_odp }} are implemented to manage the risk of compromise due to individuals having accounts on multiple systems.' links: - href: '#ia-5.8_smt' rel: assessment-for - id: ia-5.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing authenticator management system security plan list of individuals having accounts on multiple systems list of security safeguards intended to manage risk of compromise due to individuals having accounts on multiple systems other relevant documents or records - id: ia-5.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with authenticator management responsibilities organizational personnel with information security responsibilities system/network administrators - id: ia-5.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(08)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing safeguards for authenticator management - id: ia-5.9 class: SP800-53-enhancement title: Federated Credential Management params: - id: ia-05.09_odp props: - name: alt-identifier value: ia-5.9_prm_1 - name: label value: IA-05(09)_ODP class: sp800-53a label: external organizations guidelines: - prose: external organizations to be used for federating credentials are defined; props: - name: label value: IA-05(09) class: zero-padded - name: label value: IA-5(9) - name: label value: IA-05(09) class: sp800-53a - name: sort-id value: ia-05.09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-5' rel: required - href: '#au-7' rel: related - href: '#au-16' rel: related parts: - id: ia-5.9_smt name: statement prose: 'Use the following external organizations to federate credentials: {{ insert: param, ia-05.09_odp }}.' - id: ia-5.9_gdn name: guidance prose: Federation provides organizations with the capability to authenticate individuals and devices when conducting cross-organization activities involving the processing, storage, or transmission of information. Using a specific list of approved external organizations for authentication helps to ensure that those organizations are vetted and trusted. - id: ia-5.9_obj name: assessment-objective props: - name: label value: IA-05(09) class: sp800-53a prose: '{{ insert: param, ia-05.09_odp }} are used to federate credentials.' links: - href: '#ia-5.9_smt' rel: assessment-for - id: ia-5.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing authenticator management procedures addressing account management system security plan security agreements other relevant documents or records - id: ia-5.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(09)-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-5.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(09)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing safeguards for authenticator management - id: ia-5.10 class: SP800-53-enhancement title: Dynamic Credential Binding params: - id: ia-05.10_odp props: - name: alt-identifier value: ia-5.10_prm_1 - name: label value: IA-05(10)_ODP class: sp800-53a label: binding rules guidelines: - prose: rules for dynamically binding identities and authenticators are defined; props: - name: label value: IA-05(10) class: zero-padded - name: label value: IA-5(10) - name: label value: IA-05(10) class: sp800-53a - name: sort-id value: ia-05.10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-5' rel: required - href: '#au-16' rel: related - href: '#ia-5' rel: related parts: - id: ia-5.10_smt name: statement prose: 'Bind identities and authenticators dynamically using the following rules: {{ insert: param, ia-05.10_odp }}.' - id: ia-5.10_gdn name: guidance prose: Authentication requires some form of binding between an identity and the authenticator that is used to confirm the identity. In conventional approaches, binding is established by pre-provisioning both the identity and the authenticator to the system. For example, the binding between a username (i.e., identity) and a password (i.e., authenticator) is accomplished by provisioning the identity and authenticator as a pair in the system. New authentication techniques allow the binding between the identity and the authenticator to be implemented external to a system. For example, with smartcard credentials, the identity and authenticator are bound together on the smartcard. Using these credentials, systems can authenticate identities that have not been pre-provisioned, dynamically provisioning the identity after authentication. In these situations, organizations can anticipate the dynamic provisioning of identities. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential. - id: ia-5.10_obj name: assessment-objective props: - name: label value: IA-05(10) class: sp800-53a prose: 'identities and authenticators are dynamically bound using {{ insert: param, ia-05.10_odp }}.' links: - href: '#ia-5.10_smt' rel: assessment-for - id: ia-5.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(10)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing identifier management system security plan system design documentation automated mechanisms providing dynamic binding of identifiers and authenticators system configuration settings and associated documentation system audit records other relevant documents or records - id: ia-5.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(10)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with identifier management responsibilities organizational personnel with information security responsibilities system/network administrators - id: ia-5.10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(10)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Automated mechanisms implementing identifier management capability automated mechanisms implementing dynamic binding of identities and authenticators - id: ia-5.11 class: SP800-53-enhancement title: Hardware Token-based Authentication props: - name: label value: IA-05(11) class: zero-padded - name: label value: IA-5(11) - name: label value: IA-05(11) class: sp800-53a - name: sort-id value: ia-05.11 - name: status value: withdrawn links: - href: '#ia-2.1' rel: incorporated-into - href: '#ia-2.2' rel: incorporated-into - id: ia-5.12 class: SP800-53-enhancement title: Biometric Authentication Performance params: - id: ia-05.12_odp props: - name: alt-identifier value: ia-5.12_prm_1 - name: label value: IA-05(12)_ODP class: sp800-53a label: biometric quality requirements guidelines: - prose: biometric quality requirements for biometric-based authentication are defined; props: - name: label value: IA-05(12) class: zero-padded - name: label value: IA-5(12) - name: label value: IA-05(12) class: sp800-53a - name: sort-id value: ia-05.12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-5' rel: required - href: '#ac-7' rel: related parts: - id: ia-5.12_smt name: statement prose: 'For biometric-based authentication, employ mechanisms that satisfy the following biometric quality requirements {{ insert: param, ia-05.12_odp }}.' - id: ia-5.12_gdn name: guidance prose: Unlike password-based authentication, which provides exact matches of user-input passwords to stored passwords, biometric authentication does not provide exact matches. Depending on the type of biometric and the type of collection mechanism, there is likely to be some divergence from the presented biometric and the stored biometric that serves as the basis for comparison. Matching performance is the rate at which a biometric algorithm correctly results in a match for a genuine user and rejects other users. Biometric performance requirements include the match rate, which reflects the accuracy of the biometric matching algorithm used by a system. - id: ia-5.12_obj name: assessment-objective props: - name: label value: IA-05(12) class: sp800-53a prose: 'mechanisms that satisfy {{ insert: param, ia-05.12_odp }} are employed for biometric-based authentication.' links: - href: '#ia-5.12_smt' rel: assessment-for - id: ia-5.12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(12)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing authenticator management system security plan system design documentation mechanisms employing biometric-based authentication for the system list of biometric quality requirements system configuration settings and associated documentation system audit records other relevant documents or records - id: ia-5.12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(12)-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-5.12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(12)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing biometric-based authenticator management capability - id: ia-5.13 class: SP800-53-enhancement title: Expiration of Cached Authenticators params: - id: ia-05.13_odp props: - name: alt-identifier value: ia-5.13_prm_1 - name: label value: IA-05(13)_ODP class: sp800-53a label: time period guidelines: - prose: the time period after which the use of cached authenticators is prohibited is defined; props: - name: label value: IA-05(13) class: zero-padded - name: label value: IA-5(13) - name: label value: IA-05(13) class: sp800-53a - name: sort-id value: ia-05.13 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-5' rel: required parts: - id: ia-5.13_smt name: statement prose: 'Prohibit the use of cached authenticators after {{ insert: param, ia-05.13_odp }}.' - id: ia-5.13_gdn name: guidance prose: Cached authenticators are used to authenticate to the local machine when the network is not available. If cached authentication information is out of date, the validity of the authentication information may be questionable. - id: ia-5.13_obj name: assessment-objective props: - name: label value: IA-05(13) class: sp800-53a prose: 'the use of cached authenticators is prohibited after {{ insert: param, ia-05.13_odp }}.' links: - href: '#ia-5.13_smt' rel: assessment-for - id: ia-5.13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(13)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing authenticator management system security plan system design documentation system configuration settings and associated documentation system audit records other relevant documents or records - id: ia-5.13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(13)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with authenticator management responsibilities organizational personnel with information security responsibilities system/network administrators system developers - id: ia-5.13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(13)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing authenticator management capability - id: ia-5.14 class: SP800-53-enhancement title: Managing Content of PKI Trust Stores props: - name: label value: IA-05(14) class: zero-padded - name: label value: IA-5(14) - name: label value: IA-05(14) class: sp800-53a - name: sort-id value: ia-05.14 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-5' rel: required parts: - id: ia-5.14_smt name: statement prose: For PKI-based authentication, employ an organization-wide methodology for managing the content of PKI trust stores installed across all platforms, including networks, operating systems, browsers, and applications. - id: ia-5.14_gdn name: guidance prose: An organization-wide methodology for managing the content of PKI trust stores helps improve the accuracy and currency of PKI-based authentication credentials across the organization. - id: ia-5.14_obj name: assessment-objective props: - name: label value: IA-05(14) class: sp800-53a prose: an organization-wide methodology for managing the content of PKI trust stores is employed across all platforms, including networks, operating systems, browsers, and applications for PKI-based authentication. links: - href: '#ia-5.14_smt' rel: assessment-for - id: ia-5.14_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(14)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing authenticator management system security plan organizational methodology for managing content of PKI trust stores across installed all platforms system design documentation system configuration settings and associated documentation enterprise security architecture documentation enterprise architecture documentation other relevant documents or records - id: ia-5.14_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(14)-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-5.14_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(14)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing PKI-based authenticator management capability mechanisms supporting and/or implementing the PKI trust store capability - id: ia-5.15 class: SP800-53-enhancement title: GSA-approved Products and Services props: - name: label value: IA-05(15) class: zero-padded - name: label value: IA-5(15) - name: label value: IA-05(15) class: sp800-53a - name: sort-id value: ia-05.15 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-5' rel: required parts: - id: ia-5.15_smt name: statement prose: Use only General Services Administration-approved products and services for identity, credential, and access management. - id: ia-5.15_gdn name: guidance prose: General Services Administration (GSA)-approved products and services are products and services that have been approved through the GSA conformance program, where applicable, and posted to the GSA Approved Products List. GSA provides guidance for teams to design and build functional and secure systems that comply with Federal Identity, Credential, and Access Management (FICAM) policies, technologies, and implementation patterns. - id: ia-5.15_obj name: assessment-objective props: - name: label value: IA-05(15) class: sp800-53a prose: only General Services Administration-approved products and services are used for identity, credential, and access management. links: - href: '#ia-5.15_smt' rel: assessment-for - id: ia-5.15_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(15)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing identifier management system security plan system design documentation mechanisms providing dynamic binding of identifiers and authenticators system configuration settings and associated documentation system audit records other relevant documents or records - id: ia-5.15_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(15)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with identification and authentication management responsibilities organizational personnel with information security responsibilities system/network administrators - id: ia-5.15_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(15)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing account management capability mechanisms supporting and/or implementing identification and authentication management capabilities for the system - id: ia-5.16 class: SP800-53-enhancement title: In-person or Trusted External Party Authenticator Issuance params: - id: ia-05.16_odp.01 props: - name: alt-identifier value: ia-5.16_prm_1 - name: label value: IA-05(16)_ODP[01] class: sp800-53a label: types of and/or specific authenticators guidelines: - prose: types of and/or specific authenticators to be issued are defined; - id: ia-05.16_odp.02 props: - name: alt-identifier value: ia-5.16_prm_2 - name: label value: IA-05(16)_ODP[02] class: sp800-53a select: choice: - in person - by a trusted external party - id: ia-05.16_odp.03 props: - name: alt-identifier value: ia-5.16_prm_3 - name: label value: IA-05(16)_ODP[03] class: sp800-53a label: registration authority guidelines: - prose: the registration authority that issues authenticators is defined; - id: ia-05.16_odp.04 props: - name: alt-identifier value: ia-5.16_prm_4 - name: label value: IA-05(16)_ODP[04] class: sp800-53a label: personnel or roles guidelines: - prose: the personnel or roles who authorize the issuance of authenticators are defined; props: - name: label value: IA-05(16) class: zero-padded - name: label value: IA-5(16) - name: label value: IA-05(16) class: sp800-53a - name: sort-id value: ia-05.16 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-5' rel: required - href: '#ia-12' rel: related parts: - id: ia-5.16_smt name: statement prose: 'Require that the issuance of {{ insert: param, ia-05.16_odp.01 }} be conducted {{ insert: param, ia-05.16_odp.02 }} before {{ insert: param, ia-05.16_odp.03 }} with authorization by {{ insert: param, ia-05.16_odp.04 }}.' - id: ia-5.16_gdn name: guidance prose: Issuing authenticators in person or by a trusted external party enhances and reinforces the trustworthiness of the identity proofing process. - id: ia-5.16_obj name: assessment-objective props: - name: label value: IA-05(16) class: sp800-53a prose: 'the issuance of {{ insert: param, ia-05.16_odp.01 }} is required to be conducted {{ insert: param, ia-05.16_odp.02 }} before {{ insert: param, ia-05.16_odp.03 }} with authorization by {{ insert: param, ia-05.16_odp.04 }}.' links: - href: '#ia-5.16_smt' rel: assessment-for - id: ia-5.16_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(16)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing identifier management system security plan system design documentation mechanisms providing dynamic binding of identifiers and authenticators system configuration settings and associated documentation system audit records other relevant documents or records - id: ia-5.16_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(16)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with identification and authentication management responsibilities organizational personnel with information security responsibilities system/network administrators - id: ia-5.16_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(16)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing account management capability mechanisms supporting and/or implementing identification and authentication management capabilities for the system - id: ia-5.17 class: SP800-53-enhancement title: Presentation Attack Detection for Biometric Authenticators props: - name: label value: IA-05(17) class: zero-padded - name: label value: IA-5(17) - name: label value: IA-05(17) class: sp800-53a - name: sort-id value: ia-05.17 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-5' rel: required - href: '#ac-7' rel: related parts: - id: ia-5.17_smt name: statement prose: Employ presentation attack detection mechanisms for biometric-based authentication. - id: ia-5.17_gdn name: guidance prose: Biometric characteristics do not constitute secrets. Such characteristics can be obtained by online web accesses, taking a picture of someone with a camera phone to obtain facial images with or without their knowledge, lifting from objects that someone has touched (e.g., a latent fingerprint), or capturing a high-resolution image (e.g., an iris pattern). Presentation attack detection technologies including liveness detection, can mitigate the risk of these types of attacks by making it difficult to produce artifacts intended to defeat the biometric sensor. - id: ia-5.17_obj name: assessment-objective props: - name: label value: IA-05(17) class: sp800-53a prose: presentation attack detection mechanisms are employed for biometric-based authentication. links: - href: '#ia-5.17_smt' rel: assessment-for - id: ia-5.17_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(17)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing identifier management system security plan system design documentation mechanisms providing dynamic binding of identifiers and authenticators system configuration settings and associated documentation system audit records other relevant documents or records - id: ia-5.17_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(17)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with identification and authentication management responsibilities organizational personnel with information security responsibilities system/network administrators - id: ia-5.17_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(17)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing account management capability mechanisms supporting and/or implementing identification and authentication management capabilities for the system - id: ia-5.18 class: SP800-53-enhancement title: Password Managers params: - id: ia-05.18_odp.01 props: - name: alt-identifier value: ia-5.18_prm_1 - name: label value: IA-05(18)_ODP[01] class: sp800-53a label: password managers guidelines: - prose: password managers employed for generating and managing passwords are defined; - id: ia-05.18_odp.02 props: - name: alt-identifier value: ia-5.18_prm_2 - name: label value: IA-05(18)_ODP[02] class: sp800-53a label: controls guidelines: - prose: controls for protecting passwords are defined; props: - name: label value: IA-05(18) class: zero-padded - name: label value: IA-5(18) - name: label value: IA-05(18) class: sp800-53a - name: sort-id value: ia-05.18 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-5' rel: required parts: - id: ia-5.18_smt name: statement parts: - id: ia-5.18_smt.a name: item props: - name: label value: (a) prose: 'Employ {{ insert: param, ia-05.18_odp.01 }} to generate and manage passwords; and' - id: ia-5.18_smt.b name: item props: - name: label value: (b) prose: 'Protect the passwords using {{ insert: param, ia-05.18_odp.02 }}.' - id: ia-5.18_gdn name: guidance prose: For systems where static passwords are employed, it is often a challenge to ensure that the passwords are suitably complex and that the same passwords are not employed on multiple systems. A password manager is a solution to this problem as it automatically generates and stores strong and different passwords for various accounts. A potential risk of using password managers is that adversaries can target the collection of passwords generated by the password manager. Therefore, the collection of passwords requires protection including encrypting the passwords (see [IA-5(1)(d)](#ia-5.1_smt.d) ) and storing the collection offline in a token. - id: ia-5.18_obj name: assessment-objective props: - name: label value: IA-05(18) class: sp800-53a parts: - id: ia-5.18_obj.a name: assessment-objective props: - name: label value: IA-05(18)(a) class: sp800-53a prose: '{{ insert: param, ia-05.18_odp.01 }} are employed to generate and manage passwords;' links: - href: '#ia-5.18_smt.a' rel: assessment-for - id: ia-5.18_obj.b name: assessment-objective props: - name: label value: IA-05(18)(b) class: sp800-53a prose: 'the passwords are protected using {{ insert: param, ia-05.18_odp.02 }}.' links: - href: '#ia-5.18_smt.b' rel: assessment-for links: - href: '#ia-5.18_smt' rel: assessment-for - id: ia-5.18_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-05(18)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing identifier management system security plan system design documentation mechanisms providing dynamic binding of identifiers and authenticators system configuration settings and associated documentation system audit records other relevant documents or records - id: ia-5.18_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-05(18)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with identification and authentication management responsibilities organizational personnel with information security responsibilities system/network administrators - id: ia-5.18_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-05(18)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing account management capability mechanisms supporting and/or implementing identification and authentication management capabilities for the system - 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 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: 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 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: label value: IA-07 class: sp800-53a prose: mechanisms for authentication to a cryptographic module are implemented that meet the requirements of applicable laws, executive orders, directives, policies, regulations, standards, and guidelines for such authentication. links: - href: '#ia-7_smt' rel: assessment-for - id: ia-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-07-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy system security plan procedures addressing cryptographic module authentication system design documentation system configuration settings and associated documentation system audit records other relevant documents or records - id: ia-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-07-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibility for cryptographic module authentication organizational personnel with information security responsibilities system/network administrators system developers - id: ia-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-07-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing cryptographic module authentication - id: ia-8 class: SP800-53 title: Identification and Authentication (Non-organizational Users) props: - name: label value: IA-08 class: zero-padded - name: label value: IA-8 - name: label value: IA-08 class: sp800-53a - name: sort-id value: ia-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#a1555677-2b9d-4868-a97b-a1363aff32f5' rel: reference - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#10963761-58fc-4b20-b3d6-b44a54daba03' rel: reference - href: '#2100332a-16a5-4598-bacf-7261baea9711' rel: reference - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference - href: '#ac-2' rel: related - href: '#ac-6' rel: related - href: '#ac-14' rel: related - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#au-6' rel: related - href: '#ia-2' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: '#ia-10' rel: related - href: '#ia-11' rel: related - href: '#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 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: 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 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: 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: label value: (a) prose: Accept only external authenticators that are NIST-compliant; and - id: ia-8.2_smt.b name: item props: - 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: 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: 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-8.3 class: SP800-53-enhancement title: Use of FICAM-approved Products props: - name: label value: IA-08(03) class: zero-padded - name: label value: IA-8(3) - name: label value: IA-08(03) class: sp800-53a - name: sort-id value: ia-08.03 - name: status value: withdrawn links: - href: '#ia-8.2' rel: incorporated-into - 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 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: 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-8.5 class: SP800-53-enhancement title: Acceptance of PIV-I Credentials params: - id: ia-08.05_odp props: - name: alt-identifier value: ia-8.5_prm_1 - name: label value: IA-08(05)_ODP class: sp800-53a label: policy guidelines: - prose: a policy for using federated or PKI credentials is defined; props: - name: label value: IA-08(05) class: zero-padded - name: label value: IA-8(5) - name: label value: IA-08(05) class: sp800-53a - name: sort-id value: ia-08.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ia-8' rel: required parts: - id: ia-8.5_smt name: statement prose: 'Accept and verify federated or PKI credentials that meet {{ insert: param, ia-08.05_odp }}.' - id: ia-8.5_gdn name: guidance prose: Acceptance of PIV-I credentials can be implemented by PIV, PIV-I, and other commercial or external identity providers. The acceptance and verification of PIV-I-compliant credentials apply to both logical and physical access control systems. The acceptance and verification of PIV-I credentials address nonfederal issuers of identity cards that desire to interoperate with United States Government PIV systems and that can be trusted by Federal Government-relying parties. The X.509 certificate policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is commensurate with the PIV credentials as defined in cited references. PIV-I credentials are the credentials issued by a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider is cross-certified with the FBCA (directly or through another PKI bridge) with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy. - id: ia-8.5_obj name: assessment-objective props: - name: label value: IA-08(05) class: sp800-53a parts: - id: ia-8.5_obj-1 name: assessment-objective props: - name: label value: IA-08(05)[01] class: sp800-53a prose: 'federated or PKI credentials that meet {{ insert: param, ia-08.05_odp }} are accepted;' links: - href: '#ia-8.5_smt' rel: assessment-for - id: ia-8.5_obj-2 name: assessment-objective props: - name: label value: IA-08(05)[02] class: sp800-53a prose: 'federated or PKI credentials that meet {{ insert: param, ia-08.05_odp }} are verified.' links: - href: '#ia-8.5_smt' rel: assessment-for links: - href: '#ia-8.5_smt' rel: assessment-for - id: ia-8.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-08(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy system security plan procedures addressing user identification and authentication system design documentation system configuration settings and associated documentation system audit records PIV-I verification records evidence of PIV-I credentials PIV-I credential authorizations other relevant documents or records - id: ia-8.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-08(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system operations responsibilities organizational personnel with information security responsibilities system/network administrators system developers organizational personnel with account management responsibilities - id: ia-8.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-08(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing identification and authentication capabilities mechanisms that accept and verify PIV-I credentials - id: ia-8.6 class: SP800-53-enhancement title: Disassociability params: - id: ia-08.06_odp props: - name: alt-identifier value: ia-8.6_prm_1 - name: label value: IA-08(06)_ODP class: sp800-53a label: measures guidelines: - prose: disassociability measures are defined; props: - name: label value: IA-08(06) class: zero-padded - name: label value: IA-8(6) - name: label value: IA-08(06) class: sp800-53a - name: sort-id value: ia-08.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-8' rel: required parts: - id: ia-8.6_smt name: statement prose: 'Implement the following measures to disassociate user attributes or identifier assertion relationships among individuals, credential service providers, and relying parties: {{ insert: param, ia-08.06_odp }}.' - id: ia-8.6_gdn name: guidance prose: Federated identity solutions can create increased privacy risks due to the tracking and profiling of individuals. Using identifier mapping tables or cryptographic techniques to blind credential service providers and relying parties from each other or to make identity attributes less visible to transmitting parties can reduce these privacy risks. - id: ia-8.6_obj name: assessment-objective props: - name: label value: IA-08(06) class: sp800-53a prose: '{{ insert: param, ia-08.06_odp }} to disassociate user attributes or identifier assertion relationships among individuals, credential service providers, and relying parties are implemented.' links: - href: '#ia-8.6_smt' rel: assessment-for - id: ia-8.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-08(06)-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 other relevant documents or records - id: ia-8.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-08(06)-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 system developers organizational personnel with account management responsibilities - id: ia-8.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-08(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities - id: ia-9 class: SP800-53 title: Service Identification and Authentication params: - id: ia-09_odp props: - name: alt-identifier value: ia-9_prm_1 - name: label value: IA-09_ODP class: sp800-53a label: system services and applications guidelines: - prose: system services and applications to be uniquely identified and authenticated are defined; props: - name: label value: IA-09 class: zero-padded - name: label value: IA-9 - name: label value: IA-09 class: sp800-53a - name: sort-id value: ia-09 - 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-3' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: '#ia-13' rel: related - href: '#sc-8' rel: related parts: - id: ia-9_smt name: statement prose: 'Uniquely identify and authenticate {{ insert: param, ia-09_odp }} before establishing communications with devices, users, or other services or applications.' - id: ia-9_gdn name: guidance prose: Services that may require identification and authentication include web applications using digital certificates or services or applications that query a database. Identification and authentication methods for system services and applications include information or code signing, provenance graphs, and electronic signatures that indicate the sources of services. Decisions regarding the validity of identification and authentication claims can be made by services separate from the services acting on those decisions. This can occur in distributed system architectures. In such situations, the identification and authentication decisions (instead of actual identifiers and authentication data) are provided to the services that need to act on those decisions. - id: ia-9_obj name: assessment-objective props: - name: label value: IA-09 class: sp800-53a prose: '{{ insert: param, ia-09_odp }} are uniquely identified and authenticated before establishing communications with devices, users, or other services or applications.' links: - href: '#ia-9_smt' rel: assessment-for - id: ia-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-09-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing service identification and authentication system security plan system design documentation security safeguards used to identify and authenticate system services system configuration settings and associated documentation system audit records other relevant documents or records - id: ia-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-09-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-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-09-Test class: sp800-53a parts: - name: assessment-objects prose: Security safeguards implementing service identification and authentication capabilities controls: - id: ia-9.1 class: SP800-53-enhancement title: Information Exchange props: - name: label value: IA-09(01) class: zero-padded - name: label value: IA-9(1) - name: label value: IA-09(01) class: sp800-53a - name: sort-id value: ia-09.01 - name: status value: withdrawn links: - href: '#ia-9' rel: incorporated-into - id: ia-9.2 class: SP800-53-enhancement title: Transmission of Decisions props: - name: label value: IA-09(02) class: zero-padded - name: label value: IA-9(2) - name: label value: IA-09(02) class: sp800-53a - name: sort-id value: ia-09.02 - name: status value: withdrawn links: - href: '#ia-9' rel: incorporated-into - id: ia-10 class: SP800-53 title: Adaptive Authentication params: - id: ia-10_odp.01 props: - name: alt-identifier value: ia-10_prm_1 - name: label value: IA-10_ODP[01] class: sp800-53a label: supplemental authentication techniques or mechanisms guidelines: - prose: supplemental authentication techniques or mechanisms to be employed when accessing the system under specific circumstances or situations are defined; - id: ia-10_odp.02 props: - name: alt-identifier value: ia-10_prm_2 - name: label value: IA-10_ODP[02] class: sp800-53a label: circumstances or situations guidelines: - prose: circumstances or situations that require individuals accessing the system to employ supplemental authentication techniques or mechanisms are defined; props: - name: label value: IA-10 class: zero-padded - name: label value: IA-10 - name: label value: IA-10 class: sp800-53a - name: sort-id value: ia-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#ia-2' rel: related - href: '#ia-8' rel: related parts: - id: ia-10_smt name: statement prose: 'Require individuals accessing the system to employ {{ insert: param, ia-10_odp.01 }} under specific {{ insert: param, ia-10_odp.02 }}.' - id: ia-10_gdn name: guidance prose: Adversaries may compromise individual authentication mechanisms employed by organizations and subsequently attempt to impersonate legitimate users. To address this threat, organizations may employ specific techniques or mechanisms and establish protocols to assess suspicious behavior. Suspicious behavior may include accessing information that individuals do not typically access as part of their duties, roles, or responsibilities; accessing greater quantities of information than individuals would routinely access; or attempting to access information from suspicious network addresses. When pre-established conditions or triggers occur, organizations can require individuals to provide additional authentication information. Another potential use for adaptive authentication is to increase the strength of mechanism based on the number or types of records being accessed. Adaptive authentication does not replace and is not used to avoid the use of multi-factor authentication mechanisms but can augment implementations of multi-factor authentication. - id: ia-10_obj name: assessment-objective props: - name: label value: IA-10 class: sp800-53a prose: 'individuals accessing the system are required to employ {{ insert: param, ia-10_odp.01 }} under specific {{ insert: param, ia-10_odp.02 }}.' links: - href: '#ia-10_smt' rel: assessment-for - id: ia-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-10-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing adaptive/supplemental identification and authentication techniques or mechanisms system security plan system design documentation system configuration settings and associated documentation supplemental identification and authentication techniques or mechanisms system audit records other relevant documents or records - id: ia-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-10-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-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-10-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities - id: ia-11 class: SP800-53 title: Re-authentication params: - id: ia-11_odp props: - name: alt-identifier value: ia-11_prm_1 - name: alt-label value: circumstances or situations requiring re-authentication class: sp800-53 - name: label value: IA-11_ODP class: sp800-53a label: circumstances or situations guidelines: - prose: circumstances or situations requiring re-authentication are defined; props: - name: label value: IA-11 class: zero-padded - name: label value: IA-11 - name: label value: IA-11 class: sp800-53a - name: sort-id value: ia-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-3' rel: related - href: '#ac-11' rel: related - href: '#ia-2' rel: related - href: '#ia-3' rel: related - href: '#ia-4' rel: related - href: '#ia-8' rel: related parts: - id: ia-11_smt name: statement 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_obj name: assessment-objective props: - name: label value: IA-11 class: sp800-53a prose: 'users are required to re-authenticate when {{ insert: param, ia-11_odp }}.' links: - href: '#ia-11_smt' rel: assessment-for - id: ia-11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-11-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing user and device re-authentication system security plan system design documentation system configuration settings and associated documentation list of circumstances or situations requiring re-authentication system audit records other relevant documents or records - id: ia-11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-11-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system operations responsibilities organizational personnel with information security responsibilities system/network administrators system developers organizational personnel with identification and authentication responsibilities - id: ia-11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-11-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities - id: ia-12 class: SP800-53 title: Identity Proofing props: - name: label value: IA-12 class: zero-padded - name: label value: IA-12 - name: label value: IA-12 class: sp800-53a - name: sort-id value: ia-12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#9099ed2c-922a-493d-bcb4-d896192243ff' rel: reference - href: '#10963761-58fc-4b20-b3d6-b44a54daba03' rel: reference - href: '#ac-5' rel: related - href: '#ia-1' rel: related - href: '#ia-2' rel: related - href: '#ia-3' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: '#ia-6' rel: related - href: '#ia-8' rel: related - href: '#ia-13' rel: related parts: - id: ia-12_smt name: statement parts: - id: ia-12_smt.a name: item props: - name: label value: a. prose: Identity proof users that require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines; - id: ia-12_smt.b name: item props: - name: label value: b. prose: Resolve user identities to a unique individual; and - id: ia-12_smt.c name: item props: - name: label value: c. prose: Collect, validate, and verify identity evidence. - id: ia-12_gdn name: guidance prose: Identity proofing is the process of collecting, validating, and verifying a user’s identity information for the purposes of establishing credentials for accessing a system. Identity proofing is intended to mitigate threats to the registration of users and the establishment of their accounts. Standards and guidelines specifying identity assurance levels for identity proofing include [SP 800-63-3](#737513fa-6758-403f-831d-5ddab5e23cb3) and [SP 800-63A](#9099ed2c-922a-493d-bcb4-d896192243ff) . Organizations may be subject to laws, executive orders, directives, regulations, or policies that address the collection of identity evidence. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements. - id: ia-12_obj name: assessment-objective props: - name: label value: IA-12 class: sp800-53a parts: - id: ia-12_obj.a name: assessment-objective props: - name: label value: IA-12a. class: sp800-53a prose: users who require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines are identity proofed; links: - href: '#ia-12_smt.a' rel: assessment-for - id: ia-12_obj.b name: assessment-objective props: - name: label value: IA-12b. class: sp800-53a prose: user identities are resolved to a unique individual; links: - href: '#ia-12_smt.b' rel: assessment-for - id: ia-12_obj.c name: assessment-objective props: - name: label value: IA-12c. class: sp800-53a parts: - id: ia-12_obj.c-1 name: assessment-objective props: - name: label value: IA-12c.[01] class: sp800-53a prose: identity evidence is collected; links: - href: '#ia-12_smt.c' rel: assessment-for - id: ia-12_obj.c-2 name: assessment-objective props: - name: label value: IA-12c.[02] class: sp800-53a prose: identity evidence is validated; links: - href: '#ia-12_smt.c' rel: assessment-for - id: ia-12_obj.c-3 name: assessment-objective props: - name: label value: IA-12c.[03] class: sp800-53a prose: identity evidence is verified. links: - href: '#ia-12_smt.c' rel: assessment-for links: - href: '#ia-12_smt.c' rel: assessment-for links: - href: '#ia-12_smt' rel: assessment-for - id: ia-12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-12-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing identity proofing system security plan privacy plan other relevant documents or records - id: ia-12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-12-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system operations responsibilities organizational personnel with information security and privacy responsibilities legal counsel system/network administrators system developers organizational personnel with identification and authentication responsibilities - id: ia-12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-12-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities controls: - id: ia-12.1 class: SP800-53-enhancement title: Supervisor Authorization props: - name: label value: IA-12(01) class: zero-padded - name: label value: IA-12(1) - name: label value: IA-12(01) class: sp800-53a - name: sort-id value: ia-12.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-12' rel: required parts: - id: ia-12.1_smt name: statement prose: Require that the registration process to receive an account for logical access includes supervisor or sponsor authorization. - id: ia-12.1_gdn name: guidance prose: Including supervisor or sponsor authorization as part of the registration process provides an additional level of scrutiny to ensure that the user’s management chain is aware of the account, the account is essential to carry out organizational missions and functions, and the user’s privileges are appropriate for the anticipated responsibilities and authorities within the organization. - id: ia-12.1_obj name: assessment-objective props: - name: label value: IA-12(01) class: sp800-53a prose: the registration process to receive an account for logical access includes supervisor or sponsor authorization. links: - href: '#ia-12.1_smt' rel: assessment-for - id: ia-12.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-12(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing identity proofing system security plan other relevant documents or records - id: ia-12.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-12(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 identification and authentication responsibilities - id: ia-12.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-12(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities - id: ia-12.2 class: SP800-53-enhancement title: Identity Evidence props: - name: label value: IA-12(02) class: zero-padded - name: label value: IA-12(2) - name: label value: IA-12(02) class: sp800-53a - name: sort-id value: ia-12.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-12' rel: required parts: - id: ia-12.2_smt name: statement prose: Require evidence of individual identification be presented to the registration authority. - id: ia-12.2_gdn name: guidance prose: Identity evidence, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity or at least increases the work factor of potential adversaries. The forms of acceptable evidence are consistent with the risks to the systems, roles, and privileges associated with the user’s account. - id: ia-12.2_obj name: assessment-objective props: - name: label value: IA-12(02) class: sp800-53a prose: evidence of individual identification is presented to the registration authority. links: - href: '#ia-12.2_smt' rel: assessment-for - id: ia-12.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-12(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing identity proofing system security plan other relevant documents or records - id: ia-12.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-12(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system operations responsibilities organizational personnel with information security responsibilities system/network administrators system developers organizational personnel with identification and authentication responsibilities - id: ia-12.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-12(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities - id: ia-12.3 class: SP800-53-enhancement title: Identity Evidence Validation and Verification params: - id: ia-12.03_odp props: - name: alt-identifier value: ia-12.3_prm_1 - name: alt-label value: organizational defined methods of validation and verification class: sp800-53 - name: label value: IA-12(03)_ODP class: sp800-53a label: methods of validation and verification guidelines: - prose: methods of validation and verification of identity evidence are defined; props: - name: label value: IA-12(03) class: zero-padded - name: label value: IA-12(3) - name: label value: IA-12(03) class: sp800-53a - name: sort-id value: ia-12.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-12' rel: required parts: - id: ia-12.3_smt name: statement prose: 'Require that the presented identity evidence be validated and verified through {{ insert: param, ia-12.03_odp }}.' - id: ia-12.3_gdn name: guidance prose: Validation and verification of identity evidence increases the assurance that accounts and identifiers are being established for the correct user and authenticators are being bound to that user. Validation refers to the process of confirming that the evidence is genuine and authentic, and the data contained in the evidence is correct, current, and related to an individual. Verification confirms and establishes a linkage between the claimed identity and the actual existence of the user presenting the evidence. Acceptable methods for validating and verifying identity evidence are consistent with the risks to the systems, roles, and privileges associated with the users account. - id: ia-12.3_obj name: assessment-objective props: - name: label value: IA-12(03) class: sp800-53a prose: 'the presented identity evidence is validated and verified through {{ insert: param, ia-12.03_odp }}.' links: - href: '#ia-12.3_smt' rel: assessment-for - id: ia-12.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-12(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing identity proofing system security plan other relevant documents or records - id: ia-12.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-12(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system operations responsibilities organizational personnel with information security responsibilities system/network administrators system developers organizational personnel with identification and authentication responsibilities - id: ia-12.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-12(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities - id: ia-12.4 class: SP800-53-enhancement title: In-person Validation and Verification props: - name: label value: IA-12(04) class: zero-padded - name: label value: IA-12(4) - name: label value: IA-12(04) class: sp800-53a - name: sort-id value: ia-12.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-12' rel: required parts: - id: ia-12.4_smt name: statement prose: Require that the validation and verification of identity evidence be conducted in person before a designated registration authority. - id: ia-12.4_gdn name: guidance prose: In-person proofing reduces the likelihood of fraudulent credentials being issued because it requires the physical presence of individuals, the presentation of physical identity documents, and actual face-to-face interactions with designated registration authorities. - id: ia-12.4_obj name: assessment-objective props: - name: label value: IA-12(04) class: sp800-53a prose: the validation and verification of identity evidence is conducted in person before a designated registration authority. links: - href: '#ia-12.4_smt' rel: assessment-for - id: ia-12.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-12(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing identity proofing system security plan other relevant documents or records - id: ia-12.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-12(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system operations responsibilities organizational personnel with information security responsibilities system/network administrators system developers organizational personnel with identification and authentication responsibilities - id: ia-12.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-12(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities - id: ia-12.5 class: SP800-53-enhancement title: Address Confirmation params: - id: ia-12.05_odp props: - name: alt-identifier value: ia-12.5_prm_1 - name: label value: IA-12(05)_ODP class: sp800-53a select: choice: - registration code - notice of proofing props: - name: label value: IA-12(05) class: zero-padded - name: label value: IA-12(5) - name: label value: IA-12(05) class: sp800-53a - name: sort-id value: ia-12.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-12' rel: required - href: '#ia-12' rel: related parts: - id: ia-12.5_smt name: statement prose: 'Require that a {{ insert: param, ia-12.05_odp }} be delivered through an out-of-band channel to verify the users address (physical or digital) of record.' - id: ia-12.5_gdn name: guidance prose: To make it more difficult for adversaries to pose as legitimate users during the identity proofing process, organizations can use out-of-band methods to ensure that the individual associated with an address of record is the same individual that participated in the registration. Confirmation can take the form of a temporary enrollment code or a notice of proofing. The delivery address for these artifacts is obtained from records and not self-asserted by the user. The address can include a physical or digital address. A home address is an example of a physical address. Email addresses and telephone numbers are examples of digital addresses. - id: ia-12.5_obj name: assessment-objective props: - name: label value: IA-12(05) class: sp800-53a prose: 'a {{ insert: param, ia-12.05_odp }} is delivered through an out-of-band channel to verify the user’s address (physical or digital) of record.' links: - href: '#ia-12.5_smt' rel: assessment-for - id: ia-12.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-12(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing identity proofing system security plan other relevant documents or records - id: ia-12.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-12(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system operations responsibilities organizational personnel with information security responsibilities system/network administrators system developers organizational personnel with identification and authentication responsibilities - id: ia-12.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-12(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities - id: ia-12.6 class: SP800-53-enhancement title: Accept Externally-proofed Identities params: - id: ia-12.06_odp props: - name: alt-identifier value: ia-12.6_prm_1 - name: label value: IA-12(06)_ODP class: sp800-53a label: identity assurance level guidelines: - prose: an identity assurance level for accepting externally proofed identities is defined; props: - name: label value: IA-12(06) class: zero-padded - name: label value: IA-12(6) - name: label value: IA-12(06) class: sp800-53a - name: sort-id value: ia-12.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ia-12' rel: required - href: '#ia-3' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: '#ia-8' rel: related parts: - id: ia-12.6_smt name: statement prose: 'Accept externally-proofed identities at {{ insert: param, ia-12.06_odp }}.' - id: ia-12.6_gdn name: guidance prose: To limit unnecessary re-proofing of identities, particularly of non-PIV users, organizations accept proofing conducted at a commensurate level of assurance by other agencies or organizations. Proofing is consistent with organizational security policy and the identity assurance level appropriate for the system, application, or information accessed. Accepting externally-proofed identities is a fundamental component of managing federated identities across agencies and organizations. - id: ia-12.6_obj name: assessment-objective props: - name: label value: IA-12(06) class: sp800-53a prose: 'externally proofed identities are accepted {{ insert: param, ia-12.06_odp }}.' links: - href: '#ia-12.6_smt' rel: assessment-for - id: ia-12.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-12(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy procedures addressing identity proofing system security plan other relevant documents or records - id: ia-12.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-12(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system operations responsibilities organizational personnel with information security responsibilities system/network administrators system developers organizational personnel with identification and authentication responsibilities - id: ia-12.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-12(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities - id: ia-13 class: SP800-53 title: Identity Providers and Authorization Servers params: - id: ia-13_odp.01 props: - name: alt-identifier value: ia-13_prm_1 - name: alt-label value: identification and authentication policy class: sp800-53 - name: label value: IA-13_ODP[01] class: sp800-53a label: policy guidelines: - prose: identification and authentication policy is defined; - id: ia-13_odp.02 props: - name: alt-identifier value: ia-13_prm_2 - name: label value: IA-13_ODP[02] class: sp800-53a label: mechanisms guidelines: - prose: mechanisms supporting authentication and authorization decisions are defined; props: - name: label value: IA-13 class: zero-padded - name: label value: IA-13 - name: label value: IA-13 class: sp800-53a - name: sort-id value: ia-13 - 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: '#ia-2' rel: related - href: '#ia-3' rel: related - href: '#ia-8' rel: related - href: '#ia-9' rel: related - href: '#ia-12' rel: related parts: - id: ia-13_smt name: statement prose: 'Employ identity providers and authorization servers to manage user, device, and non-person entity (NPE) identities, attributes, and access rights supporting authentication and authorization decisions in accordance with {{ insert: param, ia-13_odp.01 }} using {{ insert: param, ia-13_odp.02 }}.' - id: ia-13_gdn name: guidance prose: Identity providers, both internal and external to the organization, manage the user, device, and NPE authenticators and issue statements, often called identity assertions, attesting to identities of other systems or systems components. Authorization servers create and issue access tokens to identified and authenticated users and devices that can be used to gain access to system or information resources. For example, single sign-on (SSO) provides identity provider and authorization server functions. Authenticator management (to include credential management) is covered by IA-05. - id: ia-13_obj name: assessment-objective props: - name: label value: IA-13 class: sp800-53a parts: - id: ia-13_obj-1 name: assessment-objective props: - name: label value: IA-13[01] class: sp800-53a prose: 'identity providers are employed to manage user, device, and non-person entity (NPE) identities, attributes and access rights supporting authentication decisions in accordance with {{ insert: param, ia-13_odp.02 }} using {{ insert: param, ia-13_odp.02 }};' links: - href: '#ia-13_smt' rel: assessment-for - id: ia-13_obj-2 name: assessment-objective props: - name: label value: IA-13[02] class: sp800-53a prose: 'identity providers are employed to manage user, device, and non-person entity (NPE) identities, attributes and access rights supporting authorization decisions in accordance with {{ insert: param, ia-13_odp.02 }} using {{ insert: param, ia-13_odp.02 }};' links: - href: '#ia-13_smt' rel: assessment-for - id: ia-13_obj-3 name: assessment-objective props: - name: label value: IA-13[03] class: sp800-53a prose: 'authorization servers are employed to manage user, device, and non-person entity (NPE) identities, attributes and access rights supporting authentication decisions in accordance with {{ insert: param, ia-13_odp.02 }} using {{ insert: param, ia-13_odp.02 }};' links: - href: '#ia-13_smt' rel: assessment-for - id: ia-13_obj-4 name: assessment-objective props: - name: label value: IA-13[04] class: sp800-53a prose: 'authorization servers are employed to manage user, device, and non-person entity (NPE) identities, attributes and access rights supporting authorization decisions in accordance with {{ insert: param, ia-13_odp.02 }} using {{ insert: param, ia-13_odp.02 }};' links: - href: '#ia-13_smt' rel: assessment-for - id: ia-13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-13-Examine class: sp800-53a parts: - name: assessment-objects prose: |2- Identification and authentication policy; procedures addressing user and device identification and authentication; system security plan; system design documentation; system configuration settings and associated documentation; other relevant documents or records - id: ia-13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-13-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-13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-13-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing identification and authentication capabilities and access rights controls: - id: ia-13.1 class: SP800-53-enhancement title: Protection of Cryptographic Keys props: - name: label value: IA-13(01) class: zero-padded - name: label value: IA-13(1) - name: label value: IA-13(01) class: sp800-53a - name: sort-id value: ia-13.01 - 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-13' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: ia-13.1_smt name: statement prose: Cryptographic keys that protect access tokens are generated, managed, and protected from disclosure and misuse. - id: ia-13.1_gdn name: guidance prose: 'Identity assertions and access tokens are typically digitally signed. The private keys used to sign these assertions and tokens are protected commensurate with the impact of the system and information resources that can be accessed. ' - id: ia-13.1_obj name: assessment-objective props: - name: label value: IA-13(01) class: sp800-53a parts: - id: ia-13.1_obj-1 name: assessment-objective props: - name: label value: IA-13(01)[01] class: sp800-53a prose: cryptographic keys that protect access tokens are generated; links: - href: '#ia-13.1_smt' rel: assessment-for - id: ia-13.1_obj-2 name: assessment-objective props: - name: label value: IA-13(01)[02] class: sp800-53a prose: cryptographic keys that protect access tokens are managed; links: - href: '#ia-13.1_smt' rel: assessment-for - id: ia-13.1_obj-3 name: assessment-objective props: - name: label value: IA-13(01)[03] class: sp800-53a prose: cryptographic keys that protect access tokens are protected from disclosure; and links: - href: '#ia-13.1_smt' rel: assessment-for - id: ia-13.1_obj-4 name: assessment-objective props: - name: label value: IA-13(01)[04] class: sp800-53a prose: cryptographic keys that protect access tokens are protected from disclosure and misuse links: - href: '#ia-13.1_smt' rel: assessment-for - id: ia-13.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-13(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy; procedures addressing cryptographic key establishment and management; system design documentation; cryptographic mechanisms; system configuration settings and associated documentation; system security plan; other relevant documents or records - id: ia-13.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-13(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators; organizational personnel with information security responsibilities; organizational personnel with responsibilities for cryptographic key establishment and/or management - id: ia-13.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-13(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for cryptographic key management; cryptographic modules generating, storing, and using cryptographic keys - id: ia-13.2 class: SP800-53-enhancement title: Verification of Identity Assertions and Access Tokens props: - name: label value: IA-13(02) class: zero-padded - name: label value: IA-13(2) - name: label value: IA-13(02) class: sp800-53a - name: sort-id value: ia-13.02 - 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: '#ia-13' rel: required parts: - id: ia-13.2_smt name: statement prose: The source and integrity of identity assertions and access tokens are verified before granting access to system and information resources. - id: ia-13.2_gdn name: guidance prose: This includes verification of digital signatures protecting identity assertions and access tokens, as well as included metadata. Metadata includes information about the access request such as information unique to user, system or information resource being accessed, or the transaction itself such as time. Protected system and information resources could include connected networks, applications, and APIs. - id: ia-13.2_obj name: assessment-objective props: - name: label value: IA-13(02) class: sp800-53a parts: - id: ia-13.2_obj-1 name: assessment-objective props: - name: label value: IA-13(02)[01] class: sp800-53a prose: the source of identity assertions is verified before granting access to system and information resources; links: - href: '#ia-13.2_smt' rel: assessment-for - id: ia-13.2_obj-2 name: assessment-objective props: - name: label value: IA-13(02)[02] class: sp800-53a prose: the source of access tokens is verified before granting access to system and information resources; links: - href: '#ia-13.2_smt' rel: assessment-for - id: ia-13.2_obj-3 name: assessment-objective props: - name: label value: IA-13(02)[03] class: sp800-53a prose: the integrity of identity assertions is verified before granting access to system and information resources; links: - href: '#ia-13.2_smt' rel: assessment-for - id: ia-13.2_obj-4 name: assessment-objective props: - name: label value: IA-13(02)[04] class: sp800-53a prose: the integrity of access tokens is verified before granting access to system and information resources links: - href: '#ia-13.2_smt' rel: assessment-for - id: ia-13.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-13(02)-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; other relevant documents or records - id: ia-13.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-13(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-13.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-13(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Identity provider mechanisms supporting and/or implementing identification and authentication capabilities and access rights - id: ia-13.3 class: SP800-53-enhancement title: Token Management props: - name: label value: IA-13(03) class: zero-padded - name: label value: IA-13(3) - name: label value: IA-13(03) class: sp800-53a - name: sort-id value: ia-13.03 - 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: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#ff989cdc-649d-4f45-8f61-9309c9680933' rel: reference - href: '#e9d6c5f2-b3aa-4a28-8bea-a0135718d453' rel: reference - href: '#ia-13' rel: required parts: - id: ia-13.3_smt name: statement prose: 'In accordance with {{ insert: param, ia-13_odp.01 }}, assertions and access tokens are:' parts: - id: ia-13.3_smt.a name: item props: - name: label value: (a) prose: generated; - id: ia-13.3_smt.b name: item props: - name: label value: (b) prose: issued; - id: ia-13.3_smt.c name: item props: - name: label value: (c) prose: refreshed; - id: ia-13.3_smt.d name: item props: - name: label value: (d) prose: revoked; - id: ia-13.3_smt.e name: item props: - name: label value: (e) prose: time-restricted; and - id: ia-13.3_smt.f name: item props: - name: label value: (f) prose: audience-restricted. - id: ia-13.3_gdn name: guidance prose: An access token is a piece of data that represents the authorization granted to a user or NPE to access specific systems or information resources. Access tokens enable controlled access to services and resources. Properly managing the lifecycle of access tokens, including their issuance, validation, and revocation, is crucial to maintaining confidentiality of data and systems. Restricting token validity to a specific audience, e.g., an application or security domain, and restricting token validity lifetimes are important practices. Access tokens are revoked or invalidated if they are compromised, lost, or are no longer needed to mitigate the risks associated with stolen or misused tokens. - id: ia-13.3_obj name: assessment-objective props: - name: label value: IA-13(03) class: sp800-53a parts: - id: ia-13.3_obj.a-1 name: assessment-objective props: - name: label value: IA-13(03)(a)[01] class: sp800-53a prose: 'assertions are generated in accordance with {{ insert: param, ia-13_odp.01 }};' links: - href: '#ia-13.3_smt.a' rel: assessment-for - id: ia-13.3_obj.a-2 name: assessment-objective props: - name: label value: IA-13(03)(a)[02] class: sp800-53a prose: 'access tokens are generated in accordance with {{ insert: param, ia-13_odp.01 }};' links: - href: '#ia-13.3_smt.a' rel: assessment-for - id: ia-13.3_obj.b-1 name: assessment-objective props: - name: label value: IA-13(03)(b)[01] class: sp800-53a prose: 'assertions are issued in accordance with {{ insert: param, ia-13_odp.01 }};' links: - href: '#ia-13.3_smt.b' rel: assessment-for - id: ia-13.3_obj.b-2 name: assessment-objective props: - name: label value: IA-13(03)(b)[02] class: sp800-53a prose: 'access tokens are issued in accordance with {{ insert: param, ia-13_odp.01 }};' links: - href: '#ia-13.3_smt.b' rel: assessment-for - id: ia-13.3_obj.c-1 name: assessment-objective props: - name: label value: IA-13(03)(c)[01] class: sp800-53a prose: 'assertions are refreshed in accordance with {{ insert: param, ia-13_odp.01 }};' links: - href: '#ia-13.3_smt.c' rel: assessment-for - id: ia-13.3_obj.c-2 name: assessment-objective props: - name: label value: IA-13(03)(c)[02] class: sp800-53a prose: 'access tokens are refreshed in accordance with {{ insert: param, ia-13_odp.01 }};' links: - href: '#ia-13.3_smt.c' rel: assessment-for - id: ia-13.3_obj.d-1 name: assessment-objective props: - name: label value: IA-13(03)(d)[01] class: sp800-53a prose: 'assertions are revoked in accordance with {{ insert: param, ia-13_odp.01 }};' links: - href: '#ia-13.3_smt.d' rel: assessment-for - id: ia-13.3_obj.d-2 name: assessment-objective props: - name: label value: IA-13(03)(d)[02] class: sp800-53a prose: 'access tokens are revoked in accordance with {{ insert: param, ia-13_odp.01 }};' links: - href: '#ia-13.3_smt.d' rel: assessment-for - id: ia-13.3_obj.e-1 name: assessment-objective props: - name: label value: IA-13(03)(e)[01] class: sp800-53a prose: 'assertions are time-restricted in accordance with {{ insert: param, ia-13_odp.01 }};' links: - href: '#ia-13.3_smt.e' rel: assessment-for - id: ia-13.3_obj.e-2 name: assessment-objective props: - name: label value: IA-13(03)(e)[02] class: sp800-53a prose: 'access tokens are time-restricted in accordance with {{ insert: param, ia-13_odp.01 }};' links: - href: '#ia-13.3_smt.e' rel: assessment-for - id: ia-13.3_obj.f-1 name: assessment-objective props: - name: label value: IA-13(03)(f)[01] class: sp800-53a prose: 'assertions are audience-restricted in accordance with {{ insert: param, ia-13_odp.01 }};' links: - href: '#ia-13.3_smt.f' rel: assessment-for - id: ia-13.3_obj.f-2 name: assessment-objective props: - name: label value: IA-13(03)(f)[02] class: sp800-53a prose: 'access tokens are audience-restricted in accordance with {{ insert: param, ia-13_odp.01 }};' links: - href: '#ia-13.3_smt.f' rel: assessment-for - id: ia-13.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IA-13(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Identification and authentication policy; access control policy; procedures for assertion and token management; system design documentation; system configuration settings and associated documentation; other relevant documents or records - id: ia-13.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IA-13(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system operations responsibilities; organizational personnel with information security responsibilities; system/ network administrators; organizational personnel with account management responsibilities; system developers - id: ia-13.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IA-13(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms and software supporting and/or implementing token generation - 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 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 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 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: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 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 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 guidelines: - prose: frequency at which to review and update incident response training content is defined; - id: ir-02_odp.04 props: - name: alt-identifier value: ir-2_prm_4 - name: label value: IR-02_ODP[04] class: sp800-53a label: events guidelines: - prose: events that initiate a review of the incident response training content are defined; props: - name: label value: IR-02 class: zero-padded - name: label value: IR-2 - name: label value: IR-02 class: sp800-53a - name: sort-id value: ir-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#5f4705ac-8d17-438c-b23a-ac7f12362ae4' rel: reference - href: '#511f6832-23ca-49a3-8c0f-ce493373cab8' rel: reference - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#at-4' rel: related - href: '#cp-3' rel: related - href: '#ir-3' rel: related - href: '#ir-4' rel: related - href: '#ir-8' rel: related - href: '#ir-9' rel: related parts: - id: ir-2_smt name: statement parts: - id: ir-2_smt.a name: item props: - name: 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: 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: 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: 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: 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: 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: label value: IR-02b.[02] class: sp800-53a prose: 'incident response training content is reviewed and updated following {{ insert: param, ir-02_odp.04 }}.' links: - href: '#ir-2_smt.b' rel: assessment-for links: - href: '#ir-2_smt.b' rel: assessment-for links: - href: '#ir-2_smt' rel: assessment-for - id: ir-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-02-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident response training incident response training curriculum incident response training materials privacy plan incident response plan incident response training records system security plan privacy plan other relevant documents or records - id: ir-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-02-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident response training and operational responsibilities organizational personnel with information security and privacy responsibilities controls: - id: ir-2.1 class: SP800-53-enhancement title: Simulated Events props: - name: label value: IR-02(01) class: zero-padded - name: label value: IR-2(1) - name: label value: IR-02(01) class: sp800-53a - name: sort-id value: ir-02.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ir-2' rel: required parts: - id: ir-2.1_smt name: statement prose: Incorporate simulated events into incident response training to facilitate the required response by personnel in crisis situations. - id: ir-2.1_gdn name: guidance prose: Organizations establish requirements for responding to incidents in incident response plans. Incorporating simulated events into incident response training helps to ensure that personnel understand their individual responsibilities and what specific actions to take in crisis situations. - id: ir-2.1_obj name: assessment-objective props: - name: label value: IR-02(01) class: sp800-53a prose: simulated events are incorporated into incident response training to facilitate the required response by personnel in crisis situations. links: - href: '#ir-2.1_smt' rel: assessment-for - id: ir-2.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-02(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident response training incident response training curriculum incident response training materials incident response plan system security plan privacy plan other relevant documents or records - id: ir-2.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-02(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident response training and operational responsibilities organizational personnel with information security and privacy responsibilities - id: ir-2.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-02(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms that support and/or implement simulated events for incident response training - id: ir-2.2 class: SP800-53-enhancement title: Automated Training Environments params: - id: ir-02.02_odp props: - name: alt-identifier value: ir-2.2_prm_1 - name: label value: IR-02(02)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used in an incident response training environment are defined; props: - name: label value: IR-02(02) class: zero-padded - name: label value: IR-2(2) - name: label value: IR-02(02) class: sp800-53a - name: sort-id value: ir-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ir-2' rel: required parts: - id: ir-2.2_smt name: statement prose: 'Provide an incident response training environment using {{ insert: param, ir-02.02_odp }}.' - id: ir-2.2_gdn name: guidance prose: Automated mechanisms can provide a more thorough and realistic incident response training environment. This can be accomplished, for example, by providing more complete coverage of incident response issues, selecting more realistic training scenarios and environments, and stressing the response capability. - id: ir-2.2_obj name: assessment-objective props: - name: label value: IR-02(02) class: sp800-53a prose: 'an incident response training environment is provided using {{ insert: param, ir-02.02_odp }}.' links: - href: '#ir-2.2_smt' rel: assessment-for - id: ir-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident response training incident response training curriculum incident response training materials automated mechanisms supporting incident response training incident response plan system security plan privacy plan other relevant documents or records - id: ir-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident response training and operational responsibilities organizational personnel with information security and privacy responsibilities - id: ir-2.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-02(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms that provide a thorough and realistic incident response training environment - id: ir-2.3 class: SP800-53-enhancement title: Breach props: - name: label value: IR-02(03) class: zero-padded - name: label value: IR-2(3) - name: label value: IR-02(03) class: sp800-53a - name: sort-id value: ir-02.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ir-2' rel: required parts: - id: ir-2.3_smt name: statement prose: Provide incident response training on how to identify and respond to a breach, including the organization’s process for reporting a breach. - id: ir-2.3_gdn name: guidance prose: For federal agencies, an incident that involves personally identifiable information is considered a breach. A breach results in the loss of control, compromise, unauthorized disclosure, unauthorized acquisition, 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. The incident response training emphasizes the obligation of individuals to report both confirmed and suspected breaches involving information in any medium or form, including paper, oral, and electronic. Incident response training includes tabletop exercises that simulate a breach. See [IR-2(1)](#ir-2.1). - id: ir-2.3_obj name: assessment-objective props: - name: label value: IR-02(03) class: sp800-53a parts: - id: ir-2.3_obj-1 name: assessment-objective props: - name: label value: IR-02(03)[01] class: sp800-53a prose: incident response training on how to identify and respond to a breach is provided; links: - href: '#ir-2.3_smt' rel: assessment-for - id: ir-2.3_obj-2 name: assessment-objective props: - name: label value: IR-02(03)[02] class: sp800-53a prose: incident response training on the organization’s process for reporting a breach is provided. links: - href: '#ir-2.3_smt' rel: assessment-for links: - href: '#ir-2.3_smt' rel: assessment-for - id: ir-2.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-02(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy contingency planning policy procedures addressing incident response testing procedures addressing contingency plan testing incident response testing material incident response test results incident response test plan incident response plan contingency plan system security plan privacy plan other relevant documents or records - id: ir-2.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-02(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident response training responsibilities organizational personnel with information security and privacy responsibilities - id: ir-3 class: SP800-53 title: Incident Response Testing params: - id: ir-03_odp.01 props: - name: alt-identifier value: ir-3_prm_1 - name: label value: IR-03_ODP[01] class: sp800-53a label: frequency guidelines: - prose: frequency at which to test the effectiveness of the incident response capability for the system is defined; - id: ir-03_odp.02 props: - name: alt-identifier value: ir-3_prm_2 - name: label value: IR-03_ODP[02] class: sp800-53a label: tests guidelines: - prose: tests used to test the effectiveness of the incident response capability for the system are defined; props: - name: label value: IR-03 class: zero-padded - name: label value: IR-3 - name: label value: IR-03 class: sp800-53a - name: sort-id value: ir-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#53be2fcf-cfd1-4bcb-896b-9a3b65c22098' rel: reference - href: '#122177fa-c4ed-485d-8345-3082c0fb9a06' rel: reference - href: '#cp-3' rel: related - href: '#cp-4' rel: related - href: '#ir-2' rel: related - href: '#ir-4' rel: related - href: '#ir-8' rel: related - href: '#pm-14' rel: related parts: - id: ir-3_smt name: statement prose: 'Test the effectiveness of the incident response capability for the system {{ insert: param, ir-03_odp.01 }} using the following tests: {{ insert: param, ir-03_odp.02 }}.' - id: ir-3_gdn name: guidance prose: Organizations test incident response capabilities to determine their effectiveness and identify potential weaknesses or deficiencies. Incident response testing includes the use of checklists, walk-through or tabletop exercises, and simulations (parallel or full interrupt). Incident response testing can include a determination of the effects on organizational operations and assets and individuals due to incident response. The use of qualitative and quantitative data aids in determining the effectiveness of incident response processes. - id: ir-3_obj name: assessment-objective props: - name: label value: IR-03 class: sp800-53a prose: 'the effectiveness of the incident response capability for the system is tested {{ insert: param, ir-03_odp.01 }} using {{ insert: param, ir-03_odp.02 }}.' links: - href: '#ir-3_smt' rel: assessment-for - id: ir-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-03-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy contingency planning policy procedures addressing incident response testing procedures addressing contingency plan testing incident response testing material incident response test results incident response test plan incident response plan contingency plan system security plan privacy plan other relevant documents or records - id: ir-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-03-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident response testing responsibilities organizational personnel with information security and privacy responsibilities controls: - id: ir-3.1 class: SP800-53-enhancement title: Automated Testing params: - id: ir-03.01_odp props: - name: alt-identifier value: ir-3.1_prm_1 - name: label value: IR-03(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to test the incident response capability are defined; props: - name: label value: IR-03(01) class: zero-padded - name: label value: IR-3(1) - name: label value: IR-03(01) class: sp800-53a - name: sort-id value: ir-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: '#ir-3' rel: required parts: - id: ir-3.1_smt name: statement prose: 'Test the incident response capability using {{ insert: param, ir-03.01_odp }}.' - id: ir-3.1_gdn name: guidance prose: Organizations use automated mechanisms to more thoroughly and effectively test incident response capabilities. This can be accomplished by providing more complete coverage of incident response issues, selecting realistic test scenarios and environments, and stressing the response capability. - id: ir-3.1_obj name: assessment-objective props: - name: label value: IR-03(01) class: sp800-53a prose: 'the incident response capability is tested using {{ insert: param, ir-03.01_odp }}.' links: - href: '#ir-3.1_smt' rel: assessment-for - id: ir-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy contingency planning policy procedures addressing incident response testing procedures addressing contingency plan testing incident response testing documentation incident response test results incident response test plan incident response plan contingency plan system security plan automated mechanisms supporting incident response tests other relevant documents or records - id: ir-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident response testing responsibilities organizational personnel with information security responsibilities - id: ir-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-03(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms that more thoroughly and effectively test the incident response capability - id: ir-3.2 class: SP800-53-enhancement title: Coordination with Related Plans props: - name: label value: IR-03(02) class: zero-padded - name: label value: IR-3(2) - name: label value: IR-03(02) class: sp800-53a - name: sort-id value: ir-03.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ir-3' rel: required parts: - id: ir-3.2_smt name: statement prose: Coordinate incident response testing with organizational elements responsible for related plans. - id: ir-3.2_gdn name: guidance prose: Organizational plans related to incident response testing include business continuity plans, disaster recovery plans, continuity of operations plans, contingency plans, crisis communications plans, critical infrastructure plans, and occupant emergency plans. - id: ir-3.2_obj name: assessment-objective props: - name: label value: IR-03(02) class: sp800-53a prose: incident response testing is coordinated with organizational elements responsible for related plans. links: - href: '#ir-3.2_smt' rel: assessment-for - id: ir-3.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-03(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy contingency planning policy procedures addressing incident response testing incident response testing documentation incident response plan business continuity plans contingency plans disaster recovery plans continuity of operations plans crisis communications plans critical infrastructure plans occupant emergency plans system security plan privacy plan other relevant documents or records - id: ir-3.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-03(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident response testing responsibilities organizational personnel with responsibilities for testing organizational plans related to incident response testing organizational personnel with information security and privacy responsibilities - id: ir-3.3 class: SP800-53-enhancement title: Continuous Improvement props: - name: label value: IR-03(03) class: zero-padded - name: label value: IR-3(3) - name: label value: IR-03(03) class: sp800-53a - name: sort-id value: ir-03.03 - 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: '#ir-3' rel: required parts: - id: ir-3.3_smt name: statement prose: 'Use qualitative and quantitative data from testing to:' parts: - id: ir-3.3_smt.a name: item props: - name: label value: (a) prose: Determine the effectiveness of incident response processes; - id: ir-3.3_smt.b name: item props: - name: label value: (b) prose: Continuously improve incident response processes; and - id: ir-3.3_smt.c name: item props: - name: label value: (c) prose: Provide incident response measures and metrics that are accurate, consistent, and in a reproducible format. - id: ir-3.3_gdn name: guidance prose: To help incident response activities function as intended, organizations may use metrics and evaluation criteria to assess incident response programs as part of an effort to continually improve response performance. These efforts facilitate improvement in incident response efficacy and lessen the impact of incidents. - id: ir-3.3_obj name: assessment-objective props: - name: label value: IR-03(03) class: sp800-53a parts: - id: ir-3.3_obj.a name: assessment-objective props: - name: label value: IR-03(03)(a) class: sp800-53a parts: - id: ir-3.3_obj.a-1 name: assessment-objective props: - name: label value: IR-03(03)(a)[01] class: sp800-53a prose: qualitative data from testing are used to determine the effectiveness of incident response processes; links: - href: '#ir-3.3_smt.a' rel: assessment-for - id: ir-3.3_obj.a-2 name: assessment-objective props: - name: label value: IR-03(03)(a)[02] class: sp800-53a prose: quantitative data from testing are used to determine the effectiveness of incident response processes; links: - href: '#ir-3.3_smt.a' rel: assessment-for links: - href: '#ir-3.3_smt.a' rel: assessment-for - id: ir-3.3_obj.b name: assessment-objective props: - name: label value: IR-03(03)(b) class: sp800-53a parts: - id: ir-3.3_obj.b-1 name: assessment-objective props: - name: label value: IR-03(03)(b)[01] class: sp800-53a prose: qualitative data from testing are used to continuously improve incident response processes; links: - href: '#ir-3.3_smt.b' rel: assessment-for - id: ir-3.3_obj.b-2 name: assessment-objective props: - name: label value: IR-03(03)(b)[02] class: sp800-53a prose: quantitative data from testing are used to continuously improve incident response processes; links: - href: '#ir-3.3_smt.b' rel: assessment-for links: - href: '#ir-3.3_smt.b' rel: assessment-for - id: ir-3.3_obj.c name: assessment-objective props: - name: label value: IR-03(03)(c) class: sp800-53a parts: - id: ir-3.3_obj.c-1 name: assessment-objective props: - name: label value: IR-03(03)(c)[01] class: sp800-53a prose: qualitative data from testing are used to provide incident response measures and metrics that are accurate; links: - href: '#ir-3.3_smt.c' rel: assessment-for - id: ir-3.3_obj.c-2 name: assessment-objective props: - name: label value: IR-03(03)(c)[02] class: sp800-53a prose: quantitative data from testing are used to provide incident response measures and metrics that are accurate; links: - href: '#ir-3.3_smt.c' rel: assessment-for - id: ir-3.3_obj.c-3 name: assessment-objective props: - name: label value: IR-03(03)(c)[03] class: sp800-53a prose: qualitative data from testing are used to provide incident response measures and metrics that are consistent; links: - href: '#ir-3.3_smt.c' rel: assessment-for - id: ir-3.3_obj.c-4 name: assessment-objective props: - name: label value: IR-03(03)(c)[04] class: sp800-53a prose: quantitative data from testing are used to provide incident response measures and metrics that are consistent; links: - href: '#ir-3.3_smt.c' rel: assessment-for - id: ir-3.3_obj.c-5 name: assessment-objective props: - name: label value: IR-03(03)(c)[05] class: sp800-53a prose: qualitative data from testing are used to provide incident response measures and metrics in a reproducible format; links: - href: '#ir-3.3_smt.c' rel: assessment-for - id: ir-3.3_obj.c-6 name: assessment-objective props: - name: label value: IR-03(03)(c)[06] class: sp800-53a prose: quantitative data from testing are used to provide incident response measures and metrics in a reproducible format. links: - href: '#ir-3.3_smt.c' rel: assessment-for links: - href: '#ir-3.3_smt.c' rel: assessment-for links: - href: '#ir-3.3_smt' rel: assessment-for - id: ir-3.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-03(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy contingency planning policy procedures addressing incident response testing incident response testing documentation incident response plan business continuity plans contingency plans disaster recovery plans continuity of operations plans crisis communications plans critical infrastructure plans occupant emergency plans system security plan privacy plan other relevant documents or records - id: ir-3.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-03(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident response testing responsibilities organizational personnel with responsibilities for testing organizational plans related to incident response testing organizational personnel with information security and privacy responsibilities - id: ir-4 class: SP800-53 title: Incident Handling props: - name: label value: IR-04 class: zero-padded - name: label value: IR-4 - name: label value: IR-04 class: sp800-53a - name: sort-id value: ir-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#4ff10ed3-d8fe-4246-99e3-443045e27482' rel: reference - href: '#0f963c17-ab5a-432a-a867-91eac550309b' rel: reference - href: '#5f4705ac-8d17-438c-b23a-ac7f12362ae4' rel: reference - href: '#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb' rel: reference - href: '#cfdb1858-c473-46b3-89f9-a700308d0be2' rel: reference - href: '#10cf2fad-a216-41f9-bb1a-531b7e3119e3' rel: reference - href: '#9ef4b43c-42a4-4316-87dc-ffaf528bc05c' rel: reference - href: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference - href: '#31ae65ab-3f26-46b7-9d64-f25a4dac5778' rel: reference - href: '#2be7b163-e50a-435c-8906-f1162f2a457a' rel: reference - href: '#ac-19' rel: related - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#cm-6' rel: related - href: '#cp-2' rel: related - href: '#cp-3' rel: related - href: '#cp-4' rel: related - href: '#ir-2' rel: related - href: '#ir-3' rel: related - href: '#ir-5' rel: related - href: '#ir-6' rel: related - href: '#ir-8' rel: related - href: '#pe-6' rel: related - href: '#pl-2' rel: related - href: '#pm-12' rel: related - href: '#sa-8' rel: related - href: '#sc-5' rel: related - href: '#sc-7' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related parts: - id: ir-4_smt name: statement parts: - id: ir-4_smt.a name: item props: - name: 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: label value: b. prose: Coordinate incident handling activities with contingency planning activities; - id: ir-4_smt.c name: item props: - 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: 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_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: 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: 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: 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: 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: 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: label value: IR-04d. class: sp800-53a parts: - id: ir-4_obj.d-1 name: assessment-objective props: - name: label value: IR-04d.[01] class: sp800-53a prose: the rigor of incident handling activities is comparable and predictable across the organization; links: - href: '#ir-4_smt.d' rel: assessment-for - id: ir-4_obj.d-2 name: assessment-objective props: - name: label value: IR-04d.[02] class: sp800-53a prose: the intensity of incident handling activities is comparable and predictable across the organization; links: - href: '#ir-4_smt.d' rel: assessment-for - id: ir-4_obj.d-3 name: assessment-objective props: - name: label value: IR-04d.[03] class: sp800-53a prose: the scope of incident handling activities is comparable and predictable across the organization; links: - href: '#ir-4_smt.d' rel: assessment-for - id: ir-4_obj.d-4 name: assessment-objective props: - name: label value: IR-04d.[04] class: sp800-53a prose: the results of incident handling activities are comparable and predictable across the organization. links: - href: '#ir-4_smt.d' rel: assessment-for links: - href: '#ir-4_smt.d' rel: assessment-for links: - href: '#ir-4_smt' rel: assessment-for - id: ir-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy contingency planning policy procedures addressing incident handling incident response plan contingency plan system security plan privacy plan other relevant documents or records - id: ir-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident handling responsibilities organizational personnel with contingency planning responsibilities organizational personnel with information security and privacy responsibilities - id: ir-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04-Test class: sp800-53a parts: - name: assessment-objects prose: Incident handling capability for the organization controls: - id: ir-4.1 class: SP800-53-enhancement title: Automated Incident Handling Processes params: - id: ir-04.01_odp props: - name: alt-identifier value: ir-4.1_prm_1 - name: label value: IR-04(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to support the incident handling process are defined; props: - name: label value: IR-04(01) class: zero-padded - name: label value: IR-4(1) - name: label value: IR-04(01) class: sp800-53a - name: sort-id value: ir-04.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required parts: - id: ir-4.1_smt name: statement prose: 'Support the incident handling process using {{ insert: param, ir-04.01_odp }}.' - id: ir-4.1_gdn name: guidance prose: Automated mechanisms that support incident handling processes include online incident management systems and tools that support the collection of live response data, full network packet capture, and forensic analysis. - id: ir-4.1_obj name: assessment-objective props: - name: label value: IR-04(01) class: sp800-53a prose: 'the incident handling process is supported using {{ insert: param, ir-04.01_odp }}.' links: - href: '#ir-4.1_smt' rel: assessment-for - id: ir-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident handling automated mechanisms supporting incident handling system design documentation system configuration settings and associated documentation system audit records incident response plan system security plan other relevant documents or records - id: ir-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident handling responsibilities organizational personnel with information security responsibilities - id: ir-4.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms that support and/or implement the incident handling process - id: ir-4.2 class: SP800-53-enhancement title: Dynamic Reconfiguration params: - id: ir-04.02_odp.01 props: - name: alt-identifier value: ir-4.2_prm_2 - name: label value: IR-04(02)_ODP[01] class: sp800-53a label: types of dynamic reconfiguration guidelines: - prose: types of dynamic reconfiguration for system components are defined; - id: ir-04.02_odp.02 props: - name: alt-identifier value: ir-4.2_prm_1 - name: label value: IR-04(02)_ODP[02] class: sp800-53a label: system components guidelines: - prose: system components that require dynamic reconfiguration are defined; props: - name: label value: IR-04(02) class: zero-padded - name: label value: IR-4(2) - name: label value: IR-04(02) class: sp800-53a - name: sort-id value: ir-04.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required - href: '#ac-2' rel: related - href: '#ac-4' rel: related - href: '#cm-2' rel: related parts: - id: ir-4.2_smt name: statement prose: 'Include the following types of dynamic reconfiguration for {{ insert: param, ir-04.02_odp.02 }} as part of the incident response capability: {{ insert: param, ir-04.02_odp.01 }}.' - id: ir-4.2_gdn name: guidance prose: Dynamic reconfiguration includes changes to router rules, access control lists, intrusion detection or prevention system parameters, and filter rules for guards or firewalls. Organizations may perform dynamic reconfiguration of systems to stop attacks, misdirect attackers, and isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include specific time frames for achieving the reconfiguration of systems in the definition of the reconfiguration capability, considering the potential need for rapid response to effectively address cyber threats. - id: ir-4.2_obj name: assessment-objective props: - name: label value: IR-04(02) class: sp800-53a prose: '{{ insert: param, ir-04.02_odp.01 }} for {{ insert: param, ir-04.02_odp.02 }} are included as part of the incident response capability.' links: - href: '#ir-4.2_smt' rel: assessment-for - id: ir-4.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident handling mechanisms supporting incident handling list of system components to be dynamically reconfigured as part of incident response capability system design documentation system configuration settings and associated documentation system audit records incident response plan system security plan other relevant documents or records - id: ir-4.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident handling responsibilities organizational personnel with information security responsibilities - id: ir-4.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms that support and/or implement the dynamic reconfiguration of components as part of incident response - id: ir-4.3 class: SP800-53-enhancement title: Continuity of Operations params: - id: ir-04.03_odp.01 props: - name: alt-identifier value: ir-4.3_prm_1 - name: label value: IR-04(03)_ODP[01] class: sp800-53a label: classes of incidents guidelines: - prose: classes of incidents requiring an organization-defined action (defined in IR-04(03)_ODP[02]) to be taken are defined; - id: ir-04.03_odp.02 props: - name: alt-identifier value: ir-4.3_prm_2 - name: alt-label value: actions to take in response to classes of incidents class: sp800-53 - name: label value: IR-04(03)_ODP[02] class: sp800-53a label: actions guidelines: - prose: actions to be taken in response to organization-defined classes of incidents are defined; props: - name: label value: IR-04(03) class: zero-padded - name: label value: IR-4(3) - name: label value: IR-04(03) class: sp800-53a - name: sort-id value: ir-04.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required parts: - id: ir-4.3_smt name: statement prose: 'Identify {{ insert: param, ir-04.03_odp.01 }} and take the following actions in response to those incidents to ensure continuation of organizational mission and business functions: {{ insert: param, ir-04.03_odp.02 }}.' - id: ir-4.3_gdn name: guidance prose: Classes of incidents include malfunctions due to design or implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Incident response actions include orderly system degradation, system shutdown, fall back to manual mode or activation of alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved for when systems are under attack. Organizations consider whether continuity of operations requirements during an incident conflict with the capability to automatically disable the system as specified as part of [IR-4(5)](#ir-4.5). - id: ir-4.3_obj name: assessment-objective props: - name: label value: IR-04(03) class: sp800-53a parts: - id: ir-4.3_obj-1 name: assessment-objective props: - name: label value: IR-04(03)[01] class: sp800-53a prose: '{{ insert: param, ir-04.03_odp.01 }} are identified;' links: - href: '#ir-4.3_smt' rel: assessment-for - id: ir-4.3_obj-2 name: assessment-objective props: - name: label value: IR-04(03)[02] class: sp800-53a prose: '{{ insert: param, ir-04.03_odp.02 }} are taken in response to those incidents (defined in IR-04(03)_ODP[01]) to ensure the continuation of organizational mission and business functions.' links: - href: '#ir-4.3_smt' rel: assessment-for links: - href: '#ir-4.3_smt' rel: assessment-for - id: ir-4.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident handling incident response plan privacy plan list of classes of incidents list of appropriate incident response actions system security plan other relevant documents or records - id: ir-4.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident handling responsibilities organizational personnel with information security responsibilities - id: ir-4.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms that support and/or implement continuity of operations - id: ir-4.4 class: SP800-53-enhancement title: Information Correlation props: - name: label value: IR-04(04) class: zero-padded - name: label value: IR-4(4) - name: label value: IR-04(04) class: sp800-53a - name: sort-id value: ir-04.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required parts: - id: ir-4.4_smt name: statement prose: Correlate incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response. - id: ir-4.4_gdn name: guidance prose: Sometimes, a threat event, such as a hostile cyber-attack, can only be observed by bringing together information from different sources, including various reports and reporting procedures established by organizations. - id: ir-4.4_obj name: assessment-objective props: - name: label value: IR-04(04) class: sp800-53a prose: incident information and individual incident responses are correlated to achieve an organization-wide perspective on incident awareness and response. links: - href: '#ir-4.4_smt' rel: assessment-for - id: ir-4.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident handling incident response plan privacy plan mechanisms supporting incident and event correlation system design documentation system configuration settings and associated documentation system security plan privacy plan incident management correlation logs event management correlation logs security information and event management logs incident management correlation reports event management correlation reports security information and event management reports audit records other relevant documents or records - id: ir-4.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident handling responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with whom incident information and individual incident responses are to be correlated - id: ir-4.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for correlating incident information and individual incident responses mechanisms that support and or implement the correlation of incident response information with individual incident responses - id: ir-4.5 class: SP800-53-enhancement title: Automatic Disabling of System params: - id: ir-04.05_odp props: - name: alt-identifier value: ir-4.5_prm_1 - name: label value: IR-04(05)_ODP class: sp800-53a label: security violations guidelines: - prose: security violations that automatically disable a system are defined; props: - name: label value: IR-04(05) class: zero-padded - name: label value: IR-4(5) - name: label value: IR-04(05) class: sp800-53a - name: sort-id value: ir-04.05 - 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: '#ir-4' rel: required parts: - id: ir-4.5_smt name: statement prose: 'Implement a configurable capability to automatically disable the system if {{ insert: param, ir-04.05_odp }} are detected.' - id: ir-4.5_gdn name: guidance prose: Organizations consider whether the capability to automatically disable the system conflicts with continuity of operations requirements specified as part of [CP-2](#cp-2) or [IR-4(3)](#ir-4.3) . Security violations include cyber-attacks that have compromised the integrity of the system or exfiltrated organizational information and serious errors in software programs that could adversely impact organizational missions or functions or jeopardize the safety of individuals. - id: ir-4.5_obj name: assessment-objective props: - name: label value: IR-04(05) class: sp800-53a prose: 'a configurable capability is implemented to automatically disable the system if {{ insert: param, ir-04.05_odp }} are detected.' links: - href: '#ir-4.5_smt' rel: assessment-for - id: ir-4.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident handling automated mechanisms supporting incident handling system design documentation system configuration settings and associated documentation system security plan incident response plan privacy plan other relevant documents or records - id: ir-4.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident handling responsibilities organizational personnel with information security responsibilities system developers - id: ir-4.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Incident handling capability for the organization automated mechanisms supporting and/or implementing automatic disabling of the system - id: ir-4.6 class: SP800-53-enhancement title: Insider Threats props: - name: label value: IR-04(06) class: zero-padded - name: label value: IR-4(6) - name: label value: IR-04(06) class: sp800-53a - name: sort-id value: ir-04.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required parts: - id: ir-4.6_smt name: statement prose: Implement an incident handling capability for incidents involving insider threats. - id: ir-4.6_gdn name: guidance prose: Explicit focus on handling incidents involving insider threats provides additional emphasis on this type of threat and the need for specific incident handling capabilities to provide appropriate and timely responses. - id: ir-4.6_obj name: assessment-objective props: - name: label value: IR-04(06) class: sp800-53a prose: an incident handling capability is implemented for incidents involving insider threats. links: - href: '#ir-4.6_smt' rel: assessment-for - id: ir-4.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident handling mechanisms supporting incident handling system design documentation system configuration settings and associated documentation incident response plan system security plan audit records other relevant documents or records - id: ir-4.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident handling responsibilities organizational personnel with information security responsibilities - id: ir-4.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Incident handling capability for the organization - id: ir-4.7 class: SP800-53-enhancement title: Insider Threats — Intra-organization Coordination params: - id: ir-04.07_odp props: - name: alt-identifier value: ir-4.7_prm_1 - name: label value: IR-04(07)_ODP class: sp800-53a label: entities guidelines: - prose: entities that require coordination for an incident handling capability for insider threats are defined; props: - name: label value: IR-04(07) class: zero-padded - name: label value: IR-4(7) - name: label value: IR-04(07) class: sp800-53a - name: sort-id value: ir-04.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required parts: - id: ir-4.7_smt name: statement prose: 'Coordinate an incident handling capability for insider threats that includes the following organizational entities {{ insert: param, ir-04.07_odp }}.' - id: ir-4.7_gdn name: guidance prose: Incident handling for insider threat incidents (e.g., preparation, detection and analysis, containment, eradication, and recovery) requires coordination among many organizational entities, including mission or business owners, system owners, human resources offices, procurement offices, personnel offices, physical security offices, senior agency information security officer, operations personnel, risk executive (function), senior agency official for privacy, and legal counsel. In addition, organizations may require external support from federal, state, and local law enforcement agencies. - id: ir-4.7_obj name: assessment-objective props: - name: label value: IR-04(07) class: sp800-53a parts: - id: ir-4.7_obj-1 name: assessment-objective props: - name: label value: IR-04(07)[01] class: sp800-53a prose: an incident handling capability is coordinated for insider threats; links: - href: '#ir-4.7_smt' rel: assessment-for - id: ir-4.7_obj-2 name: assessment-objective props: - name: label value: IR-04(07)[02] class: sp800-53a prose: 'the coordinated incident handling capability includes {{ insert: param, ir-04.07_odp }}.' links: - href: '#ir-4.7_smt' rel: assessment-for links: - href: '#ir-4.7_smt' rel: assessment-for - id: ir-4.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident handling incident response plan insider threat program plan insider threat CONOPS system security plan privacy plan other relevant documents or records - id: ir-4.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident handling responsibilities organizational personnel with information security and privacy responsibilities organizational personnel/elements with whom the incident handling capability is to be coordinated - id: ir-4.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04(07)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for coordinating incident handling - id: ir-4.8 class: SP800-53-enhancement title: Correlation with External Organizations params: - id: ir-04.08_odp.01 props: - name: alt-identifier value: ir-4.8_prm_1 - name: label value: IR-04(08)_ODP[01] class: sp800-53a label: external organizations guidelines: - prose: external organizations with whom organizational incident information is to be coordinated and shared are defined; - id: ir-04.08_odp.02 props: - name: alt-identifier value: ir-4.8_prm_2 - name: label value: IR-04(08)_ODP[02] class: sp800-53a label: incident information guidelines: - prose: incident information to be correlated and shared with organization-defined external organizations are defined; props: - name: label value: IR-04(08) class: zero-padded - name: label value: IR-4(8) - name: label value: IR-04(08) class: sp800-53a - name: sort-id value: ir-04.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required - href: '#au-16' rel: related - href: '#pm-16' rel: related parts: - id: ir-4.8_smt name: statement prose: 'Coordinate with {{ insert: param, ir-04.08_odp.01 }} to correlate and share {{ insert: param, ir-04.08_odp.02 }} to achieve a cross-organization perspective on incident awareness and more effective incident responses.' - id: ir-4.8_gdn name: guidance prose: The coordination of incident information with external organizations—including mission or business partners, military or coalition partners, customers, and developers—can provide significant benefits. Cross-organizational coordination can serve as an important risk management capability. This capability allows organizations to leverage information from a variety of sources to effectively respond to incidents and breaches that could potentially affect the organization’s operations, assets, and individuals. - id: ir-4.8_obj name: assessment-objective props: - name: label value: IR-04(08) class: sp800-53a prose: 'there is coordination with {{ insert: param, ir-04.08_odp.01 }} to correlate and share {{ insert: param, ir-04.08_odp.02 }} to achieve a cross-organization perspective on incident awareness and more effective incident responses.' links: - href: '#ir-4.8_smt' rel: assessment-for - id: ir-4.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident handling list of external organizations records of incident handling coordination with external organizations incident response plan system security plan privacy plan other relevant documents or records - id: ir-4.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident handling responsibilities organizational personnel with information security and privacy responsibilities personnel from external organizations with whom incident response information is to be coordinated, shared, and correlated - id: ir-4.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04(08)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for coordinating incident handling information with external organizations - id: ir-4.9 class: SP800-53-enhancement title: Dynamic Response Capability params: - id: ir-04.09_odp props: - name: alt-identifier value: ir-4.9_prm_1 - name: label value: IR-04(09)_ODP class: sp800-53a label: dynamic response capabilities guidelines: - prose: dynamic response capabilities to be employed to respond to incidents are defined; props: - name: label value: IR-04(09) class: zero-padded - name: label value: IR-4(9) - name: label value: IR-04(09) class: sp800-53a - name: sort-id value: ir-04.09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required parts: - id: ir-4.9_smt name: statement prose: 'Employ {{ insert: param, ir-04.09_odp }} to respond to incidents.' - id: ir-4.9_gdn name: guidance prose: The dynamic response capability addresses the timely deployment of new or replacement organizational capabilities in response to incidents. This includes capabilities implemented at the mission and business process level and at the system level. - id: ir-4.9_obj name: assessment-objective props: - name: label value: IR-04(09) class: sp800-53a prose: '{{ insert: param, ir-04.09_odp }} are employed to respond to incidents.' links: - href: '#ir-4.9_smt' rel: assessment-for - id: ir-4.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident handling automated mechanisms supporting dynamic response capabilities system design documentation system configuration settings and associated documentation incident response plan system security plan audit records other relevant documents or records - id: ir-4.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident handling responsibilities organizational personnel with information security responsibilities - id: ir-4.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04(09)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for dynamic response capability automated mechanisms supporting and/or implementing the dynamic response capability for the organization - id: ir-4.10 class: SP800-53-enhancement title: Supply Chain Coordination props: - name: label value: IR-04(10) class: zero-padded - name: label value: IR-4(10) - name: label value: IR-04(10) class: sp800-53a - name: sort-id value: ir-04.10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required - href: '#ca-3' rel: related - href: '#ma-2' rel: related - href: '#sa-9' rel: related - href: '#sr-8' rel: related parts: - id: ir-4.10_smt name: statement prose: Coordinate incident handling activities involving supply chain events with other organizations involved in the supply chain. - id: ir-4.10_gdn name: guidance prose: Organizations involved in supply chain activities include product developers, system integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents can occur anywhere through or to the supply chain and include compromises or breaches that involve primary or sub-tier providers, information technology products, system components, development processes or personnel, and distribution processes or warehousing facilities. Organizations consider including processes for protecting and sharing incident information in information exchange agreements and their obligations for reporting incidents to government oversight bodies (e.g., Federal Acquisition Security Council). - id: ir-4.10_obj name: assessment-objective props: - name: label value: IR-04(10) class: sp800-53a prose: incident handling activities involving supply chain events are coordinated with other organizations involved in the supply chain. links: - href: '#ir-4.10_smt' rel: assessment-for - id: ir-4.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(10)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing supply chain coordination and supply chain risk information sharing with the Federal Acquisition Security Council acquisition contracts service-level agreements incident response plan supply chain risk management plan system security plan incident response plans of other organization involved in supply chain activities other relevant documents or records - id: ir-4.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(10)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident handling responsibilities organizational personnel with mission and business responsibilities organizational personnel with legal responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities organizational personnel with acquisition responsibilities - id: ir-4.11 class: SP800-53-enhancement title: Integrated Incident Response Team params: - id: ir-04.11_odp props: - name: alt-identifier value: ir-4.11_prm_1 - name: label value: IR-04(11)_ODP class: sp800-53a label: time period guidelines: - prose: the time period within which an integrated incident response team can be deployed is defined; props: - name: label value: IR-04(11) class: zero-padded - name: label value: IR-4(11) - name: label value: IR-04(11) class: sp800-53a - name: sort-id value: ir-04.11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required - href: '#at-3' rel: related parts: - id: ir-4.11_smt name: statement prose: 'Establish and maintain an integrated incident response team that can be deployed to any location identified by the organization in {{ insert: param, ir-04.11_odp }}.' - id: ir-4.11_gdn name: guidance prose: |- An integrated incident response team is a team of experts that assesses, documents, and responds to incidents so that organizational systems and networks can recover quickly and implement the necessary controls to avoid future incidents. Incident response team personnel include forensic and malicious code analysts, tool developers, systems security and privacy engineers, and real-time operations personnel. The incident handling capability includes performing rapid forensic preservation of evidence and analysis of and response to intrusions. For some organizations, the incident response team can be a cross-organizational entity. An integrated incident response team facilitates information sharing and allows organizational personnel (e.g., developers, implementers, and operators) to leverage team knowledge of the threat and implement defensive measures that enable organizations to deter intrusions more effectively. Moreover, integrated teams promote the rapid detection of intrusions, the development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing cyber intelligence development. Integrated incident response teams are better able to identify adversary tactics, techniques, and procedures that are linked to the operations tempo or specific mission and business functions and to define responsive actions in a way that does not disrupt those mission and business functions. Incident response teams can be distributed within organizations to make the capability resilient. - id: ir-4.11_obj name: assessment-objective props: - name: label value: IR-04(11) class: sp800-53a parts: - id: ir-4.11_obj-1 name: assessment-objective props: - name: label value: IR-04(11)[01] class: sp800-53a prose: an integrated incident response team is established and maintained; links: - href: '#ir-4.11_smt' rel: assessment-for - id: ir-4.11_obj-2 name: assessment-objective props: - name: label value: IR-04(11)[02] class: sp800-53a prose: 'the integrated incident response team can be deployed to any location identified by the organization in {{ insert: param, ir-04.11_odp }}.' links: - href: '#ir-4.11_smt' rel: assessment-for links: - href: '#ir-4.11_smt' rel: assessment-for - id: ir-4.11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(11)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident handling procedures addressing incident response planning incident response plan system security plan privacy plan other relevant documents or records - id: ir-4.11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(11)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident handling responsibilities organizational personnel with information security and privacy responsibilities members of the integrated incident response team - id: ir-4.12 class: SP800-53-enhancement title: Malicious Code and Forensic Analysis props: - name: label value: IR-04(12) class: zero-padded - name: label value: IR-4(12) - name: label value: IR-04(12) class: sp800-53a - name: sort-id value: ir-04.12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required parts: - id: ir-4.12_smt name: statement prose: Analyze malicious code and/or other residual artifacts remaining in the system after the incident. - id: ir-4.12_gdn name: guidance prose: When conducted carefully in an isolated environment, analysis of malicious code and other residual artifacts of a security incident or breach can give the organization insight into adversary tactics, techniques, and procedures. It can also indicate the identity or some defining characteristics of the adversary. In addition, malicious code analysis can help the organization develop responses to future incidents. - id: ir-4.12_obj name: assessment-objective props: - name: label value: IR-04(12) class: sp800-53a parts: - id: ir-4.12_obj-1 name: assessment-objective props: - name: label value: IR-04(12)[01] class: sp800-53a prose: malicious code remaining in the system is analyzed after the incident; links: - href: '#ir-4.12_smt' rel: assessment-for - id: ir-4.12_obj-2 name: assessment-objective props: - name: label value: IR-04(12)[02] class: sp800-53a prose: other residual artifacts remaining in the system (if any) are analyzed after the incident. links: - href: '#ir-4.12_smt' rel: assessment-for links: - href: '#ir-4.12_smt' rel: assessment-for - id: ir-4.12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(12)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident handling procedures addressing code and forensic analysis procedures addressing incident response incident response plan system design documentation malicious code protection mechanisms, tools, and techniques results from malicious code analyses system security plan system audit records other relevant documents or records - id: ir-4.12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(12)-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 with responsibility for malicious code protection organizational personnel responsible for incident response/management - id: ir-4.12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04(12)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational process for incident response organizational processes for conducting forensic analysis tools and techniques for analysis of malicious code characteristics and behavior - id: ir-4.13 class: SP800-53-enhancement title: Behavior Analysis params: - id: ir-04.13_odp props: - name: alt-identifier value: ir-4.13_prm_1 - name: label value: IR-04(13)_ODP class: sp800-53a label: environments or resources guidelines: - prose: environments or resources which may contain or may be related to anomalous or suspected adversarial behavior are defined; props: - name: label value: IR-04(13) class: zero-padded - name: label value: IR-4(13) - name: label value: IR-04(13) class: sp800-53a - name: sort-id value: ir-04.13 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required parts: - id: ir-4.13_smt name: statement prose: 'Analyze anomalous or suspected adversarial behavior in or related to {{ insert: param, ir-04.13_odp }}.' - id: ir-4.13_gdn name: guidance prose: If the organization maintains a deception environment, an analysis of behaviors in that environment, including resources targeted by the adversary and timing of the incident or event, can provide insight into adversarial tactics, techniques, and procedures. External to a deception environment, the analysis of anomalous adversarial behavior (e.g., changes in system performance or usage patterns) or suspected behavior (e.g., changes in searches for the location of specific resources) can give the organization such insight. - id: ir-4.13_obj name: assessment-objective props: - name: label value: IR-04(13) class: sp800-53a prose: 'anomalous or suspected adversarial behavior in or related to {{ insert: param, ir-04.13_odp }} are analyzed.' links: - href: '#ir-4.13_smt' rel: assessment-for - id: ir-4.13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(13)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing system monitoring tools and techniques incident response plan system monitoring logs or records system monitoring tools and techniques documentation system configuration settings and associated documentation security plan system component inventory network diagram system protocols documentation list of acceptable thresholds for false positives and false negatives system security plan other relevant documents or records - id: ir-4.13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(13)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security responsibilities system/network administrators - id: ir-4.13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04(13)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for detecting anomalous behavior - id: ir-4.14 class: SP800-53-enhancement title: Security Operations Center props: - name: label value: IR-04(14) class: zero-padded - name: label value: IR-4(14) - name: label value: IR-04(14) class: sp800-53a - name: sort-id value: ir-04.14 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ir-4' rel: required parts: - id: ir-4.14_smt name: statement prose: Establish and maintain a security operations center. - id: ir-4.14_gdn name: guidance prose: A security operations center (SOC) is the focal point for security operations and computer network defense for an organization. The purpose of the SOC is to defend and monitor an organization’s systems and networks (i.e., cyber infrastructure) on an ongoing basis. The SOC is also responsible for detecting, analyzing, and responding to cybersecurity incidents in a timely manner. The organization staffs the SOC with skilled technical and operational personnel (e.g., security analysts, incident response personnel, systems security engineers) and implements a combination of technical, management, and operational controls (including monitoring, scanning, and forensics tools) to monitor, fuse, correlate, analyze, and respond to threat and security-relevant event data from multiple sources. These sources include perimeter defenses, network devices (e.g., routers, switches), and endpoint agent data feeds. The SOC provides a holistic situational awareness capability to help organizations determine the security posture of the system and organization. A SOC capability can be obtained in a variety of ways. Larger organizations may implement a dedicated SOC while smaller organizations may employ third-party organizations to provide such a capability. - id: ir-4.14_obj name: assessment-objective props: - name: label value: IR-04(14) class: sp800-53a parts: - id: ir-4.14_obj-1 name: assessment-objective props: - name: label value: IR-04(14)[01] class: sp800-53a prose: a security operations center is established; links: - href: '#ir-4.14_smt' rel: assessment-for - id: ir-4.14_obj-2 name: assessment-objective props: - name: label value: IR-04(14)[02] class: sp800-53a prose: a security operations center is maintained. links: - href: '#ir-4.14_smt' rel: assessment-for links: - href: '#ir-4.14_smt' rel: assessment-for - id: ir-4.14_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(14)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy contingency planning policy procedures addressing incident handling procedures addressing the security operations center operations mechanisms supporting dynamic response capabilities incident response plan contingency plan system security plan other relevant documents or records - id: ir-4.14_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(14)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident handling responsibilities organizational personnel with contingency planning responsibilities security operations center personnel organizational personnel with information security responsibilities - id: ir-4.14_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-04(14)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms that support and/or implement the security operations center capability mechanisms that support and/or implement the incident handling process - id: ir-4.15 class: SP800-53-enhancement title: Public Relations and Reputation Repair props: - name: label value: IR-04(15) class: zero-padded - name: label value: IR-4(15) - name: label value: IR-04(15) class: sp800-53a - name: sort-id value: ir-04.15 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-4' rel: required parts: - id: ir-4.15_smt name: statement parts: - id: ir-4.15_smt.a name: item props: - name: label value: (a) prose: Manage public relations associated with an incident; and - id: ir-4.15_smt.b name: item props: - name: label value: (b) prose: Employ measures to repair the reputation of the organization. - id: ir-4.15_gdn name: guidance prose: It is important for an organization to have a strategy in place for addressing incidents that have been brought to the attention of the general public, have cast the organization in a negative light, or have affected the organization’s constituents (e.g., partners, customers). Such publicity can be extremely harmful to the organization and affect its ability to carry out its mission and business functions. Taking proactive steps to repair the organization’s reputation is an essential aspect of reestablishing the trust and confidence of its constituents. - id: ir-4.15_obj name: assessment-objective props: - name: label value: IR-04(15) class: sp800-53a parts: - id: ir-4.15_obj.a name: assessment-objective props: - name: label value: IR-04(15)(a) class: sp800-53a prose: public relations associated with an incident are managed; links: - href: '#ir-4.15_smt.a' rel: assessment-for - id: ir-4.15_obj.b name: assessment-objective props: - name: label value: IR-04(15)(b) class: sp800-53a prose: measures are employed to repair the reputation of the organization. links: - href: '#ir-4.15_smt.b' rel: assessment-for links: - href: '#ir-4.15_smt' rel: assessment-for - id: ir-4.15_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-04(15)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident response procedures addressing incident handling incident response plan system security plan other relevant documents or records - id: ir-4.15_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-04(15)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident handling responsibilities organizational personnel with information security responsibilities organizational personnel with communications or public relations responsibilities - id: ir-5 class: SP800-53 title: Incident Monitoring props: - name: label value: IR-05 class: zero-padded - name: label value: IR-5 - name: label value: IR-05 class: sp800-53a - name: sort-id value: ir-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb' rel: reference - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#ir-4' rel: related - href: '#ir-6' rel: related - href: '#ir-8' rel: related - href: '#pe-6' rel: related - href: '#pm-5' rel: related - href: '#sc-5' rel: related - href: '#sc-7' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related parts: - id: ir-5_smt name: statement 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: label value: IR-05 class: sp800-53a parts: - id: ir-5_obj-1 name: assessment-objective props: - name: label value: IR-05[01] class: sp800-53a prose: incidents are tracked; links: - href: '#ir-5_smt' rel: assessment-for - id: ir-5_obj-2 name: assessment-objective props: - name: label value: IR-05[02] class: sp800-53a prose: incidents are documented. links: - href: '#ir-5_smt' rel: assessment-for links: - href: '#ir-5_smt' rel: assessment-for - id: ir-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-05-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident monitoring incident response records and documentation incident response plan system security plan privacy plan other relevant documents or records - id: ir-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-05-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident monitoring responsibilities organizational personnel with information security and privacy responsibilities - id: ir-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-05-Test class: sp800-53a parts: - name: assessment-objects prose: |- Incident monitoring capability for the organization mechanisms supporting and/or implementing the tracking and documenting of system security incidents controls: - id: ir-5.1 class: SP800-53-enhancement title: Automated Tracking, Data Collection, and Analysis params: - id: ir-5.1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ir-05.01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ir-05.01_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ir-05.01_odp.03 label: organization-defined automated mechanisms - id: ir-05.01_odp.01 props: - name: label value: IR-05(01)_ODP[01] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to track incidents are defined; - id: ir-05.01_odp.02 props: - name: label value: IR-05(01)_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to collect incident information are defined; - id: ir-05.01_odp.03 props: - name: label value: IR-05(01)_ODP[03] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to analyze incident information are defined; props: - name: label value: IR-05(01) class: zero-padded - name: label value: IR-5(1) - name: label value: IR-05(01) class: sp800-53a - name: sort-id value: ir-05.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ir-5' rel: required parts: - id: ir-5.1_smt name: statement prose: 'Track incidents and collect and analyze incident information using {{ insert: param, ir-5.1_prm_1 }}.' - id: ir-5.1_gdn name: guidance prose: Automated mechanisms for tracking incidents and collecting and analyzing incident information include Computer Incident Response Centers or other electronic databases of incidents and network monitoring devices. - id: ir-5.1_obj name: assessment-objective props: - name: label value: IR-05(01) class: sp800-53a parts: - id: ir-5.1_obj-1 name: assessment-objective props: - name: label value: IR-05(01)[01] class: sp800-53a prose: 'incidents are tracked using {{ insert: param, ir-05.01_odp.01 }};' links: - href: '#ir-5.1_smt' rel: assessment-for - id: ir-5.1_obj-2 name: assessment-objective props: - name: label value: IR-05(01)[02] class: sp800-53a prose: 'incident information is collected using {{ insert: param, ir-05.01_odp.02 }};' links: - href: '#ir-5.1_smt' rel: assessment-for - id: ir-5.1_obj-3 name: assessment-objective props: - name: label value: IR-05(01)[03] class: sp800-53a prose: 'incident information is analyzed using {{ insert: param, ir-05.01_odp.03 }}.' links: - href: '#ir-5.1_smt' rel: assessment-for links: - href: '#ir-5.1_smt' rel: assessment-for - id: ir-5.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-05(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident monitoring incident response records and documentation system security plan incident response plan other relevant documents or records - id: ir-5.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-05(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident monitoring responsibilities organizational personnel with information security responsibilities - id: ir-5.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-05(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Incident monitoring capability for the organization automated mechanisms supporting and/or implementing the tracking and documenting of system security incidents - id: ir-6 class: SP800-53 title: Incident Reporting params: - id: ir-06_odp.01 props: - name: alt-identifier value: ir-6_prm_1 - name: label value: IR-06_ODP[01] class: sp800-53a label: time period guidelines: - prose: time period for personnel to report suspected incidents to the organizational incident response capability is defined; - id: ir-06_odp.02 props: - name: alt-identifier value: ir-6_prm_2 - name: label value: IR-06_ODP[02] class: sp800-53a label: authorities guidelines: - prose: authorities to whom incident information is to be reported are defined; props: - name: label value: IR-06 class: zero-padded - name: label value: IR-6 - name: label value: IR-06 class: sp800-53a - name: sort-id value: ir-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#4ff10ed3-d8fe-4246-99e3-443045e27482' rel: reference - href: '#0f963c17-ab5a-432a-a867-91eac550309b' rel: reference - href: '#40b78258-c892-480e-9af8-77ac36648301' rel: reference - href: '#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb' rel: reference - href: '#cm-6' rel: related - href: '#cp-2' rel: related - href: '#ir-4' rel: related - href: '#ir-5' rel: related - href: '#ir-8' rel: related - href: '#ir-9' rel: related parts: - id: ir-6_smt name: statement parts: - id: ir-6_smt.a name: item props: - name: 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: 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_obj name: assessment-objective props: - name: label value: IR-06 class: sp800-53a parts: - id: ir-6_obj.a name: assessment-objective props: - 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: label value: IR-06b. class: sp800-53a prose: 'incident information is reported to {{ insert: param, ir-06_odp.02 }}.' links: - href: '#ir-6_smt.b' rel: assessment-for links: - href: '#ir-6_smt' rel: assessment-for - id: ir-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-06-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident reporting incident reporting records and documentation incident response plan system security plan privacy plan other relevant documents or records - id: ir-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-06-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident reporting responsibilities organizational personnel with information security and privacy responsibilities personnel who have/should have reported incidents personnel (authorities) to whom incident information is to be reported system users - id: ir-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-06-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for incident reporting mechanisms supporting and/or implementing incident reporting controls: - id: ir-6.1 class: SP800-53-enhancement title: Automated Reporting params: - id: ir-06.01_odp props: - name: alt-identifier value: ir-6.1_prm_1 - name: label value: IR-06(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used for reporting incidents are defined; props: - name: label value: IR-06(01) class: zero-padded - name: label value: IR-6(1) - name: label value: IR-06(01) class: sp800-53a - name: sort-id value: ir-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-6' rel: required - href: '#ir-7' rel: related parts: - id: ir-6.1_smt name: statement prose: 'Report incidents using {{ insert: param, ir-06.01_odp }}.' - id: ir-6.1_gdn name: guidance prose: The recipients of incident reports are specified in [IR-6b](#ir-6_smt.b) . Automated reporting mechanisms include email, posting on websites (with automatic updates), and automated incident response tools and programs. - id: ir-6.1_obj name: assessment-objective props: - name: label value: IR-06(01) class: sp800-53a prose: 'incidents are reported using {{ insert: param, ir-06.01_odp }}.' links: - href: '#ir-6.1_smt' rel: assessment-for - id: ir-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-06(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident reporting automated mechanisms supporting incident reporting system design documentation system configuration settings and associated documentation incident response plan system security plan other relevant documents or records - id: ir-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-06(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident reporting responsibilities organizational personnel with information security responsibilities - id: ir-6.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-06(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for incident reporting automated mechanisms supporting and/or implementing the reporting of security incidents - id: ir-6.2 class: SP800-53-enhancement title: Vulnerabilities Related to Incidents params: - id: ir-06.02_odp props: - name: alt-identifier value: ir-6.2_prm_1 - name: label value: IR-06(02)_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom system vulnerabilities associated with reported incidents are reported to is/are defined; props: - name: label value: IR-06(02) class: zero-padded - name: label value: IR-6(2) - name: label value: IR-06(02) class: sp800-53a - name: sort-id value: ir-06.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-6' rel: required parts: - id: ir-6.2_smt name: statement prose: 'Report system vulnerabilities associated with reported incidents to {{ insert: param, ir-06.02_odp }}.' - id: ir-6.2_gdn name: guidance prose: Reported incidents that uncover system vulnerabilities are analyzed by organizational personnel including system owners, mission and business owners, senior agency information security officers, senior agency officials for privacy, authorizing officials, and the risk executive (function). The analysis can serve to prioritize and initiate mitigation actions to address the discovered system vulnerability. - id: ir-6.2_obj name: assessment-objective props: - name: label value: IR-06(02) class: sp800-53a prose: 'system vulnerabilities associated with reported incidents are reported to {{ insert: param, ir-06.02_odp }}.' links: - href: '#ir-6.2_smt' rel: assessment-for - id: ir-6.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-06(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident reporting incident response plan system security plan privacy plan security incident reports and associated system vulnerabilities other relevant documents or records - id: ir-6.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-06(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident reporting responsibilities organizational personnel with information security and privacy responsibilities system/network administrators personnel to whom vulnerabilities associated with security incidents are to be reported - id: ir-6.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-06(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for incident reporting mechanisms supporting and/or implementing the reporting of vulnerabilities associated with security incidents - id: ir-6.3 class: SP800-53-enhancement title: Supply Chain Coordination props: - name: label value: IR-06(03) class: zero-padded - name: label value: IR-6(3) - name: label value: IR-06(03) class: sp800-53a - name: sort-id value: ir-06.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-6' rel: required - href: '#sr-8' rel: related parts: - id: ir-6.3_smt name: statement prose: Provide incident information to the provider of the product or service and other organizations involved in the supply chain or supply chain governance for systems or system components related to the incident. - id: ir-6.3_gdn name: guidance prose: Organizations involved in supply chain activities include product developers, system integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Entities that provide supply chain governance include the Federal Acquisition Security Council (FASC). Supply chain incidents include compromises or breaches that involve information technology products, system components, development processes or personnel, distribution processes, or warehousing facilities. Organizations determine the appropriate information to share and consider the value gained from informing external organizations about supply chain incidents, including the ability to improve processes or to identify the root cause of an incident. - id: ir-6.3_obj name: assessment-objective props: - name: label value: IR-06(03) class: sp800-53a prose: incident information is provided to the provider of the product or service and other organizations involved in the supply chain or supply chain governance for systems or system components related to the incident. links: - href: '#ir-6.3_smt' rel: assessment-for - id: ir-6.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-06(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing supply chain coordination and supply chain risk information sharing with the Federal Acquisition Security Council acquisition policy acquisition contracts service-level agreements incident response plan supply chain risk management plan system security plan plans of other organizations involved in supply chain activities other relevant documents or records - id: ir-6.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-06(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident reporting responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities organization personnel with acquisition responsibilities - id: ir-6.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-06(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for incident reporting organizational processes for supply chain risk information sharing mechanisms supporting and/or implementing the reporting of incident information involved in the supply chain - id: ir-7 class: SP800-53 title: Incident Response Assistance props: - name: label value: IR-07 class: zero-padded - name: label value: IR-7 - name: label value: IR-07 class: sp800-53a - name: sort-id value: ir-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#2be7b163-e50a-435c-8906-f1162f2a457a' rel: reference - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#ir-4' rel: related - href: '#ir-6' rel: related - href: '#ir-8' rel: related - href: '#pm-22' rel: related - href: '#pm-26' rel: related - href: '#sa-9' rel: related - href: '#si-18' rel: related parts: - id: ir-7_smt name: statement 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: 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: label value: IR-07[02] class: sp800-53a prose: the incident response support resource offers advice and assistance to users of the system for the response and reporting of incidents. links: - href: '#ir-7_smt' rel: assessment-for links: - href: '#ir-7_smt' rel: assessment-for - id: ir-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-07-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident response assistance incident response plan system security plan privacy plan other relevant documents or records - id: ir-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-07-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident response assistance and support responsibilities organizational personnel with access to incident response support and assistance capability organizational personnel with information security and privacy responsibilities - id: ir-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-07-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for incident response assistance mechanisms supporting and/or implementing incident response assistance controls: - id: ir-7.1 class: SP800-53-enhancement title: Automation Support for Availability of Information and Support params: - id: ir-07.01_odp props: - name: alt-identifier value: ir-7.1_prm_1 - name: label value: IR-07(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to increase the availability of incident response information and support are defined; props: - name: label value: IR-07(01) class: zero-padded - name: label value: IR-7(1) - name: label value: IR-07(01) class: sp800-53a - name: sort-id value: ir-07.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-7' rel: required parts: - id: ir-7.1_smt name: statement prose: 'Increase the availability of incident response information and support using {{ insert: param, ir-07.01_odp }}.' - id: ir-7.1_gdn name: guidance prose: Automated mechanisms can provide a push or pull capability for users to obtain incident response assistance. For example, individuals may have access to a website to query the assistance capability, or the assistance capability can proactively send incident response information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support. - id: ir-7.1_obj name: assessment-objective props: - name: label value: IR-07(01) class: sp800-53a prose: 'the availability of incident response information and support is increased using {{ insert: param, ir-07.01_odp }}.' links: - href: '#ir-7.1_smt' rel: assessment-for - id: ir-7.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-07(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident response assistance automated mechanisms supporting incident response support and assistance system design documentation system configuration settings and associated documentation incident response plan system security plan other relevant documents or records - id: ir-7.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-07(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident response support and assistance responsibilities organizational personnel with access to incident response support and assistance capability organizational personnel with information security responsibilities - id: ir-7.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-07(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for incident response assistance automated mechanisms supporting and/or implementing an increase in the availability of incident response information and support - id: ir-7.2 class: SP800-53-enhancement title: Coordination with External Providers props: - name: label value: IR-07(02) class: zero-padded - name: label value: IR-7(2) - name: label value: IR-07(02) class: sp800-53a - name: sort-id value: ir-07.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-7' rel: required parts: - id: ir-7.2_smt name: statement parts: - id: ir-7.2_smt.a name: item props: - name: label value: (a) prose: Establish a direct, cooperative relationship between its incident response capability and external providers of system protection capability; and - id: ir-7.2_smt.b name: item props: - name: label value: (b) prose: Identify organizational incident response team members to the external providers. - id: ir-7.2_gdn name: guidance prose: External providers of a system protection capability include the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks. It may be beneficial to have agreements in place with external providers to clarify the roles and responsibilities of each party before an incident occurs. - id: ir-7.2_obj name: assessment-objective props: - name: label value: IR-07(02) class: sp800-53a parts: - id: ir-7.2_obj.a name: assessment-objective props: - name: label value: IR-07(02)(a) class: sp800-53a prose: a direct, cooperative relationship is established between its incident response capability and external providers of the system protection capability; links: - href: '#ir-7.2_smt.a' rel: assessment-for - id: ir-7.2_obj.b name: assessment-objective props: - name: label value: IR-07(02)(b) class: sp800-53a prose: organizational incident response team members are identified to the external providers. links: - href: '#ir-7.2_smt.b' rel: assessment-for links: - href: '#ir-7.2_smt' rel: assessment-for - id: ir-7.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-07(02)-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-7.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-07(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident response support and assistance responsibilities external providers of system protection capability organizational personnel with information security and privacy responsibilities - 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 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 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 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 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 guidelines: - prose: organizational elements to which changes to the incident response plan are communicated are defined; props: - name: label value: IR-08 class: zero-padded - name: label value: IR-8 - name: label value: IR-08 class: sp800-53a - name: sort-id value: ir-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb' rel: reference - href: '#5f4705ac-8d17-438c-b23a-ac7f12362ae4' rel: reference - href: '#ac-2' rel: related - href: '#cp-2' rel: related - href: '#cp-4' rel: related - href: '#ir-4' rel: related - href: '#ir-7' rel: related - href: '#ir-9' rel: related - href: '#pe-6' rel: related - href: '#pl-2' rel: related - href: '#sa-15' rel: related - href: '#si-12' rel: related - href: '#sr-8' rel: related parts: - id: ir-8_smt name: statement parts: - id: ir-8_smt.a name: item props: - name: 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: 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: 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: 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: 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_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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 controls: - id: ir-8.1 class: SP800-53-enhancement title: Breaches props: - name: label value: IR-08(01) class: zero-padded - name: label value: IR-8(1) - name: label value: IR-08(01) class: sp800-53a - name: sort-id value: ir-08.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-8' rel: required - href: '#pt-1' rel: related - href: '#pt-2' rel: related - href: '#pt-3' rel: related - href: '#pt-4' rel: related - href: '#pt-5' rel: related - href: '#pt-7' rel: related parts: - id: ir-8.1_smt name: statement prose: 'Include the following in the Incident Response Plan for breaches involving personally identifiable information:' parts: - id: ir-8.1_smt.a name: item props: - name: label value: (a) prose: A process to determine if notice to individuals or other organizations, including oversight organizations, is needed; - id: ir-8.1_smt.b name: item props: - name: label value: (b) prose: An assessment process to determine the extent of the harm, embarrassment, inconvenience, or unfairness to affected individuals and any mechanisms to mitigate such harms; and - id: ir-8.1_smt.c name: item props: - name: label value: (c) prose: Identification of applicable privacy requirements. - id: ir-8.1_gdn name: guidance prose: Organizations may be required by law, regulation, or policy to follow specific procedures relating to breaches, including notice to individuals, affected organizations, and oversight bodies; standards of harm; and mitigation or other specific requirements. - id: ir-8.1_obj name: assessment-objective props: - name: label value: IR-08(01) class: sp800-53a parts: - id: ir-8.1_obj.a name: assessment-objective props: - name: label value: IR-08(01)(a) class: sp800-53a prose: the incident response plan for breaches involving personally identifiable information includes a process to determine if notice to individuals or other organizations, including oversight organizations, is needed; links: - href: '#ir-8.1_smt.a' rel: assessment-for - id: ir-8.1_obj.b name: assessment-objective props: - name: label value: IR-08(01)(b) class: sp800-53a prose: the incident response plan for breaches involving personally identifiable information includes an assessment process to determine the extent of the harm, embarrassment, inconvenience, or unfairness to affected individuals and any mechanisms to mitigate such harms; links: - href: '#ir-8.1_smt.b' rel: assessment-for - id: ir-8.1_obj.c name: assessment-objective props: - name: label value: IR-08(01)(c) class: sp800-53a prose: the incident response plan for breaches involving personally identifiable information includes the identification of applicable privacy requirements. links: - href: '#ir-8.1_smt.c' rel: assessment-for links: - href: '#ir-8.1_smt' rel: assessment-for - id: ir-8.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-08(01)-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-8.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-08(01)-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-8.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-08(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational incident response plan and related organizational processes - id: ir-9 class: SP800-53 title: Information Spillage Response params: - id: ir-09_odp.01 props: - name: alt-identifier value: ir-9_prm_1 - name: label value: IR-09_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles assigned the responsibility for responding to information spills is/are defined; - id: ir-09_odp.02 props: - name: alt-identifier value: ir-9_prm_2 - name: label value: IR-09_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be alerted of the information spill using a method of communication not associated with the spill is/are defined; - id: ir-09_odp.03 props: - name: alt-identifier value: ir-9_prm_3 - name: label value: IR-09_ODP[03] class: sp800-53a label: actions guidelines: - prose: actions to be performed are defined; props: - name: label value: IR-09 class: zero-padded - name: label value: IR-9 - name: label value: IR-09 class: sp800-53a - name: sort-id value: ir-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: related - href: '#ir-6' rel: related - href: '#pm-26' rel: related - href: '#pm-27' rel: related - href: '#pt-2' rel: related - href: '#pt-3' rel: related - href: '#pt-7' rel: related - href: '#ra-7' rel: related parts: - id: ir-9_smt name: statement prose: 'Respond to information spills by:' parts: - id: ir-9_smt.a name: item props: - name: label value: a. prose: 'Assigning {{ insert: param, ir-09_odp.01 }} with responsibility for responding to information spills;' - id: ir-9_smt.b name: item props: - name: label value: b. prose: Identifying the specific information involved in the system contamination; - id: ir-9_smt.c name: item props: - name: label value: c. prose: 'Alerting {{ insert: param, ir-09_odp.02 }} of the information spill using a method of communication not associated with the spill;' - id: ir-9_smt.d name: item props: - name: label value: d. prose: Isolating the contaminated system or system component; - id: ir-9_smt.e name: item props: - name: label value: e. prose: Eradicating the information from the contaminated system or component; - id: ir-9_smt.f name: item props: - name: label value: f. prose: Identifying other systems or system components that may have been subsequently contaminated; and - id: ir-9_smt.g name: item props: - name: label value: g. prose: 'Performing the following additional actions: {{ insert: param, ir-09_odp.03 }}.' - id: ir-9_gdn name: guidance prose: Information spillage refers to instances where information is placed on systems that are not authorized to process such information. Information spills occur when information that is thought to be a certain classification or impact level is transmitted to a system and subsequently is determined to be of a higher classification or impact level. At that point, corrective action is required. The nature of the response is based on the classification or impact level of the spilled information, the security capabilities of the system, the specific nature of the contaminated storage media, and the access authorizations of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated. - id: ir-9_obj name: assessment-objective props: - name: label value: IR-09 class: sp800-53a parts: - id: ir-9_obj.a name: assessment-objective props: - name: label value: IR-09a. class: sp800-53a prose: '{{ insert: param, ir-09_odp.01 }} is/are assigned the responsibility to respond to information spills;' links: - href: '#ir-9_smt.a' rel: assessment-for - id: ir-9_obj.b name: assessment-objective props: - name: label value: IR-09b. class: sp800-53a prose: the specific information involved in the system contamination is identified in response to information spills; links: - href: '#ir-9_smt.b' rel: assessment-for - id: ir-9_obj.c name: assessment-objective props: - name: label value: IR-09c. class: sp800-53a prose: '{{ insert: param, ir-09_odp.02 }} is/are alerted of the information spill using a method of communication not associated with the spill;' links: - href: '#ir-9_smt.c' rel: assessment-for - id: ir-9_obj.d name: assessment-objective props: - name: label value: IR-09d. class: sp800-53a prose: the contaminated system or system component is isolated in response to information spills; links: - href: '#ir-9_smt.d' rel: assessment-for - id: ir-9_obj.e name: assessment-objective props: - name: label value: IR-09e. class: sp800-53a prose: the information is eradicated from the contaminated system or component in response to information spills; links: - href: '#ir-9_smt.e' rel: assessment-for - id: ir-9_obj.f name: assessment-objective props: - name: label value: IR-09f. class: sp800-53a prose: other systems or system components that may have been subsequently contaminated are identified in response to information spills; links: - href: '#ir-9_smt.f' rel: assessment-for - id: ir-9_obj.g name: assessment-objective props: - name: label value: IR-09g. class: sp800-53a prose: '{{ insert: param, ir-09_odp.03 }} are performed in response to information spills.' links: - href: '#ir-9_smt.g' rel: assessment-for links: - href: '#ir-9_smt' rel: assessment-for - id: ir-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-09-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing information spillage incident response plan system security plan records of information spillage alerts/notifications list of personnel who should receive alerts of information spillage list of actions to be performed regarding information spillage other relevant documents or records - id: ir-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-09-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident response responsibilities organizational personnel with information security responsibilities - id: ir-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-09-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for information spillage response mechanisms supporting and/or implementing information spillage response actions and related communications controls: - id: ir-9.1 class: SP800-53-enhancement title: Responsible Personnel props: - name: label value: IR-09(01) class: zero-padded - name: label value: IR-9(1) - name: label value: IR-09(01) class: sp800-53a - name: sort-id value: ir-09.01 - name: status value: withdrawn links: - href: '#ir-9' rel: incorporated-into - id: ir-9.2 class: SP800-53-enhancement title: Training params: - id: ir-09.02_odp props: - name: alt-identifier value: ir-9.2_prm_1 - name: label value: IR-09(02)_ODP class: sp800-53a label: frequency guidelines: - prose: frequency at which to provide information spillage response training is defined; props: - name: label value: IR-09(02) class: zero-padded - name: label value: IR-9(2) - name: label value: IR-09(02) class: sp800-53a - name: sort-id value: ir-09.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-9' rel: required - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#cp-3' rel: related - href: '#ir-2' rel: related parts: - id: ir-9.2_smt name: statement prose: 'Provide information spillage response training {{ insert: param, ir-09.02_odp }}.' - id: ir-9.2_gdn name: guidance prose: Organizations establish requirements for responding to information spillage incidents in incident response plans. Incident response training on a regular basis helps to ensure that organizational personnel understand their individual responsibilities and what specific actions to take when spillage incidents occur. - id: ir-9.2_obj name: assessment-objective props: - name: label value: IR-09(02) class: sp800-53a prose: 'information spillage response training is provided {{ insert: param, ir-09.02_odp }}.' links: - href: '#ir-9.2_smt' rel: assessment-for - id: ir-9.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-09(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing information spillage response training information spillage response training curriculum information spillage response training materials incident response plan system security plan information spillage response training records other relevant documents or records - id: ir-9.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-09(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident response training responsibilities organizational personnel with information security responsibilities - id: ir-9.3 class: SP800-53-enhancement title: Post-spill Operations params: - id: ir-09.03_odp props: - name: alt-identifier value: ir-9.3_prm_1 - name: label value: IR-09(03)_ODP class: sp800-53a label: procedures guidelines: - prose: procedures to be implemented to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions are defined; props: - name: label value: IR-09(03) class: zero-padded - name: label value: IR-9(3) - name: label value: IR-09(03) class: sp800-53a - name: sort-id value: ir-09.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-9' rel: required parts: - id: ir-9.3_smt name: statement prose: 'Implement the following procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions: {{ insert: param, ir-09.03_odp }}.' - id: ir-9.3_gdn name: guidance prose: Corrective actions for systems contaminated due to information spillages may be time-consuming. Personnel may not have access to the contaminated systems while corrective actions are being taken, which may potentially affect their ability to conduct organizational business. - id: ir-9.3_obj name: assessment-objective props: - name: label value: IR-09(03) class: sp800-53a prose: '{{ insert: param, ir-09.03_odp }} are implemented to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.' links: - href: '#ir-9.3_smt' rel: assessment-for - id: ir-9.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-09(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident response procedures addressing information spillage incident response plan system security plan other relevant documents or records - id: ir-9.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-09(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident response responsibilities organizational personnel with information security responsibilities - id: ir-9.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-09(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for post-spill operations - id: ir-9.4 class: SP800-53-enhancement title: Exposure to Unauthorized Personnel params: - id: ir-09.04_odp props: - name: alt-identifier value: ir-9.4_prm_1 - name: label value: IR-09(04)_ODP class: sp800-53a label: controls guidelines: - prose: controls employed for personnel exposed to information not within assigned access authorizations are defined; props: - name: label value: IR-09(04) class: zero-padded - name: label value: IR-9(4) - name: label value: IR-09(04) class: sp800-53a - name: sort-id value: ir-09.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ir-9' rel: required parts: - id: ir-9.4_smt name: statement prose: 'Employ the following controls for personnel exposed to information not within assigned access authorizations: {{ insert: param, ir-09.04_odp }}.' - id: ir-9.4_gdn name: guidance prose: Controls include ensuring that personnel who are exposed to spilled information are made aware of the laws, executive orders, directives, regulations, policies, standards, and guidelines regarding the information and the restrictions imposed based on exposure to such information. - id: ir-9.4_obj name: assessment-objective props: - name: label value: IR-09(04) class: sp800-53a prose: '{{ insert: param, ir-09.04_odp }} are employed for personnel exposed to information not within assigned access authorizations.' links: - href: '#ir-9.4_smt' rel: assessment-for - id: ir-9.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: IR-09(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Incident response policy procedures addressing incident response procedures addressing information spillage incident response plan system security plan security safeguards regarding information spillage/exposure to unauthorized personnel other relevant documents or records - id: ir-9.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: IR-09(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with incident response responsibilities organizational personnel with information security responsibilities - id: ir-9.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: IR-09(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for dealing with information exposed to unauthorized personnel mechanisms supporting and/or implementing safeguards for personnel exposed to information not within assigned access authorizations - id: ir-10 class: SP800-53 title: Integrated Information Security Analysis Team props: - name: label value: IR-10 class: zero-padded - name: label value: IR-10 - name: label value: IR-10 class: sp800-53a - name: sort-id value: ir-10 - name: status value: withdrawn links: - href: '#ir-4.11' rel: moved-to - 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 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 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 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: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: label value: MA-01c.02 class: sp800-53a parts: - id: ma-1_obj.c.2-1 name: assessment-objective props: - name: label value: MA-01c.02[01] class: sp800-53a prose: 'the current maintenance procedures are reviewed and updated {{ insert: param, ma-01_odp.07 }};' links: - href: '#ma-1_smt.c.2' rel: assessment-for - id: ma-1_obj.c.2-2 name: assessment-objective props: - name: label value: MA-01c.02[02] class: sp800-53a prose: 'the current maintenance procedures are reviewed and updated following {{ insert: param, ma-01_odp.08 }}.' links: - href: '#ma-1_smt.c.2' rel: assessment-for links: - href: '#ma-1_smt.c.2' rel: assessment-for links: - href: '#ma-1_smt.c' rel: assessment-for links: - href: '#ma-1_smt' rel: assessment-for - id: ma-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-01-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy and procedures system security plan privacy plan organizational risk management strategy other relevant documents or records - id: ma-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-01-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with maintenance responsibilities organizational personnel with information security and privacy responsibilities - id: ma-2 class: SP800-53 title: Controlled Maintenance params: - id: ma-02_odp.01 props: - name: alt-identifier value: ma-2_prm_1 - name: label value: MA-02_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles required to explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance or repairs is/are defined; - id: ma-02_odp.02 props: - name: alt-identifier value: ma-2_prm_2 - name: label value: MA-02_ODP[02] class: sp800-53a label: information guidelines: - prose: information to be removed from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement is defined; - id: ma-02_odp.03 props: - name: alt-identifier value: ma-2_prm_3 - name: label value: MA-02_ODP[03] class: sp800-53a label: information guidelines: - prose: information to be included in organizational maintenance records is defined; props: - name: label value: MA-02 class: zero-padded - name: label value: MA-2 - name: label value: MA-02 class: sp800-53a - name: sort-id value: ma-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#4c501da5-9d79-4cb6-ba80-97260e1ce327' rel: reference - href: '#cm-2' rel: related - href: '#cm-3' rel: related - href: '#cm-4' rel: related - href: '#cm-5' rel: related - href: '#cm-8' rel: related - href: '#ma-4' rel: related - href: '#mp-6' rel: related - href: '#pe-16' rel: related - href: '#si-2' rel: related - href: '#sr-3' rel: related - href: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: label value: MA-02f. class: sp800-53a prose: '{{ insert: param, ma-02_odp.03 }} is included in organizational maintenance records.' links: - href: '#ma-2_smt.f' rel: assessment-for links: - href: '#ma-2_smt' rel: assessment-for - id: ma-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-02-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing controlled system maintenance maintenance records manufacturer/vendor maintenance specifications equipment sanitization records media sanitization records system security plan other relevant documents or records - id: ma-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-02-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities organizational personnel responsible for media sanitization system/network administrators - id: ma-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-02-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the system organizational processes for sanitizing system components mechanisms supporting and/or implementing controlled maintenance mechanisms implementing the sanitization of system components controls: - id: ma-2.1 class: SP800-53-enhancement title: Record Content props: - name: label value: MA-02(01) class: zero-padded - name: label value: MA-2(1) - name: label value: MA-02(01) class: sp800-53a - name: sort-id value: ma-02.01 - name: status value: withdrawn links: - href: '#ma-2' rel: incorporated-into - id: ma-2.2 class: SP800-53-enhancement title: Automated Maintenance Activities params: - id: ma-2.2_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ma-02.02_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ma-02.02_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ma-02.02_odp.03 label: organization-defined automated mechanisms - id: ma-02.02_odp.01 props: - name: label value: MA-02(02)_ODP[01] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to schedule maintenance, repair, and replacement actions for the system are defined; - id: ma-02.02_odp.02 props: - name: label value: MA-02(02)_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to conduct maintenance, repair, and replacement actions for the system are defined; - id: ma-02.02_odp.03 props: - name: label value: MA-02(02)_ODP[03] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to document maintenance, repair, and replacement actions for the system are defined; props: - name: label value: MA-02(02) class: zero-padded - name: label value: MA-2(2) - name: label value: MA-02(02) class: sp800-53a - name: sort-id value: ma-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-2' rel: required - href: '#ma-3' rel: related parts: - id: ma-2.2_smt name: statement parts: - id: ma-2.2_smt.a name: item props: - name: label value: (a) prose: 'Schedule, conduct, and document maintenance, repair, and replacement actions for the system using {{ insert: param, ma-2.2_prm_1 }} ; and' - id: ma-2.2_smt.b name: item props: - name: label value: (b) prose: Produce up-to date, accurate, and complete records of all maintenance, repair, and replacement actions requested, scheduled, in process, and completed. - id: ma-2.2_gdn name: guidance prose: The use of automated mechanisms to manage and control system maintenance programs and activities helps to ensure the generation of timely, accurate, complete, and consistent maintenance records. - id: ma-2.2_obj name: assessment-objective props: - name: label value: MA-02(02) class: sp800-53a parts: - id: ma-2.2_obj.a name: assessment-objective props: - name: label value: MA-02(02)(a) class: sp800-53a parts: - id: ma-2.2_obj.a-1 name: assessment-objective props: - name: label value: MA-02(02)(a)[01] class: sp800-53a prose: '{{ insert: param, ma-02.02_odp.01 }} are used to schedule maintenance, repair, and replacement actions for the system;' links: - href: '#ma-2.2_smt.a' rel: assessment-for - id: ma-2.2_obj.a-2 name: assessment-objective props: - name: label value: MA-02(02)(a)[02] class: sp800-53a prose: '{{ insert: param, ma-02.02_odp.02 }} are used to conduct maintenance, repair, and replacement actions for the system;' links: - href: '#ma-2.2_smt.a' rel: assessment-for - id: ma-2.2_obj.a-3 name: assessment-objective props: - name: label value: MA-02(02)(a)[03] class: sp800-53a prose: '{{ insert: param, ma-02.02_odp.03 }} are used to document maintenance, repair, and replacement actions for the system;' links: - href: '#ma-2.2_smt.a' rel: assessment-for links: - href: '#ma-2.2_smt.a' rel: assessment-for - id: ma-2.2_obj.b name: assessment-objective props: - name: label value: MA-02(02)(b) class: sp800-53a parts: - id: ma-2.2_obj.b-1 name: assessment-objective props: - name: label value: MA-02(02)(b)[01] class: sp800-53a prose: up-to date, accurate, and complete records of all maintenance actions requested, scheduled, in process, and completed are produced. links: - href: '#ma-2.2_smt.b' rel: assessment-for - id: ma-2.2_obj.b-2 name: assessment-objective props: - name: label value: MA-02(02)(b)[02] class: sp800-53a prose: up-to date, accurate, and complete records of all repair actions requested, scheduled, in process, and completed are produced. links: - href: '#ma-2.2_smt.b' rel: assessment-for - id: ma-2.2_obj.b-3 name: assessment-objective props: - name: label value: MA-02(02)(b)[03] class: sp800-53a prose: up-to date, accurate, and complete records of all replacement actions requested, scheduled, in process, and completed are produced. links: - href: '#ma-2.2_smt.b' rel: assessment-for links: - href: '#ma-2.2_smt.b' rel: assessment-for links: - href: '#ma-2.2_smt' rel: assessment-for - id: ma-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing controlled system maintenance automated mechanisms supporting system maintenance activities system configuration settings and associated documentation maintenance records system security plan other relevant documents or records - id: ma-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities system/network administrators - id: ma-2.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-02(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Automated mechanisms supporting and/or implementing controlled maintenance automated mechanisms supporting and/or implementing the production of records of maintenance and repair actions - id: ma-3 class: SP800-53 title: Maintenance Tools params: - id: ma-03_odp props: - name: alt-identifier value: ma-3_prm_1 - name: label value: MA-03_ODP class: sp800-53a label: frequency guidelines: - prose: frequency at which to review previously approved system maintenance tools is defined; props: - name: label value: MA-03 class: zero-padded - name: label value: MA-3 - name: label value: MA-03 class: sp800-53a - name: sort-id value: ma-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#a5b1d18d-e670-4586-9e6d-4a88b7ba3df6' rel: reference - href: '#ma-2' rel: related - href: '#pe-16' rel: related parts: - id: ma-3_smt name: statement parts: - id: ma-3_smt.a name: item props: - name: label value: a. prose: Approve, control, and monitor the use of system maintenance tools; and - id: ma-3_smt.b name: item props: - name: label value: b. prose: 'Review previously approved system maintenance tools {{ insert: param, ma-03_odp }}.' - id: ma-3_gdn name: guidance prose: Approving, controlling, monitoring, and reviewing maintenance tools address security-related issues associated with maintenance tools that are not within system authorization boundaries and are used specifically for diagnostic and repair actions on organizational systems. Organizations have flexibility in determining roles for the approval of maintenance tools and how that approval is documented. A periodic review of maintenance tools facilitates the withdrawal of approval for outdated, unsupported, irrelevant, or no-longer-used tools. Maintenance tools can include hardware, software, and firmware items and may be pre-installed, brought in with maintenance personnel on media, cloud-based, or downloaded from a website. Such tools can be vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into systems. Maintenance tools can include hardware and software diagnostic test equipment and packet sniffers. The hardware and software components that support maintenance and are a part of the system (including the software implementing utilities such as "ping," "ls," "ipconfig," or the hardware and software implementing the monitoring port of an Ethernet switch) are not addressed by maintenance tools. - id: ma-3_obj name: assessment-objective props: - name: label value: MA-03 class: sp800-53a parts: - id: ma-3_obj.a name: assessment-objective props: - name: label value: MA-03a. class: sp800-53a parts: - id: ma-3_obj.a-1 name: assessment-objective props: - name: label value: MA-03a.[01] class: sp800-53a prose: the use of system maintenance tools is approved; links: - href: '#ma-3_smt.a' rel: assessment-for - id: ma-3_obj.a-2 name: assessment-objective props: - name: label value: MA-03a.[02] class: sp800-53a prose: the use of system maintenance tools is controlled; links: - href: '#ma-3_smt.a' rel: assessment-for - id: ma-3_obj.a-3 name: assessment-objective props: - name: label value: MA-03a.[03] class: sp800-53a prose: the use of system maintenance tools is monitored; links: - href: '#ma-3_smt.a' rel: assessment-for links: - href: '#ma-3_smt.a' rel: assessment-for - id: ma-3_obj.b name: assessment-objective props: - name: label value: MA-03b. class: sp800-53a prose: 'previously approved system maintenance tools are reviewed {{ insert: param, ma-03_odp }}.' links: - href: '#ma-3_smt.b' rel: assessment-for links: - href: '#ma-3_smt' rel: assessment-for - id: ma-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-03-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing system maintenance tools system maintenance tools and associated documentation maintenance records system security plan other relevant documents or records - id: ma-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-03-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities - id: ma-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-03-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for approving, controlling, and monitoring maintenance tools mechanisms supporting and/or implementing the approval, control, and/or monitoring of maintenance tools controls: - id: ma-3.1 class: SP800-53-enhancement title: Inspect Tools props: - name: label value: MA-03(01) class: zero-padded - name: label value: MA-3(1) - name: label value: MA-03(01) class: sp800-53a - name: sort-id value: ma-03.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-3' rel: required - href: '#si-7' rel: related parts: - id: ma-3.1_smt name: statement prose: Inspect the maintenance tools used by maintenance personnel for improper or unauthorized modifications. - id: ma-3.1_gdn name: guidance prose: Maintenance tools can be directly brought into a facility by maintenance personnel or downloaded from a vendor’s website. If, upon inspection of the maintenance tools, organizations determine that the tools have been modified in an improper manner or the tools contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling. - id: ma-3.1_obj name: assessment-objective props: - name: label value: MA-03(01) class: sp800-53a prose: maintenance tools used by maintenance personnel are inspected for improper or unauthorized modifications. links: - href: '#ma-3.1_smt' rel: assessment-for - id: ma-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing system maintenance tools system maintenance tools and associated documentation maintenance tool inspection records maintenance records system security plan other relevant documents or records - id: ma-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities - id: ma-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-03(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for inspecting maintenance tools mechanisms supporting and/or implementing the inspection of maintenance tools - id: ma-3.2 class: SP800-53-enhancement title: Inspect Media props: - name: label value: MA-03(02) class: zero-padded - name: label value: MA-3(2) - name: label value: MA-03(02) class: sp800-53a - name: sort-id value: ma-03.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-3' rel: required - href: '#si-3' rel: related parts: - id: ma-3.2_smt name: statement prose: Check media containing diagnostic and test programs for malicious code before the media are used in the system. - id: ma-3.2_gdn name: guidance prose: If, upon inspection of media containing maintenance, diagnostic, and test programs, organizations determine that the media contains malicious code, the incident is handled consistent with organizational incident handling policies and procedures. - id: ma-3.2_obj name: assessment-objective props: - name: label value: MA-03(02) class: sp800-53a prose: media containing diagnostic and test programs are checked for malicious code before the media are used in the system. links: - href: '#ma-3.2_smt' rel: assessment-for - id: ma-3.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-03(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing system maintenance tools system maintenance tools and associated documentation maintenance records system security plan other relevant documents or records - id: ma-3.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-03(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities - id: ma-3.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-03(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational process for inspecting media for malicious code mechanisms supporting and/or implementing the inspection of media used for maintenance - id: ma-3.3 class: SP800-53-enhancement title: Prevent Unauthorized Removal params: - id: ma-03.03_odp props: - name: alt-identifier value: ma-3.3_prm_1 - name: label value: MA-03(03)_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles who can authorize removal of equipment from the facility is/are defined; props: - name: label value: MA-03(03) class: zero-padded - name: label value: MA-3(3) - name: label value: MA-03(03) class: sp800-53a - name: sort-id value: ma-03.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-3' rel: required - href: '#mp-6' rel: related parts: - id: ma-3.3_smt name: statement prose: 'Prevent the removal of maintenance equipment containing organizational information by:' parts: - id: ma-3.3_smt.a name: item props: - name: label value: (a) prose: Verifying that there is no organizational information contained on the equipment; - id: ma-3.3_smt.b name: item props: - name: label value: (b) prose: Sanitizing or destroying the equipment; - id: ma-3.3_smt.c name: item props: - name: label value: (c) prose: Retaining the equipment within the facility; or - id: ma-3.3_smt.d name: item props: - name: label value: (d) prose: 'Obtaining an exemption from {{ insert: param, ma-03.03_odp }} explicitly authorizing removal of the equipment from the facility.' - id: ma-3.3_gdn name: guidance prose: Organizational information includes all information owned by organizations and any information provided to organizations for which the organizations serve as information stewards. - id: ma-3.3_obj name: assessment-objective props: - name: label value: MA-03(03) class: sp800-53a parts: - id: ma-3.3_obj.a name: assessment-objective props: - name: label value: MA-03(03)(a) class: sp800-53a prose: the removal of maintenance equipment containing organizational information is prevented by verifying that there is no organizational information contained on the equipment; or links: - href: '#ma-3.3_smt.a' rel: assessment-for - id: ma-3.3_obj.b name: assessment-objective props: - name: label value: MA-03(03)(b) class: sp800-53a prose: the removal of maintenance equipment containing organizational information is prevented by sanitizing or destroying the equipment; or links: - href: '#ma-3.3_smt.b' rel: assessment-for - id: ma-3.3_obj.c name: assessment-objective props: - name: label value: MA-03(03)(c) class: sp800-53a prose: the removal of maintenance equipment containing organizational information is prevented by retaining the equipment within the facility; or links: - href: '#ma-3.3_smt.c' rel: assessment-for - id: ma-3.3_obj.d name: assessment-objective props: - name: label value: MA-03(03)(d) class: sp800-53a prose: 'the removal of maintenance equipment containing organizational information is prevented by obtaining an exemption from {{ insert: param, ma-03.03_odp }} explicitly authorizing removal of the equipment from the facility.' links: - href: '#ma-3.3_smt.d' rel: assessment-for links: - href: '#ma-3.3_smt' rel: assessment-for - id: ma-3.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-03(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing system maintenance tools system maintenance tools and associated documentation maintenance records equipment sanitization records media sanitization records exemptions for equipment removal system security plan other relevant documents or records - id: ma-3.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-03(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities organizational personnel responsible for media sanitization - id: ma-3.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-03(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational process for preventing unauthorized removal of information mechanisms supporting media sanitization or destruction of equipment mechanisms supporting verification of media sanitization - id: ma-3.4 class: SP800-53-enhancement title: Restricted Tool Use props: - name: label value: MA-03(04) class: zero-padded - name: label value: MA-3(4) - name: label value: MA-03(04) class: sp800-53a - name: sort-id value: ma-03.04 - 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: '#ma-3' rel: required - href: '#ac-3' rel: related - href: '#ac-5' rel: related - href: '#ac-6' rel: related parts: - id: ma-3.4_smt name: statement prose: Restrict the use of maintenance tools to authorized personnel only. - id: ma-3.4_gdn name: guidance prose: Restricting the use of maintenance tools to only authorized personnel applies to systems that are used to carry out maintenance functions. - id: ma-3.4_obj name: assessment-objective props: - name: label value: MA-03(04) class: sp800-53a prose: the use of maintenance tools is restricted to authorized personnel only. links: - href: '#ma-3.4_smt' rel: assessment-for - id: ma-3.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-03(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing system maintenance tools system maintenance tools and associated documentation list of personnel authorized to use maintenance tools maintenance tool usage records maintenance records system security plan other relevant documents or records - id: ma-3.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-03(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities - id: ma-3.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-03(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for restricting the use of maintenance tools mechanisms supporting and/or implementing the restricted use of maintenance tools - id: ma-3.5 class: SP800-53-enhancement title: Execution with Privilege props: - name: label value: MA-03(05) class: zero-padded - name: label value: MA-3(5) - name: label value: MA-03(05) class: sp800-53a - name: sort-id value: ma-03.05 - 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: '#ma-3' rel: required - href: '#ac-3' rel: related - href: '#ac-6' rel: related parts: - id: ma-3.5_smt name: statement prose: Monitor the use of maintenance tools that execute with increased privilege. - id: ma-3.5_gdn name: guidance prose: Maintenance tools that execute with increased system privilege can result in unauthorized access to organizational information and assets that would otherwise be inaccessible. - id: ma-3.5_obj name: assessment-objective props: - name: label value: MA-03(05) class: sp800-53a prose: the use of maintenance tools that execute with increased privilege is monitored. links: - href: '#ma-3.5_smt' rel: assessment-for - id: ma-3.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-03(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing system maintenance tools system maintenance tools and associated documentation list of personnel authorized to use maintenance tools maintenance tool usage records maintenance records system security plan other relevant documents or records - id: ma-3.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-03(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities - id: ma-3.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-03(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for restricting the use of maintenance tools organizational process for monitoring maintenance tools and maintenance tool usage mechanisms monitoring the use of maintenance tools - id: ma-3.6 class: SP800-53-enhancement title: Software Updates and Patches props: - name: label value: MA-03(06) class: zero-padded - name: label value: MA-3(6) - name: label value: MA-03(06) class: sp800-53a - name: sort-id value: ma-03.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ma-3' rel: required - href: '#ac-3' rel: related - href: '#ac-6' rel: related parts: - id: ma-3.6_smt name: statement prose: Inspect maintenance tools to ensure the latest software updates and patches are installed. - id: ma-3.6_gdn name: guidance prose: Maintenance tools using outdated and/or unpatched software can provide a threat vector for adversaries and result in a significant vulnerability for organizations. - id: ma-3.6_obj name: assessment-objective props: - name: label value: MA-03(06) class: sp800-53a prose: maintenance tools are inspected to ensure that the latest software updates and patches are installed. links: - href: '#ma-3.6_smt' rel: assessment-for - id: ma-3.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-03(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing system maintenance tools system maintenance tools and associated documentation list of personnel authorized to use maintenance tools maintenance tool usage records maintenance records system security plan other relevant documents or records - id: ma-3.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-03(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities - id: ma-3.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-03(06)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for inspecting maintenance tools organizational processes for maintenance tools updates mechanisms supporting and/or implementing the inspection of maintenance tools mechanisms supporting and/or implementing maintenance tool updates. - id: ma-4 class: SP800-53 title: Nonlocal Maintenance props: - name: label value: MA-04 class: zero-padded - name: label value: MA-4 - name: label value: MA-04 class: sp800-53a - name: sort-id value: ma-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#736d6310-e403-4b57-a79d-9967970c66d7' rel: reference - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#a5b1d18d-e670-4586-9e6d-4a88b7ba3df6' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-6' rel: related - href: '#ac-17' rel: related - href: '#au-2' rel: related - href: '#au-3' rel: related - href: '#ia-2' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: '#ia-8' rel: related - href: '#ma-2' rel: related - href: '#ma-5' rel: related - href: '#pl-2' rel: related - href: '#sc-7' rel: related - href: '#sc-10' rel: related parts: - id: ma-4_smt name: statement parts: - id: ma-4_smt.a name: item props: - name: label value: a. prose: Approve and monitor nonlocal maintenance and diagnostic activities; - id: ma-4_smt.b name: item props: - 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: 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: label value: d. prose: Maintain records for nonlocal maintenance and diagnostic activities; and - id: ma-4_smt.e name: item props: - 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: 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: 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: 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: 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: 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: label value: MA-04e. class: sp800-53a parts: - id: ma-4_obj.e-1 name: assessment-objective props: - name: label value: MA-04e.[01] class: sp800-53a prose: session connections are terminated when nonlocal maintenance is completed; links: - href: '#ma-4_smt.e' rel: assessment-for - id: ma-4_obj.e-2 name: assessment-objective props: - name: label value: MA-04e.[02] class: sp800-53a prose: network connections are terminated when nonlocal maintenance is completed. links: - href: '#ma-4_smt.e' rel: assessment-for links: - href: '#ma-4_smt.e' rel: assessment-for links: - href: '#ma-4_smt' rel: assessment-for - id: ma-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-04-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing nonlocal system maintenance remote access policy remote access procedures system design documentation system configuration settings and associated documentation maintenance records records of remote access diagnostic records system security plan other relevant documents or records - id: ma-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-04-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities system/network administrators - id: ma-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-04-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing nonlocal maintenance mechanisms implementing, supporting, and/or managing nonlocal maintenance mechanisms for strong authentication of nonlocal maintenance diagnostic sessions mechanisms for terminating nonlocal maintenance sessions and network connections controls: - id: ma-4.1 class: SP800-53-enhancement title: Logging and Review params: - id: ma-4.1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ma-04.01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ma-04.01_odp.02 label: organization-defined audit events - id: ma-04.01_odp.01 props: - name: label value: MA-04(01)_ODP[01] class: sp800-53a label: audit events guidelines: - prose: audit events to be logged for nonlocal maintenance are defined; - id: ma-04.01_odp.02 props: - name: label value: MA-04(01)_ODP[02] class: sp800-53a label: audit events guidelines: - prose: audit events to be logged for diagnostic sessions are defined; props: - name: label value: MA-04(01) class: zero-padded - name: label value: MA-4(1) - name: label value: MA-04(01) class: sp800-53a - name: sort-id value: ma-04.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-4' rel: required - href: '#au-6' rel: related - href: '#au-12' rel: related parts: - id: ma-4.1_smt name: statement parts: - id: ma-4.1_smt.a name: item props: - name: label value: (a) prose: 'Log {{ insert: param, ma-4.1_prm_1 }} for nonlocal maintenance and diagnostic sessions; and' - id: ma-4.1_smt.b name: item props: - name: label value: (b) prose: Review the audit records of the maintenance and diagnostic sessions to detect anomalous behavior. - id: ma-4.1_gdn name: guidance prose: Audit logging for nonlocal maintenance is enforced by [AU-2](#au-2) . Audit events are defined in [AU-2a](#au-2_smt.a). - id: ma-4.1_obj name: assessment-objective props: - name: label value: MA-04(01) class: sp800-53a parts: - id: ma-4.1_obj.a name: assessment-objective props: - name: label value: MA-04(01)(a) class: sp800-53a parts: - id: ma-4.1_obj.a-1 name: assessment-objective props: - name: label value: MA-04(01)(a)[01] class: sp800-53a prose: '{{ insert: param, ma-04.01_odp.01 }} are logged for nonlocal maintenance sessions;' links: - href: '#ma-4.1_smt.a' rel: assessment-for - id: ma-4.1_obj.a-2 name: assessment-objective props: - name: label value: MA-04(01)(a)[02] class: sp800-53a prose: '{{ insert: param, ma-04.01_odp.02 }} are logged for nonlocal diagnostic sessions;' links: - href: '#ma-4.1_smt.a' rel: assessment-for links: - href: '#ma-4.1_smt.a' rel: assessment-for - id: ma-4.1_obj.b name: assessment-objective props: - name: label value: MA-04(01)(b) class: sp800-53a parts: - id: ma-4.1_obj.b-1 name: assessment-objective props: - name: label value: MA-04(01)(b)[01] class: sp800-53a prose: the audit records of the maintenance sessions are reviewed to detect anomalous behavior; links: - href: '#ma-4.1_smt.b' rel: assessment-for - id: ma-4.1_obj.b-2 name: assessment-objective props: - name: label value: MA-04(01)(b)[02] class: sp800-53a prose: the audit records of the diagnostic sessions are reviewed to detect anomalous behavior. links: - href: '#ma-4.1_smt.b' rel: assessment-for links: - href: '#ma-4.1_smt.b' rel: assessment-for links: - href: '#ma-4.1_smt' rel: assessment-for - id: ma-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing nonlocal system maintenance list of audit events system configuration settings and associated documentation maintenance records diagnostic records audit records reviews of maintenance and diagnostic session records system security plan other relevant documents or records - id: ma-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities organizational personnel with audit and review responsibilities system/network administrators - id: ma-4.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-04(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for audit and review of nonlocal maintenance mechanisms supporting and/or implementing audit and review of nonlocal maintenance - id: ma-4.2 class: SP800-53-enhancement title: Document Nonlocal Maintenance props: - name: label value: MA-04(02) class: zero-padded - name: label value: MA-4(2) - name: label value: MA-04(02) class: sp800-53a - name: sort-id value: ma-04.02 - name: status value: withdrawn links: - href: '#ma-1' rel: incorporated-into - href: '#ma-4' rel: incorporated-into - id: ma-4.3 class: SP800-53-enhancement title: Comparable Security and Sanitization props: - name: label value: MA-04(03) class: zero-padded - name: label value: MA-4(3) - name: label value: MA-04(03) class: sp800-53a - name: sort-id value: ma-04.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-4' rel: required - href: '#mp-6' rel: related - href: '#si-3' rel: related - href: '#si-7' rel: related parts: - id: ma-4.3_smt name: statement parts: - id: ma-4.3_smt.a name: item props: - name: label value: (a) prose: Require that nonlocal maintenance and diagnostic services be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; or - id: ma-4.3_smt.b name: item props: - name: label value: (b) prose: Remove the component to be serviced from the system prior to nonlocal maintenance or diagnostic services; sanitize the component (for organizational information); and after the service is performed, inspect and sanitize the component (for potentially malicious software) before reconnecting the component to the system. - id: ma-4.3_gdn name: guidance prose: Comparable security capability on systems, diagnostic tools, and equipment providing maintenance services implies that the implemented controls on those systems, tools, and equipment are at least as comprehensive as the controls on the system being serviced. - id: ma-4.3_obj name: assessment-objective props: - name: label value: MA-04(03) class: sp800-53a parts: - id: ma-4.3_obj.a name: assessment-objective props: - name: label value: MA-04(03)(a) class: sp800-53a parts: - id: ma-4.3_obj.a-1 name: assessment-objective props: - name: label value: MA-04(03)(a)[01] class: sp800-53a prose: nonlocal maintenance services are required to be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; links: - href: '#ma-4.3_smt.a' rel: assessment-for - id: ma-4.3_obj.a-2 name: assessment-objective props: - name: label value: MA-04(03)(a)[02] class: sp800-53a prose: nonlocal diagnostic services are required to be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; or links: - href: '#ma-4.3_smt.a' rel: assessment-for links: - href: '#ma-4.3_smt.a' rel: assessment-for - id: ma-4.3_obj.b name: assessment-objective props: - name: label value: MA-04(03)(b) class: sp800-53a parts: - id: ma-4.3_obj.b-1 name: assessment-objective props: - name: label value: MA-04(03)(b)[01] class: sp800-53a prose: the component to be serviced is removed from the system prior to nonlocal maintenance or diagnostic services; links: - href: '#ma-4.3_smt.b' rel: assessment-for - id: ma-4.3_obj.b-2 name: assessment-objective props: - name: label value: MA-04(03)(b)[02] class: sp800-53a prose: the component to be serviced is sanitized (for organizational information); links: - href: '#ma-4.3_smt.b' rel: assessment-for - id: ma-4.3_obj.b-3 name: assessment-objective props: - name: label value: MA-04(03)(b)[03] class: sp800-53a prose: the component is inspected and sanitized (for potentially malicious software) after the service is performed and before reconnecting the component to the system. links: - href: '#ma-4.3_smt.b' rel: assessment-for links: - href: '#ma-4.3_smt.b' rel: assessment-for links: - href: '#ma-4.3_smt' rel: assessment-for - id: ma-4.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-04(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing nonlocal system maintenance service provider contracts and/or service-level agreements maintenance records inspection records audit records equipment sanitization records media sanitization records system security plan other relevant documents or records - id: ma-4.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-04(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities system maintenance provider organizational personnel with information security responsibilities organizational personnel responsible for media sanitization system/network administrators - id: ma-4.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-04(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for comparable security and sanitization for nonlocal maintenance organizational processes for the removal, sanitization, and inspection of components serviced via nonlocal maintenance mechanisms supporting and/or implementing component sanitization and inspection - id: ma-4.4 class: SP800-53-enhancement title: Authentication and Separation of Maintenance Sessions params: - id: ma-04.04_odp props: - name: alt-identifier value: ma-4.4_prm_1 - name: label value: MA-04(04)_ODP class: sp800-53a label: authenticators that are replay resistant guidelines: - prose: authenticators that are replay resistant are defined; props: - name: label value: MA-04(04) class: zero-padded - name: label value: MA-4(4) - name: label value: MA-04(04) class: sp800-53a - name: sort-id value: ma-04.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-4' rel: required parts: - id: ma-4.4_smt name: statement prose: 'Protect nonlocal maintenance sessions by:' parts: - id: ma-4.4_smt.a name: item props: - name: label value: (a) prose: 'Employing {{ insert: param, ma-04.04_odp }} ; and' - id: ma-4.4_smt.b name: item props: - name: label value: (b) prose: 'Separating the maintenance sessions from other network sessions with the system by either:' parts: - id: ma-4.4_smt.b.1 name: item props: - name: label value: (1) prose: Physically separated communications paths; or - id: ma-4.4_smt.b.2 name: item props: - name: label value: (2) prose: Logically separated communications paths. - id: ma-4.4_gdn name: guidance prose: Communications paths can be logically separated using encryption. - id: ma-4.4_obj name: assessment-objective props: - name: label value: MA-04(04) class: sp800-53a parts: - id: ma-4.4_obj.a name: assessment-objective props: - name: label value: MA-04(04)(a) class: sp800-53a prose: 'nonlocal maintenance sessions are protected by employing {{ insert: param, ma-04.04_odp }};' links: - href: '#ma-4.4_smt.a' rel: assessment-for - id: ma-4.4_obj.b name: assessment-objective props: - name: label value: MA-04(04)(b) class: sp800-53a parts: - id: ma-4.4_obj.b.1 name: assessment-objective props: - name: label value: MA-04(04)(b)(01) class: sp800-53a prose: nonlocal maintenance sessions are protected by separating maintenance sessions from other network sessions with the system by physically separated communication paths; or links: - href: '#ma-4.4_smt.b.1' rel: assessment-for - id: ma-4.4_obj.b.2 name: assessment-objective props: - name: label value: MA-04(04)(b)(02) class: sp800-53a prose: nonlocal maintenance sessions are protected by logically separated communication paths. links: - href: '#ma-4.4_smt.b.2' rel: assessment-for links: - href: '#ma-4.4_smt.b' rel: assessment-for links: - href: '#ma-4.4_smt' rel: assessment-for - id: ma-4.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-04(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing nonlocal system maintenance system design documentation system configuration settings and associated documentation maintenance records audit records system security plan other relevant documents or records - id: ma-4.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-04(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities network engineers organizational personnel with information security responsibilities system/network administrators - id: ma-4.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-04(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for protecting nonlocal maintenance sessions mechanisms implementing replay-resistant authenticators mechanisms implementing logically separated/encrypted communication paths - id: ma-4.5 class: SP800-53-enhancement title: Approvals and Notifications params: - id: ma-04.05_odp.01 props: - name: alt-identifier value: ma-4.5_prm_1 - name: label value: MA-04(05)_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles required to approve each nonlocal maintenance session is/are defined; - id: ma-04.05_odp.02 props: - name: alt-identifier value: ma-4.5_prm_2 - name: alt-label value: personnel or roles class: sp800-53 - name: label value: MA-04(05)_ODP[02] class: sp800-53a label: personnel and roles guidelines: - prose: personnel and roles to be notified of the date and time of planned nonlocal maintenance is/are defined; props: - name: label value: MA-04(05) class: zero-padded - name: label value: MA-4(5) - name: label value: MA-04(05) class: sp800-53a - name: sort-id value: ma-04.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-4' rel: required parts: - id: ma-4.5_smt name: statement parts: - id: ma-4.5_smt.a name: item props: - name: label value: (a) prose: 'Require the approval of each nonlocal maintenance session by {{ insert: param, ma-04.05_odp.01 }} ; and' - id: ma-4.5_smt.b name: item props: - name: label value: (b) prose: 'Notify the following personnel or roles of the date and time of planned nonlocal maintenance: {{ insert: param, ma-04.05_odp.02 }}.' - id: ma-4.5_gdn name: guidance prose: Notification may be performed by maintenance personnel. Approval of nonlocal maintenance is accomplished by personnel with sufficient information security and system knowledge to determine the appropriateness of the proposed maintenance. - id: ma-4.5_obj name: assessment-objective props: - name: label value: MA-04(05) class: sp800-53a parts: - id: ma-4.5_obj.a name: assessment-objective props: - name: label value: MA-04(05)(a) class: sp800-53a prose: 'the approval of each nonlocal maintenance session is required by {{ insert: param, ma-04.05_odp.01 }};' links: - href: '#ma-4.5_smt.a' rel: assessment-for - id: ma-4.5_obj.b name: assessment-objective props: - name: label value: MA-04(05)(b) class: sp800-53a prose: '{{ insert: param, ma-04.05_odp.02 }} is/are notified of the date and time of planned nonlocal maintenance.' links: - href: '#ma-4.5_smt.b' rel: assessment-for links: - href: '#ma-4.5_smt' rel: assessment-for - id: ma-4.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-04(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing nonlocal system maintenance notifications supporting nonlocal maintenance sessions maintenance records audit records system security plan other relevant documents or records - id: ma-4.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-04(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with notification responsibilities organizational personnel with approval responsibilities organizational personnel with information security responsibilities - id: ma-4.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-04(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for approving and notifying personnel regarding nonlocal maintenance mechanisms supporting the notification and approval of nonlocal maintenance - id: ma-4.6 class: SP800-53-enhancement title: Cryptographic Protection params: - id: ma-04.06_odp props: - name: alt-identifier value: ma-4.6_prm_1 - name: label value: MA-04(06)_ODP class: sp800-53a label: cryptographic mechanisms guidelines: - prose: cryptographic mechanisms to be implemented to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications are defined; props: - name: label value: MA-04(06) class: zero-padded - name: label value: MA-4(6) - name: label value: MA-04(06) class: sp800-53a - name: sort-id value: ma-04.06 - 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: '#ma-4' rel: required - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: ma-4.6_smt name: statement prose: 'Implement the following cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications: {{ insert: param, ma-04.06_odp }}.' - id: ma-4.6_gdn name: guidance prose: Failure to protect nonlocal maintenance and diagnostic communications can result in unauthorized individuals gaining access to organizational information. Unauthorized access during remote maintenance sessions can result in a variety of hostile actions, including malicious code insertion, unauthorized changes to system parameters, and exfiltration of organizational information. Such actions can result in the loss or degradation of mission or business capabilities. - id: ma-4.6_obj name: assessment-objective props: - name: label value: MA-04(06) class: sp800-53a parts: - id: ma-4.6_obj-1 name: assessment-objective props: - name: label value: MA-04(06)[01] class: sp800-53a prose: '{{ insert: param, ma-04.06_odp }} are implemented to protect the integrity of nonlocal maintenance and diagnostic communications;' links: - href: '#ma-4.6_smt' rel: assessment-for - id: ma-4.6_obj-2 name: assessment-objective props: - name: label value: MA-04(06)[02] class: sp800-53a prose: '{{ insert: param, ma-04.06_odp }} are implemented to protect the confidentiality of nonlocal maintenance and diagnostic communications.' links: - href: '#ma-4.6_smt' rel: assessment-for links: - href: '#ma-4.6_smt' rel: assessment-for - id: ma-4.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-04(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing nonlocal system maintenance system design documentation system configuration settings and associated documentation cryptographic mechanisms protecting nonlocal maintenance activities maintenance records diagnostic records audit records system security plan other relevant documents or records - id: ma-4.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-04(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities network engineers organizational personnel with information security responsibilities system/network administrators - id: ma-4.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-04(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Cryptographic mechanisms protecting nonlocal maintenance and diagnostic communications - id: ma-4.7 class: SP800-53-enhancement title: Disconnect Verification props: - name: label value: MA-04(07) class: zero-padded - name: label value: MA-4(7) - name: label value: MA-04(07) class: sp800-53a - name: sort-id value: ma-04.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ma-4' rel: required - href: '#ac-12' rel: related parts: - id: ma-4.7_smt name: statement prose: Verify session and network connection termination after the completion of nonlocal maintenance and diagnostic sessions. - id: ma-4.7_gdn name: guidance prose: Verifying the termination of a connection once maintenance is completed ensures that connections established during nonlocal maintenance and diagnostic sessions have been terminated and are no longer available for use. - id: ma-4.7_obj name: assessment-objective props: - name: label value: MA-04(07) class: sp800-53a parts: - id: ma-4.7_obj-1 name: assessment-objective props: - name: label value: MA-04(07)[01] class: sp800-53a prose: session connection termination is verified after the completion of nonlocal maintenance and diagnostic sessions; links: - href: '#ma-4.7_smt' rel: assessment-for - id: ma-4.7_obj-2 name: assessment-objective props: - name: label value: MA-04(07)[02] class: sp800-53a prose: network connection termination is verified after the completion of nonlocal maintenance and diagnostic sessions. links: - href: '#ma-4.7_smt' rel: assessment-for links: - href: '#ma-4.7_smt' rel: assessment-for - id: ma-4.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-04(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing nonlocal system maintenance system design documentation system configuration settings and associated documentation session/network termination logs cryptographic mechanisms protecting nonlocal maintenance activities maintenance records diagnostic records audit records system security plan other relevant documents or records - id: ma-4.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-04(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities network engineers organizational personnel with information security responsibilities system/network administrators - id: ma-4.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-04(07)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing remote disconnect verifications of terminated nonlocal maintenance and diagnostic sessions - id: ma-5 class: SP800-53 title: Maintenance Personnel props: - name: label value: MA-05 class: zero-padded - name: label value: MA-5 - name: label value: MA-05 class: sp800-53a - name: sort-id value: ma-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-5' rel: related - href: '#ac-6' rel: related - href: '#ia-2' rel: related - href: '#ia-8' rel: related - href: '#ma-4' rel: related - href: '#mp-2' rel: related - href: '#pe-2' rel: related - href: '#pe-3' rel: related - href: '#ps-7' rel: related - href: '#ra-3' rel: related parts: - id: ma-5_smt name: statement parts: - id: ma-5_smt.a name: item props: - name: 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: 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: 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: 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: 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: label value: MA-05c. class: sp800-53a prose: organizational personnel with required access authorizations and technical competence is/are designated to supervise the maintenance activities of personnel who do not possess the required access authorizations. links: - href: '#ma-5_smt.c' rel: assessment-for links: - href: '#ma-5_smt' rel: assessment-for - id: ma-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-05-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing maintenance personnel service provider contracts service-level agreements list of authorized personnel maintenance records access control records system security plan other relevant documents or records - id: ma-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-05-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities - id: ma-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-05-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for authorizing and managing maintenance personnel mechanisms supporting and/or implementing authorization of maintenance personnel controls: - id: ma-5.1 class: SP800-53-enhancement title: Individuals Without Appropriate Access params: - id: ma-05.01_odp props: - name: alt-identifier value: ma-5.1_prm_1 - name: label value: MA-05(01)_ODP class: sp800-53a label: alternate controls guidelines: - prose: alternate controls to be developed and implemented in the event that a system component cannot be sanitized, removed, or disconnected from the system are defined; props: - name: label value: MA-05(01) class: zero-padded - name: label value: MA-5(1) - name: label value: MA-05(01) class: sp800-53a - name: sort-id value: ma-05.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-5' rel: required - href: '#mp-6' rel: related - href: '#pl-2' rel: related parts: - id: ma-5.1_smt name: statement parts: - id: ma-5.1_smt.a name: item props: - name: label value: (a) prose: 'Implement procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:' parts: - id: ma-5.1_smt.a.1 name: item props: - name: label value: (1) prose: Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified; and - id: ma-5.1_smt.a.2 name: item props: - name: label value: (2) prose: Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and - id: ma-5.1_smt.b name: item props: - name: label value: (b) prose: 'Develop and implement {{ insert: param, ma-05.01_odp }} in the event a system component cannot be sanitized, removed, or disconnected from the system.' - id: ma-5.1_gdn name: guidance prose: Procedures for individuals who lack appropriate security clearances or who are not U.S. citizens are intended to deny visual and electronic access to classified or controlled unclassified information contained on organizational systems. Procedures for the use of maintenance personnel can be documented in security plans for the systems. - id: ma-5.1_obj name: assessment-objective props: - name: label value: MA-05(01) class: sp800-53a parts: - id: ma-5.1_obj.a name: assessment-objective props: - name: label value: MA-05(01)(a) class: sp800-53a parts: - id: ma-5.1_obj.a.1 name: assessment-objective props: - name: label value: MA-05(01)(a)(01) class: sp800-53a prose: procedures for the use of maintenance personnel who lack appropriate security clearances or are not U.S. citizens are implemented and include approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified escorting and supervising maintenance personnel without the needed access authorization during the performance of maintenance and diagnostic activities; links: - href: '#ma-5.1_smt.a.1' rel: assessment-for - id: ma-5.1_obj.a.2 name: assessment-objective props: - name: label value: MA-05(01)(a)(02) class: sp800-53a prose: procedures for the use of maintenance personnel who lack appropriate security clearances or are not U.S. citizens are implemented and include all volatile information storage components within the system being sanitized and all non-volatile storage media being removed or physically disconnected from the system and secured prior to initiating maintenance or diagnostic activities; links: - href: '#ma-5.1_smt.a.2' rel: assessment-for links: - href: '#ma-5.1_smt.a' rel: assessment-for - id: ma-5.1_obj.b name: assessment-objective props: - name: label value: MA-05(01)(b) class: sp800-53a prose: '{{ insert: param, ma-05.01_odp }} are developed and implemented in the event that a system cannot be sanitized, removed, or disconnected from the system.' links: - href: '#ma-5.1_smt.b' rel: assessment-for links: - href: '#ma-5.1_smt' rel: assessment-for - id: ma-5.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-05(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing maintenance personnel system media protection policy physical and environmental protection policy list of maintenance personnel requiring escort/supervision maintenance records access control records system security plan other relevant documents or records - id: ma-5.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-05(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with personnel security responsibilities organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities organizational personnel responsible for media sanitization system/network administrators - id: ma-5.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-05(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing maintenance personnel without appropriate access mechanisms supporting and/or implementing alternative security safeguards mechanisms supporting and/or implementing information storage component sanitization - id: ma-5.2 class: SP800-53-enhancement title: Security Clearances for Classified Systems props: - name: label value: MA-05(02) class: zero-padded - name: label value: MA-5(2) - name: label value: MA-05(02) class: sp800-53a - name: sort-id value: ma-05.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-5' rel: required - href: '#ps-3' rel: related parts: - id: ma-5.2_smt name: statement prose: Verify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for compartments of information on the system. - id: ma-5.2_gdn name: guidance prose: Personnel who conduct maintenance on organizational systems may be exposed to classified information during the course of their maintenance activities. To mitigate the inherent risk of such exposure, organizations use maintenance personnel that are cleared (i.e., possess security clearances) to the classification level of the information stored on the system. - id: ma-5.2_obj name: assessment-objective props: - name: label value: MA-05(02) class: sp800-53a parts: - id: ma-5.2_obj-1 name: assessment-objective props: - name: label value: MA-05(02)[01] class: sp800-53a prose: personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information possess security clearances for at least the highest classification level and for compartments of information on the system; links: - href: '#ma-5.2_smt' rel: assessment-for - id: ma-5.2_obj-2 name: assessment-objective props: - name: label value: MA-05(02)[02] class: sp800-53a prose: personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information possess formal access approvals for at least the highest classification level and for compartments of information on the system. links: - href: '#ma-5.2_smt' rel: assessment-for links: - href: '#ma-5.2_smt' rel: assessment-for - id: ma-5.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-05(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing maintenance personnel personnel records maintenance records access control records access credentials access authorizations system security plan other relevant documents or records - id: ma-5.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-05(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with personnel security responsibilities organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities - id: ma-5.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-05(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for managing security clearances for maintenance personnel - id: ma-5.3 class: SP800-53-enhancement title: Citizenship Requirements for Classified Systems props: - name: label value: MA-05(03) class: zero-padded - name: label value: MA-5(3) - name: label value: MA-05(03) class: sp800-53a - name: sort-id value: ma-05.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-5' rel: required - href: '#ps-3' rel: related parts: - id: ma-5.3_smt name: statement prose: Verify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information are U.S. citizens. - id: ma-5.3_gdn name: guidance prose: Personnel who conduct maintenance on organizational systems may be exposed to classified information during the course of their maintenance activities. If access to classified information on organizational systems is restricted to U.S. citizens, the same restriction is applied to personnel performing maintenance on those systems. - id: ma-5.3_obj name: assessment-objective props: - name: label value: MA-05(03) class: sp800-53a prose: personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information are U.S. citizens. links: - href: '#ma-5.3_smt' rel: assessment-for - id: ma-5.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-05(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing maintenance personnel personnel records maintenance records access control records access credentials access authorizations system security plan other relevant documents or records - id: ma-5.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-05(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with personnel security responsibilities organizational personnel with information security responsibilities - id: ma-5.4 class: SP800-53-enhancement title: Foreign Nationals props: - name: label value: MA-05(04) class: zero-padded - name: label value: MA-5(4) - name: label value: MA-05(04) class: sp800-53a - name: sort-id value: ma-05.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-5' rel: required - href: '#ps-3' rel: related parts: - id: ma-5.4_smt name: statement prose: 'Ensure that:' parts: - id: ma-5.4_smt.a name: item props: - name: label value: (a) prose: Foreign nationals with appropriate security clearances are used to conduct maintenance and diagnostic activities on classified systems only when the systems are jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and - id: ma-5.4_smt.b name: item props: - name: label value: (b) prose: Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within Memoranda of Agreements. - id: ma-5.4_gdn name: guidance prose: Personnel who conduct maintenance and diagnostic activities on organizational systems may be exposed to classified information. If non-U.S. citizens are permitted to perform maintenance and diagnostics activities on classified systems, then additional vetting is required to ensure agreements and restrictions are not being violated. - id: ma-5.4_obj name: assessment-objective props: - name: label value: MA-05(04) class: sp800-53a parts: - id: ma-5.4_obj.a name: assessment-objective props: - name: label value: MA-05(04)(a) class: sp800-53a prose: foreign nationals with appropriate security clearances are used to conduct maintenance and diagnostic activities on classified systems only when the systems are jointly owned and operated by the United States and foreign allied governments or owned and operated solely by foreign allied governments; links: - href: '#ma-5.4_smt.a' rel: assessment-for - id: ma-5.4_obj.b name: assessment-objective props: - name: label value: MA-05(04)(b) class: sp800-53a parts: - id: ma-5.4_obj.b-1 name: assessment-objective props: - name: label value: MA-05(04)(b)[01] class: sp800-53a prose: approvals regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within Memoranda of Agreements; links: - href: '#ma-5.4_smt.b' rel: assessment-for - id: ma-5.4_obj.b-2 name: assessment-objective props: - name: label value: MA-05(04)(b)[02] class: sp800-53a prose: consents regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within Memoranda of Agreements; links: - href: '#ma-5.4_smt.b' rel: assessment-for - id: ma-5.4_obj.b-3 name: assessment-objective props: - name: label value: MA-05(04)(b)[03] class: sp800-53a prose: detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within Memoranda of Agreements. links: - href: '#ma-5.4_smt.b' rel: assessment-for links: - href: '#ma-5.4_smt.b' rel: assessment-for links: - href: '#ma-5.4_smt' rel: assessment-for - id: ma-5.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-05(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing maintenance personnel system media protection policy access control policy and procedures physical and environmental protection policy and procedures memorandum of agreement maintenance records access control records access credentials access authorizations system security plan other relevant documents or records - id: ma-5.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-05(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities, organizational personnel with personnel security responsibilities organizational personnel managing memoranda of agreements organizational personnel with information security responsibilities - id: ma-5.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-05(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for managing foreign national maintenance personnel - id: ma-5.5 class: SP800-53-enhancement title: Non-system Maintenance props: - name: label value: MA-05(05) class: zero-padded - name: label value: MA-5(5) - name: label value: MA-05(05) class: sp800-53a - name: sort-id value: ma-05.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-5' rel: required parts: - id: ma-5.5_smt name: statement prose: Ensure that non-escorted personnel performing maintenance activities not directly associated with the system but in the physical proximity of the system, have required access authorizations. - id: ma-5.5_gdn name: guidance prose: Personnel who perform maintenance activities in other capacities not directly related to the system include physical plant personnel and custodial personnel. - id: ma-5.5_obj name: assessment-objective props: - name: label value: MA-05(05) class: sp800-53a prose: non-escorted personnel performing maintenance activities not directly associated with the system but in the physical proximity of the system have required access authorizations. links: - href: '#ma-5.5_smt' rel: assessment-for - id: ma-5.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-05(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing maintenance personnel system media protection policy access control policy and procedures physical and environmental protection policy and procedures maintenance records access control records access authorizations system security plan other relevant documents or records - id: ma-5.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-05(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with personnel security responsibilities organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities - id: ma-6 class: SP800-53 title: Timely Maintenance params: - id: ma-06_odp.01 props: - name: alt-identifier value: ma-6_prm_1 - name: label value: MA-06_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components for which maintenance support and/or spare parts are obtained are defined; - id: ma-06_odp.02 props: - name: alt-identifier value: ma-6_prm_2 - name: label value: MA-06_ODP[02] class: sp800-53a label: time period guidelines: - prose: time period within which maintenance support and/or spare parts are to be obtained after a failure are defined; props: - name: label value: MA-06 class: zero-padded - name: label value: MA-6 - name: label value: MA-06 class: sp800-53a - name: sort-id value: ma-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-8' rel: related - href: '#cp-2' rel: related - href: '#cp-7' rel: related - href: '#ra-7' rel: related - href: '#sa-15' rel: related - href: '#si-13' rel: related - href: '#sr-2' rel: related - href: '#sr-3' rel: related - href: '#sr-4' rel: related parts: - id: ma-6_smt name: statement prose: 'Obtain maintenance support and/or spare parts for {{ insert: param, ma-06_odp.01 }} within {{ insert: param, ma-06_odp.02 }} of failure.' - id: ma-6_gdn name: guidance prose: Organizations specify the system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support include having appropriate contracts in place. - id: ma-6_obj name: assessment-objective props: - name: label value: MA-06 class: sp800-53a prose: 'maintenance support and/or spare parts are obtained for {{ insert: param, ma-06_odp.01 }} within {{ insert: param, ma-06_odp.02 }} of failure.' links: - href: '#ma-6_smt' rel: assessment-for - id: ma-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-06-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing system maintenance service provider contracts service-level agreements inventory and availability of spare parts system security plan other relevant documents or records - id: ma-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-06-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with acquisition responsibilities organizational personnel with information security responsibilities system/network administrators - id: ma-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-06-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for ensuring timely maintenance controls: - id: ma-6.1 class: SP800-53-enhancement title: Preventive Maintenance params: - id: ma-06.01_odp.01 props: - name: alt-identifier value: ma-6.1_prm_1 - name: label value: MA-06(01)_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components on which preventive maintenance is to be performed are defined; - id: ma-06.01_odp.02 props: - name: alt-identifier value: ma-6.1_prm_2 - name: label value: MA-06(01)_ODP[02] class: sp800-53a label: time intervals guidelines: - prose: time intervals within which preventive maintenance is to be performed on system components are defined; props: - name: label value: MA-06(01) class: zero-padded - name: label value: MA-6(1) - name: label value: MA-06(01) class: sp800-53a - name: sort-id value: ma-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-6' rel: required parts: - id: ma-6.1_smt name: statement prose: 'Perform preventive maintenance on {{ insert: param, ma-06.01_odp.01 }} at {{ insert: param, ma-06.01_odp.02 }}.' - id: ma-6.1_gdn name: guidance prose: Preventive maintenance includes proactive care and the servicing of system components to maintain organizational equipment and facilities in satisfactory operating condition. Such maintenance provides for the systematic inspection, tests, measurements, adjustments, parts replacement, detection, and correction of incipient failures either before they occur or before they develop into major defects. The primary goal of preventive maintenance is to avoid or mitigate the consequences of equipment failures. Preventive maintenance is designed to preserve and restore equipment reliability by replacing worn components before they fail. Methods of determining what preventive (or other) failure management policies to apply include original equipment manufacturer recommendations; statistical failure records; expert opinion; maintenance that has already been conducted on similar equipment; requirements of codes, laws, or regulations within a jurisdiction; or measured values and performance indications. - id: ma-6.1_obj name: assessment-objective props: - name: label value: MA-06(01) class: sp800-53a prose: 'preventive maintenance is performed on {{ insert: param, ma-06.01_odp.01 }} at {{ insert: param, ma-06.01_odp.02 }}.' links: - href: '#ma-6.1_smt' rel: assessment-for - id: ma-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-06(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing system maintenance service provider contracts service-level agreements maintenance records list of system components requiring preventive maintenance system security plan other relevant documents or records - id: ma-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-06(01)-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-6.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-06(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for preventive maintenance mechanisms supporting and/or implementing preventive maintenance - id: ma-6.2 class: SP800-53-enhancement title: Predictive Maintenance params: - id: ma-06.02_odp.01 props: - name: alt-identifier value: ma-6.2_prm_1 - name: label value: MA-06(02)_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components on which predictive maintenance is to be performed are defined; - id: ma-06.02_odp.02 props: - name: alt-identifier value: ma-6.2_prm_2 - name: label value: MA-06(02)_ODP[02] class: sp800-53a label: time intervals guidelines: - prose: time intervals within which predictive maintenance is to be performed are defined; props: - name: label value: MA-06(02) class: zero-padded - name: label value: MA-6(2) - name: label value: MA-06(02) class: sp800-53a - name: sort-id value: ma-06.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-6' rel: required parts: - id: ma-6.2_smt name: statement prose: 'Perform predictive maintenance on {{ insert: param, ma-06.02_odp.01 }} at {{ insert: param, ma-06.02_odp.02 }}.' - id: ma-6.2_gdn name: guidance prose: Predictive maintenance evaluates the condition of equipment by performing periodic or continuous (online) equipment condition monitoring. The goal of predictive maintenance is to perform maintenance at a scheduled time when the maintenance activity is most cost-effective and before the equipment loses performance within a threshold. The predictive component of predictive maintenance stems from the objective of predicting the future trend of the equipment's condition. The predictive maintenance approach employs principles of statistical process control to determine at what point in the future maintenance activities will be appropriate. Most predictive maintenance inspections are performed while equipment is in service, thus minimizing disruption of normal system operations. Predictive maintenance can result in substantial cost savings and higher system reliability. - id: ma-6.2_obj name: assessment-objective props: - name: label value: MA-06(02) class: sp800-53a prose: 'predictive maintenance is performed on {{ insert: param, ma-06.02_odp.01 }} at {{ insert: param, ma-06.02_odp.02 }}.' links: - href: '#ma-6.2_smt' rel: assessment-for - id: ma-6.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-06(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing system maintenance service provider contracts service-level agreements maintenance records list of system components requiring predictive maintenance system security plan other relevant documents or records - id: ma-6.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-06(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system maintenance responsibilities organizational personnel with information security responsibilities system/network administrators - id: ma-6.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-06(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for predictive maintenance mechanisms supporting and/or implementing predictive maintenance - id: ma-6.3 class: SP800-53-enhancement title: Automated Support for Predictive Maintenance params: - id: ma-06.03_odp props: - name: alt-identifier value: ma-6.3_prm_1 - name: label value: MA-06(03)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to transfer predictive maintenance data to a maintenance management system are defined; props: - name: label value: MA-06(03) class: zero-padded - name: label value: MA-6(3) - name: label value: MA-06(03) class: sp800-53a - name: sort-id value: ma-06.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-6' rel: required parts: - id: ma-6.3_smt name: statement prose: 'Transfer predictive maintenance data to a maintenance management system using {{ insert: param, ma-06.03_odp }}.' - id: ma-6.3_gdn name: guidance prose: A computerized maintenance management system maintains a database of information about the maintenance operations of organizations and automates the processing of equipment condition data to trigger maintenance planning, execution, and reporting. - id: ma-6.3_obj name: assessment-objective props: - name: label value: MA-06(03) class: sp800-53a prose: 'predictive maintenance data is transferred to a maintenance management system using {{ insert: param, ma-06.03_odp }}.' links: - href: '#ma-6.3_smt' rel: assessment-for - id: ma-6.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-06(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing system maintenance service provider contracts service-level agreements maintenance records list of system components requiring predictive maintenance system security plan other relevant documents or records - id: ma-6.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-06(03)-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-6.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-06(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Automated mechanisms implementing the transfer of predictive maintenance data to a computerized maintenance management system operations of the computer maintenance management system - id: ma-7 class: SP800-53 title: Field Maintenance params: - id: ma-07_odp.01 props: - name: alt-identifier value: ma-7_prm_1 - name: label value: MA-07_ODP[01] class: sp800-53a label: systems or system components guidelines: - prose: systems or system components on which field maintenance is restricted or prohibited to trusted maintenance facilities are defined; - id: ma-07_odp.02 props: - name: alt-identifier value: ma-7_prm_2 - name: label value: MA-07_ODP[02] class: sp800-53a label: trusted maintenance facilities guidelines: - prose: trusted maintenance facilities that are not restricted or prohibited from conducting field maintenance are defined; props: - name: label value: MA-07 class: zero-padded - name: label value: MA-7 - name: label value: MA-07 class: sp800-53a - name: sort-id value: ma-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ma-2' rel: related - href: '#ma-4' rel: related - href: '#ma-5' rel: related parts: - id: ma-7_smt name: statement prose: 'Restrict or prohibit field maintenance on {{ insert: param, ma-07_odp.01 }} to {{ insert: param, ma-07_odp.02 }}.' - id: ma-7_gdn name: guidance prose: Field maintenance is the type of maintenance conducted on a system or system component after the system or component has been deployed to a specific site (i.e., operational environment). In certain instances, field maintenance (i.e., local maintenance at the site) may not be executed with the same degree of rigor or with the same quality control checks as depot maintenance. For critical systems designated as such by the organization, it may be necessary to restrict or prohibit field maintenance at the local site and require that such maintenance be conducted in trusted facilities with additional controls. - id: ma-7_obj name: assessment-objective props: - name: label value: MA-07 class: sp800-53a prose: 'field maintenance on {{ insert: param, ma-07_odp.01 }} are restricted or prohibited to {{ insert: param, ma-07_odp.02 }}.' links: - href: '#ma-7_smt' rel: assessment-for - id: ma-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MA-07-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Maintenance policy procedures addressing field maintenance system design documentation system configuration settings and associated documentation maintenance records diagnostic records system security plan other relevant documents or records. - id: ma-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MA-07-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-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MA-07-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing field maintenance mechanisms implementing, supporting, and/or managing field maintenance mechanisms for strong authentication of field maintenance diagnostic sessions mechanisms for terminating field maintenance sessions and network connections - 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 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 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 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: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: '#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: '#sc-34' rel: related - href: '#si-12' rel: related parts: - id: mp-2_smt name: statement 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: 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: 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 controls: - id: mp-2.1 class: SP800-53-enhancement title: Automated Restricted Access props: - name: label value: MP-02(01) class: zero-padded - name: label value: MP-2(1) - name: label value: MP-02(01) class: sp800-53a - name: sort-id value: mp-02.01 - name: status value: withdrawn links: - href: '#mp-4.2' rel: incorporated-into - id: mp-2.2 class: SP800-53-enhancement title: Cryptographic Protection props: - name: label value: MP-02(02) class: zero-padded - name: label value: MP-2(2) - name: label value: MP-02(02) class: sp800-53a - name: sort-id value: mp-02.02 - name: status value: withdrawn links: - href: '#sc-28.1' rel: incorporated-into - id: mp-3 class: SP800-53 title: Media Marking params: - id: mp-03_odp.01 props: - name: alt-identifier value: mp-3_prm_1 - name: alt-label value: types of system media class: sp800-53 - name: label value: MP-03_ODP[01] class: sp800-53a label: types of media exempted from marking guidelines: - prose: types of system media exempt from marking when remaining in controlled areas are defined; - id: mp-03_odp.02 props: - name: alt-identifier value: mp-3_prm_2 - name: label value: MP-03_ODP[02] class: sp800-53a label: controlled areas guidelines: - prose: controlled areas where media is exempt from marking are defined; props: - name: label value: MP-03 class: zero-padded - name: label value: MP-3 - name: label value: MP-03 class: sp800-53a - name: sort-id value: mp-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#34a5571f-e252-4309-a8a1-2fdb2faefbcd' rel: reference - href: '#91f992fb-f668-4c91-a50f-0f05b95ccee3' rel: reference - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#ac-16' rel: related - href: '#cp-9' rel: related - href: '#mp-5' rel: related - href: '#pe-22' rel: related - href: '#si-12' rel: related parts: - id: mp-3_smt name: statement parts: - id: mp-3_smt.a name: item props: - name: label value: a. prose: Mark system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and - id: mp-3_smt.b name: item props: - name: label value: b. prose: 'Exempt {{ insert: param, mp-03_odp.01 }} from marking if the media remain within {{ insert: param, mp-03_odp.02 }}.' - id: mp-3_gdn name: guidance prose: Security marking refers to the application or use of human-readable security attributes. Digital media includes diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), flash drives, compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Controlled unclassified information is defined by the National Archives and Records Administration along with the appropriate safeguarding and dissemination requirements for such information and is codified in [32 CFR 2002](#91f992fb-f668-4c91-a50f-0f05b95ccee3) . Security markings are generally not required for media that contains information determined by organizations to be in the public domain or to be publicly releasable. Some organizations may require markings for public information indicating that the information is publicly releasable. System media marking reflects applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. - id: mp-3_obj name: assessment-objective props: - name: label value: MP-03 class: sp800-53a parts: - id: mp-3_obj.a name: assessment-objective props: - name: label value: MP-03a. class: sp800-53a prose: system media is marked to indicate distribution limitations, handling caveats, and applicable security markings (if any) of the information; links: - href: '#mp-3_smt.a' rel: assessment-for - id: mp-3_obj.b name: assessment-objective props: - name: label value: MP-03b. class: sp800-53a prose: '{{ insert: param, mp-03_odp.01 }} remain within {{ insert: param, mp-03_odp.02 }}.' links: - href: '#mp-3_smt.b' rel: assessment-for links: - href: '#mp-3_smt' rel: assessment-for - id: mp-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-03-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System media protection policy procedures addressing media marking physical and environmental protection policy and procedures list of system media marking security attributes designated controlled areas system security plan other relevant documents or records - id: mp-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-03-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system media protection and marking responsibilities organizational personnel with information security responsibilities - id: mp-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-03-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for marking information media mechanisms supporting and/or implementing media marking - id: mp-4 class: SP800-53 title: Media Storage params: - id: mp-4_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-04_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-04_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-04_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-04_odp.04 label: organization-defined types of digital and/or non-digital media - id: mp-4_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-04_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-04_odp.06 label: organization-defined controlled areas - id: mp-04_odp.01 props: - name: label value: MP-04_ODP[01] class: sp800-53a label: types of digital media guidelines: - prose: types of digital media to be physically controlled are defined (if selected); - id: mp-04_odp.02 props: - name: label value: MP-04_ODP[02] class: sp800-53a label: types of non-digital media guidelines: - prose: types of non-digital media to be physically controlled are defined (if selected); - id: mp-04_odp.03 props: - name: label value: MP-04_ODP[03] class: sp800-53a label: types of digital media guidelines: - prose: types of digital media to be securely stored are defined (if selected); - id: mp-04_odp.04 props: - name: label value: MP-04_ODP[04] class: sp800-53a label: types of non-digital media guidelines: - prose: types of non-digital media to be securely stored are defined (if selected); - id: mp-04_odp.05 props: - name: label value: MP-04_ODP[05] class: sp800-53a label: controlled areas guidelines: - prose: controlled areas within which to securely store digital media are defined; - id: mp-04_odp.06 props: - name: label value: MP-04_ODP[06] class: sp800-53a label: controlled areas guidelines: - prose: controlled areas within which to securely store non-digital media are defined; props: - name: label value: MP-04 class: zero-padded - name: label value: MP-4 - name: label value: MP-04 class: sp800-53a - name: sort-id value: mp-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#20957dbb-6a1e-40a2-b38a-66f67d33ac2e' rel: reference - href: '#0d083d8a-5cc6-46f1-8d79-3081d42bcb75' rel: reference - href: '#eef62b16-c796-4554-955c-505824135b8a' rel: reference - href: '#110e26af-4765-49e1-8740-6750f83fcda1' rel: reference - href: '#e7942589-e267-4a5a-a3d9-f39a7aae81f0' rel: reference - href: '#8306620b-1920-4d73-8b21-12008528595f' rel: reference - href: '#22f2d4f0-4365-4e88-a30d-275c1f5473ea' rel: reference - href: '#ac-19' rel: related - href: '#cp-2' rel: related - href: '#cp-6' rel: related - href: '#cp-9' rel: related - href: '#cp-10' rel: related - href: '#mp-2' rel: related - href: '#mp-7' rel: related - href: '#pe-3' rel: related - href: '#pl-2' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-28' rel: related - href: '#sc-34' rel: related - href: '#si-12' rel: related parts: - id: mp-4_smt name: statement parts: - id: mp-4_smt.a name: item props: - name: label value: a. prose: 'Physically control and securely store {{ insert: param, mp-4_prm_1 }} within {{ insert: param, mp-4_prm_2 }} ; and' - id: mp-4_smt.b name: item props: - name: label value: b. prose: Protect system media types defined in MP-4a until the media are destroyed or sanitized using approved equipment, techniques, and procedures. - id: mp-4_gdn name: guidance prose: System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Physically controlling stored media includes conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the library, and maintaining accountability for stored media. Secure storage includes a locked drawer, desk, or cabinet or a controlled media library. The type of media storage is commensurate with the security category or classification of the information on the media. Controlled areas are spaces that provide physical and procedural controls to meet the requirements established for protecting information and systems. Fewer controls may be needed for media that contains information determined to be in the public domain, publicly releasable, or have limited adverse impacts on organizations, operations, or individuals if accessed by other than authorized personnel. In these situations, physical access controls provide adequate protection. - id: mp-4_obj name: assessment-objective props: - name: label value: MP-04 class: sp800-53a parts: - id: mp-4_obj.a name: assessment-objective props: - name: label value: MP-04a. class: sp800-53a parts: - id: mp-4_obj.a-1 name: assessment-objective props: - name: label value: MP-04a.[01] class: sp800-53a prose: '{{ insert: param, mp-04_odp.01 }} are physically controlled;' links: - href: '#mp-4_smt.a' rel: assessment-for - id: mp-4_obj.a-2 name: assessment-objective props: - name: label value: MP-04a.[02] class: sp800-53a prose: '{{ insert: param, mp-04_odp.02 }} are physically controlled;' links: - href: '#mp-4_smt.a' rel: assessment-for - id: mp-4_obj.a-3 name: assessment-objective props: - name: label value: MP-04a.[03] class: sp800-53a prose: '{{ insert: param, mp-04_odp.03 }} are securely stored within {{ insert: param, mp-04_odp.05 }};' links: - href: '#mp-4_smt.a' rel: assessment-for - id: mp-4_obj.a-4 name: assessment-objective props: - name: label value: MP-04a.[04] class: sp800-53a prose: '{{ insert: param, mp-04_odp.04 }} are securely stored within {{ insert: param, mp-04_odp.06 }};' links: - href: '#mp-4_smt.a' rel: assessment-for links: - href: '#mp-4_smt.a' rel: assessment-for - id: mp-4_obj.b name: assessment-objective props: - name: label value: MP-04b. class: sp800-53a prose: system media types (defined in MP-04_ODP[01], MP-04_ODP[02], MP-04_ODP[03], MP-04_ODP[04]) are protected until the media are destroyed or sanitized using approved equipment, techniques, and procedures. links: - href: '#mp-4_smt.b' rel: assessment-for links: - href: '#mp-4_smt' rel: assessment-for - id: mp-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-04-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System media protection policy procedures addressing media storage physical and environmental protection policy and procedures access control policy and procedures system media designated controlled areas system security plan other relevant documents or records - id: mp-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-04-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system media protection and storage responsibilities organizational personnel with information security responsibilities - id: mp-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-04-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for storing information media mechanisms supporting and/or implementing secure media storage/media protection controls: - id: mp-4.1 class: SP800-53-enhancement title: Cryptographic Protection props: - name: label value: MP-04(01) class: zero-padded - name: label value: MP-4(1) - name: label value: MP-04(01) class: sp800-53a - name: sort-id value: mp-04.01 - name: status value: withdrawn links: - href: '#sc-28.1' rel: incorporated-into - id: mp-4.2 class: SP800-53-enhancement title: Automated Restricted Access params: - id: mp-4.2_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-04.02_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-04.02_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-04.02_odp.03 label: organization-defined automated mechanisms - id: mp-04.02_odp.01 props: - name: label value: MP-04(02)_ODP[01] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms to restrict access to media storage areas are defined; - id: mp-04.02_odp.02 props: - name: label value: MP-04(02)_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms to log access attempts to media storage areas are defined; - id: mp-04.02_odp.03 props: - name: label value: MP-04(02)_ODP[03] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms to log access granted to media storage areas are defined; props: - name: label value: MP-04(02) class: zero-padded - name: label value: MP-4(2) - name: label value: MP-04(02) class: sp800-53a - name: sort-id value: mp-04.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#mp-4' rel: required - href: '#ac-3' rel: related - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#au-9' rel: related - href: '#au-12' rel: related - href: '#pe-3' rel: related parts: - id: mp-4.2_smt name: statement prose: 'Restrict access to media storage areas and log access attempts and access granted using {{ insert: param, mp-4.2_prm_1 }}.' - id: mp-4.2_gdn name: guidance prose: Automated mechanisms include keypads, biometric readers, or card readers on the external entries to media storage areas. - id: mp-4.2_obj name: assessment-objective props: - name: label value: MP-04(02) class: sp800-53a parts: - id: mp-4.2_obj-1 name: assessment-objective props: - name: label value: MP-04(02)[01] class: sp800-53a prose: 'access to media storage areas is restricted using {{ insert: param, mp-04.02_odp.01 }};' links: - href: '#mp-4.2_smt' rel: assessment-for - id: mp-4.2_obj-2 name: assessment-objective props: - name: label value: MP-04(02)[02] class: sp800-53a prose: 'access attempts to media storage areas are logged using {{ insert: param, mp-04.02_odp.02 }};' links: - href: '#mp-4.2_smt' rel: assessment-for - id: mp-4.2_obj-3 name: assessment-objective props: - name: label value: MP-04(02)[03] class: sp800-53a prose: 'access granted to media storage areas is logged using {{ insert: param, mp-04.02_odp.03 }}.' links: - href: '#mp-4.2_smt' rel: assessment-for links: - href: '#mp-4.2_smt' rel: assessment-for - id: mp-4.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-04(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System media protection policy procedures addressing media storage access control policy and procedures physical and environmental protection policy and procedures system design documentation system configuration settings and associated documentation media storage facilities access control devices access control records audit records system security plan other relevant documents or records - id: mp-4.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-04(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system media protection and storage responsibilities organizational personnel with information security responsibilities system/network administrators - id: mp-4.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-04(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Automated mechanisms restricting access to media storage areas automated mechanisms auditing access attempts and access granted to media storage areas - id: mp-5 class: SP800-53 title: Media Transport params: - id: mp-5_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-05_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-05_odp.03 label: organization-defined controls - id: mp-05_odp.01 props: - name: alt-identifier value: mp-5_prm_1 - name: label value: MP-05_ODP[01] class: sp800-53a label: types of system media guidelines: - prose: types of system media to protect and control during transport outside of controlled areas are defined; - id: mp-05_odp.02 props: - name: label value: MP-05_ODP[02] class: sp800-53a label: controls guidelines: - prose: controls used to protect system media outside of controlled areas are defined; - id: mp-05_odp.03 props: - name: label value: MP-05_ODP[03] class: sp800-53a label: controls guidelines: - prose: controls used to control system media outside of controlled areas are defined; props: - name: label value: MP-05 class: zero-padded - name: label value: MP-5 - name: label value: MP-05 class: sp800-53a - name: sort-id value: mp-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a' rel: reference - href: '#9be5d661-421f-41ad-854e-86f98b811891' rel: reference - href: '#ac-7' rel: related - href: '#ac-19' rel: related - href: '#cp-2' rel: related - href: '#cp-9' rel: related - href: '#mp-3' rel: related - href: '#mp-4' rel: related - href: '#pe-16' rel: related - href: '#pl-2' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-28' rel: related - href: '#sc-34' rel: related parts: - id: mp-5_smt name: statement parts: - id: mp-5_smt.a name: item props: - name: label value: a. prose: 'Protect and control {{ insert: param, mp-05_odp.01 }} during transport outside of controlled areas using {{ insert: param, mp-5_prm_2 }};' - id: mp-5_smt.b name: item props: - name: label value: b. prose: Maintain accountability for system media during transport outside of controlled areas; - id: mp-5_smt.c name: item props: - name: label value: c. prose: Document activities associated with the transport of system media; and - id: mp-5_smt.d name: item props: - name: label value: d. prose: Restrict the activities associated with the transport of system media to authorized personnel. - id: mp-5_gdn name: guidance prose: System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state and magnetic), compact discs, and digital versatile discs. Non-digital media includes microfilm and paper. Controlled areas are spaces for which organizations provide physical or procedural controls to meet requirements established for protecting information and systems. Controls to protect media during transport include cryptography and locked containers. Cryptographic mechanisms can provide confidentiality and integrity protections depending on the mechanisms implemented. Activities associated with media transport include releasing media for transport, ensuring that media enters the appropriate transport processes, and the actual transport. Authorized transport and courier personnel may include individuals external to the organization. Maintaining accountability of media during transport includes restricting transport activities to authorized personnel and tracking and/or obtaining records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of system media in accordance with organizational assessments of risk. Organizations maintain the flexibility to define record-keeping methods for the different types of media transport as part of a system of transport-related records. - id: mp-5_obj name: assessment-objective props: - name: label value: MP-05 class: sp800-53a parts: - id: mp-5_obj.a name: assessment-objective props: - name: label value: MP-05a. class: sp800-53a parts: - id: mp-5_obj.a-1 name: assessment-objective props: - name: label value: MP-05a.[01] class: sp800-53a prose: '{{ insert: param, mp-05_odp.01 }} are protected during transport outside of controlled areas using {{ insert: param, mp-05_odp.02 }};' links: - href: '#mp-5_smt.a' rel: assessment-for - id: mp-5_obj.a-2 name: assessment-objective props: - name: label value: MP-05a.[02] class: sp800-53a prose: '{{ insert: param, mp-05_odp.01 }} are controlled during transport outside of controlled areas using {{ insert: param, mp-05_odp.03 }};' links: - href: '#mp-5_smt.a' rel: assessment-for links: - href: '#mp-5_smt.a' rel: assessment-for - id: mp-5_obj.b name: assessment-objective props: - name: label value: MP-05b. class: sp800-53a prose: accountability for system media is maintained during transport outside of controlled areas; links: - href: '#mp-5_smt.b' rel: assessment-for - id: mp-5_obj.c name: assessment-objective props: - name: label value: MP-05c. class: sp800-53a prose: activities associated with the transport of system media are documented; links: - href: '#mp-5_smt.c' rel: assessment-for - id: mp-5_obj.d name: assessment-objective props: - name: label value: MP-05d. class: sp800-53a parts: - id: mp-5_obj.d-1 name: assessment-objective props: - name: label value: MP-05d.[01] class: sp800-53a prose: personnel authorized to conduct media transport activities is/are identified; links: - href: '#mp-5_smt.d' rel: assessment-for - id: mp-5_obj.d-2 name: assessment-objective props: - name: label value: MP-05d.[02] class: sp800-53a prose: activities associated with the transport of system media are restricted to identified authorized personnel. links: - href: '#mp-5_smt.d' rel: assessment-for links: - href: '#mp-5_smt.d' rel: assessment-for links: - href: '#mp-5_smt' rel: assessment-for - id: mp-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-05-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System media protection policy procedures addressing media storage physical and environmental protection policy and procedures access control policy and procedures authorized personnel list system media designated controlled areas system security plan other relevant documents or records - id: mp-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-05-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system media protection and storage responsibilities organizational personnel with information security responsibilities system/network administrators - id: mp-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-05-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for storing information media mechanisms supporting and/or implementing media storage/media protection controls: - id: mp-5.1 class: SP800-53-enhancement title: Protection Outside of Controlled Areas props: - name: label value: MP-05(01) class: zero-padded - name: label value: MP-5(1) - name: label value: MP-05(01) class: sp800-53a - name: sort-id value: mp-05.01 - name: status value: withdrawn links: - href: '#mp-5' rel: incorporated-into - id: mp-5.2 class: SP800-53-enhancement title: Documentation of Activities props: - name: label value: MP-05(02) class: zero-padded - name: label value: MP-5(2) - name: label value: MP-05(02) class: sp800-53a - name: sort-id value: mp-05.02 - name: status value: withdrawn links: - href: '#mp-5' rel: incorporated-into - id: mp-5.3 class: SP800-53-enhancement title: Custodians props: - name: label value: MP-05(03) class: zero-padded - name: label value: MP-5(3) - name: label value: MP-05(03) class: sp800-53a - name: sort-id value: mp-05.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#mp-5' rel: required parts: - id: mp-5.3_smt name: statement prose: Employ an identified custodian during transport of system media outside of controlled areas. - id: mp-5.3_gdn name: guidance prose: Identified custodians provide organizations with specific points of contact during the media transport process and facilitate individual accountability. Custodial responsibilities can be transferred from one individual to another if an unambiguous custodian is identified. - id: mp-5.3_obj name: assessment-objective props: - name: label value: MP-05(03) class: sp800-53a parts: - id: mp-5.3_obj-1 name: assessment-objective props: - name: label value: MP-05(03)[01] class: sp800-53a prose: a custodian to transport system media outside of controlled areas is identified; links: - href: '#mp-5.3_smt' rel: assessment-for - id: mp-5.3_obj-2 name: assessment-objective props: - name: label value: MP-05(03)[02] class: sp800-53a prose: the identified custodian is employed during the transport of system media outside of controlled areas. links: - href: '#mp-5.3_smt' rel: assessment-for links: - href: '#mp-5.3_smt' rel: assessment-for - id: mp-5.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-05(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System media protection policy procedures addressing media transport physical and environmental protection policy and procedures system media transport records audit records system security plan other relevant documents or records - id: mp-5.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-05(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system media transport responsibilities organizational personnel with information security responsibilities - id: mp-5.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-05(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for identifying and employing a custodian to transport media outside of controlled areas - id: mp-5.4 class: SP800-53-enhancement title: Cryptographic Protection props: - name: label value: MP-05(04) class: zero-padded - name: label value: MP-5(4) - name: label value: MP-05(04) class: sp800-53a - name: sort-id value: mp-05.04 - name: status value: withdrawn links: - href: '#sc-28.1' rel: incorporated-into - 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 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 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 guidelines: - prose: system media to be sanitized prior to release for reuse is defined; - id: mp-06_odp.04 props: - name: label value: MP-06_ODP[04] class: sp800-53a label: sanitization techniques and procedures guidelines: - prose: sanitization techniques and procedures to be used for sanitization prior to disposal are defined; - id: mp-06_odp.05 props: - name: label value: MP-06_ODP[05] class: sp800-53a label: sanitization techniques and procedures guidelines: - prose: sanitization techniques and procedures to be used for sanitization prior to release from organizational control are defined; - id: mp-06_odp.06 props: - name: label value: MP-06_ODP[06] class: sp800-53a label: sanitization techniques and procedures guidelines: - prose: sanitization techniques and procedures to be used for sanitization prior to release for reuse are defined; props: - name: label value: MP-06 class: zero-padded - name: label value: MP-6 - name: label value: MP-06 class: sp800-53a - name: sort-id value: mp-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#91f992fb-f668-4c91-a50f-0f05b95ccee3' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94' rel: reference - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a' rel: reference - href: '#9be5d661-421f-41ad-854e-86f98b811891' rel: reference - href: '#a5b1d18d-e670-4586-9e6d-4a88b7ba3df6' rel: reference - href: '#0f66be67-85e7-4ca6-bd19-39453e9f4394' rel: reference - href: '#4c501da5-9d79-4cb6-ba80-97260e1ce327' rel: reference - href: '#df9f87e9-71e7-4c74-9ac3-3cabd4e92f21' rel: reference - href: '#ac-3' rel: related - href: '#ac-7' rel: related - href: '#au-11' rel: related - href: '#ma-2' rel: related - href: '#ma-3' rel: related - href: '#ma-4' rel: related - href: '#ma-5' rel: related - href: '#pm-22' rel: related - href: '#si-12' rel: related - href: '#si-18' rel: related - href: '#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: 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: 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: 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: label value: MP-06b. class: sp800-53a prose: sanitization mechanisms with strength and integrity commensurate with the security category or classification of the information are employed. links: - href: '#mp-6_smt.b' rel: assessment-for links: - href: '#mp-6_smt' rel: assessment-for - id: mp-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-06-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System media protection policy procedures addressing media sanitization and disposal applicable federal standards and policies addressing media sanitization policy media sanitization records system audit records system design documentation records retention and disposition policy records retention and disposition procedures system configuration settings and associated documentation system security plan privacy plan other relevant documents or records - id: mp-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-06-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with media sanitization responsibilities organizational personnel with records retention and disposition responsibilities organizational personnel with information security and privacy responsibilities system/network administrators - id: mp-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-06-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for media sanitization mechanisms supporting and/or implementing media sanitization controls: - id: mp-6.1 class: SP800-53-enhancement title: Review, Approve, Track, Document, and Verify props: - name: label value: MP-06(01) class: zero-padded - name: label value: MP-6(1) - name: label value: MP-06(01) class: sp800-53a - name: sort-id value: mp-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#mp-6' rel: required parts: - id: mp-6.1_smt name: statement prose: Review, approve, track, document, and verify media sanitization and disposal actions. - id: mp-6.1_gdn name: guidance prose: Organizations review and approve media to be sanitized to ensure compliance with records retention policies. Tracking and documenting actions include listing personnel who reviewed and approved sanitization and disposal actions, types of media sanitized, files stored on the media, sanitization methods used, date and time of the sanitization actions, personnel who performed the sanitization, verification actions taken and personnel who performed the verification, and the disposal actions taken. Organizations verify that the sanitization of the media was effective prior to disposal. - id: mp-6.1_obj name: assessment-objective props: - name: label value: MP-06(01) class: sp800-53a parts: - id: mp-6.1_obj-1 name: assessment-objective props: - name: label value: MP-06(01)[01] class: sp800-53a prose: media sanitization and disposal actions are reviewed; links: - href: '#mp-6.1_smt' rel: assessment-for - id: mp-6.1_obj-2 name: assessment-objective props: - name: label value: MP-06(01)[02] class: sp800-53a prose: media sanitization and disposal actions are approved; links: - href: '#mp-6.1_smt' rel: assessment-for - id: mp-6.1_obj-3 name: assessment-objective props: - name: label value: MP-06(01)[03] class: sp800-53a prose: media sanitization and disposal actions are tracked; links: - href: '#mp-6.1_smt' rel: assessment-for - id: mp-6.1_obj-4 name: assessment-objective props: - name: label value: MP-06(01)[04] class: sp800-53a prose: media sanitization and disposal actions are documented; links: - href: '#mp-6.1_smt' rel: assessment-for - id: mp-6.1_obj-5 name: assessment-objective props: - name: label value: MP-06(01)[05] class: sp800-53a prose: media sanitization and disposal actions are verified. links: - href: '#mp-6.1_smt' rel: assessment-for links: - href: '#mp-6.1_smt' rel: assessment-for - id: mp-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-06(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System media protection policy procedures addressing media sanitization and disposal records retention and disposition policy records retention and disposition procedures media sanitization and disposal records review records for media sanitization and disposal actions approvals for media sanitization and disposal actions tracking records verification records system audit records system security plan privacy plan other relevant documents or records - id: mp-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-06(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system media sanitization and disposal responsibilities organizational personnel with records retention and disposition responsibilities organizational personnel with information security and privacy responsibilities system/network administrators - id: mp-6.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-06(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for media sanitization mechanisms supporting and/or implementing media sanitization mechanisms supporting and/or implementing verification of media sanitization - id: mp-6.2 class: SP800-53-enhancement title: Equipment Testing params: - id: mp-6.2_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-06.02_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-06.02_odp.02 label: organization-defined frequency - id: mp-06.02_odp.01 props: - name: label value: MP-06(02)_ODP[01] class: sp800-53a label: frequency guidelines: - prose: frequency with which to test sanitization equipment is defined; - id: mp-06.02_odp.02 props: - name: label value: MP-06(02)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: frequency with which to test sanitization procedures is defined; props: - name: label value: MP-06(02) class: zero-padded - name: label value: MP-6(2) - name: label value: MP-06(02) class: sp800-53a - name: sort-id value: mp-06.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#mp-6' rel: required parts: - id: mp-6.2_smt name: statement prose: 'Test sanitization equipment and procedures {{ insert: param, mp-6.2_prm_1 }} to ensure that the intended sanitization is being achieved.' - id: mp-6.2_gdn name: guidance prose: Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities, including federal agencies or external service providers. - id: mp-6.2_obj name: assessment-objective props: - name: label value: MP-06(02) class: sp800-53a parts: - id: mp-6.2_obj-1 name: assessment-objective props: - name: label value: MP-06(02)[01] class: sp800-53a prose: 'sanitization equipment is tested {{ insert: param, mp-06.02_odp.01 }} to ensure that the intended sanitization is being achieved;' links: - href: '#mp-6.2_smt' rel: assessment-for - id: mp-6.2_obj-2 name: assessment-objective props: - name: label value: MP-06(02)[02] class: sp800-53a prose: 'sanitization procedures are tested {{ insert: param, mp-06.02_odp.02 }} to ensure that the intended sanitization is being achieved.' links: - href: '#mp-6.2_smt' rel: assessment-for links: - href: '#mp-6.2_smt' rel: assessment-for - id: mp-6.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-06(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System media protection policy procedures addressing media sanitization and disposal procedures addressing testing of media sanitization equipment results of media sanitization equipment and procedures testing system audit records records retention and disposition policy records retention and disposition procedures system security plan privacy plan other relevant documents or records - id: mp-6.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-06(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system media sanitization responsibilities organizational personnel with records retention and disposition responsibilities organizational personnel with information security and privacy responsibilities - id: mp-6.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-06(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for media sanitization automated mechanisms supporting and/or implementing media sanitization automated mechanisms supporting and/or implementing media sanitization procedures sanitization equipment - id: mp-6.3 class: SP800-53-enhancement title: Nondestructive Techniques params: - id: mp-06.03_odp props: - name: alt-identifier value: mp-6.3_prm_1 - name: alt-label value: circumstances requiring sanitization of portable storage devices class: sp800-53 - name: label value: MP-06(03)_ODP class: sp800-53a label: circumstances guidelines: - prose: circumstances requiring sanitization of portable storage devices are defined; props: - name: label value: MP-06(03) class: zero-padded - name: label value: MP-6(3) - name: label value: MP-06(03) class: sp800-53a - name: sort-id value: mp-06.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#mp-6' rel: required parts: - id: mp-6.3_smt name: statement prose: 'Apply nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the system under the following circumstances: {{ insert: param, mp-06.03_odp }}.' - id: mp-6.3_gdn name: guidance prose: Portable storage devices include external or removable hard disk drives (e.g., solid state, magnetic), optical discs, magnetic or optical tapes, flash memory devices, flash memory cards, and other external or removable disks. Portable storage devices can be obtained from untrustworthy sources and contain malicious code that can be inserted into or transferred to organizational systems through USB ports or other entry portals. While scanning storage devices is recommended, sanitization provides additional assurance that such devices are free of malicious code. Organizations consider nondestructive sanitization of portable storage devices when the devices are purchased from manufacturers or vendors prior to initial use or when organizations cannot maintain a positive chain of custody for the devices. - id: mp-6.3_obj name: assessment-objective props: - name: label value: MP-06(03) class: sp800-53a prose: 'non-destructive sanitization techniques are applied to portable storage devices prior to connecting such devices to the system under {{ insert: param, mp-06.03_odp }}.' links: - href: '#mp-6.3_smt' rel: assessment-for - id: mp-6.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-06(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System media protection policy procedures addressing media sanitization and disposal information on portable storage devices for the system list of circumstances requiring sanitization of portable storage devices media sanitization records audit records system security plan other relevant documents or records - id: mp-6.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-06(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system media sanitization responsibilities organizational personnel with information security responsibilities - id: mp-6.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-06(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for media sanitization of portable storage devices mechanisms supporting and/or implementing media sanitization - id: mp-6.4 class: SP800-53-enhancement title: Controlled Unclassified Information props: - name: label value: MP-06(04) class: zero-padded - name: label value: MP-6(4) - name: label value: MP-06(04) class: sp800-53a - name: sort-id value: mp-06.04 - name: status value: withdrawn links: - href: '#mp-6' rel: incorporated-into - id: mp-6.5 class: SP800-53-enhancement title: Classified Information props: - name: label value: MP-06(05) class: zero-padded - name: label value: MP-6(5) - name: label value: MP-06(05) class: sp800-53a - name: sort-id value: mp-06.05 - name: status value: withdrawn links: - href: '#mp-6' rel: incorporated-into - id: mp-6.6 class: SP800-53-enhancement title: Media Destruction props: - name: label value: MP-06(06) class: zero-padded - name: label value: MP-6(6) - name: label value: MP-06(06) class: sp800-53a - name: sort-id value: mp-06.06 - name: status value: withdrawn links: - href: '#mp-6' rel: incorporated-into - id: mp-6.7 class: SP800-53-enhancement title: Dual Authorization params: - id: mp-06.07_odp props: - name: alt-identifier value: mp-6.7_prm_1 - name: label value: MP-06(07)_ODP class: sp800-53a label: system media guidelines: - prose: system media to be sanitized using dual authorization is defined; props: - name: label value: MP-06(07) class: zero-padded - name: label value: MP-6(7) - name: label value: MP-06(07) class: sp800-53a - name: sort-id value: mp-06.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#mp-6' rel: required - href: '#ac-3' rel: related - href: '#mp-2' rel: related parts: - id: mp-6.7_smt name: statement prose: 'Enforce dual authorization for the sanitization of {{ insert: param, mp-06.07_odp }}.' - id: mp-6.7_gdn name: guidance prose: Organizations employ dual authorization to help ensure that system media sanitization cannot occur unless two technically qualified individuals conduct the designated task. Individuals who sanitize system media possess sufficient skills and expertise to determine if the proposed sanitization reflects applicable federal and organizational standards, policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as intended, protecting against errors and false claims of having performed the sanitization actions. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. - id: mp-6.7_obj name: assessment-objective props: - name: label value: MP-06(07) class: sp800-53a prose: 'dual authorization for sanitization of {{ insert: param, mp-06.07_odp }} is enforced.' links: - href: '#mp-6.7_smt' rel: assessment-for - id: mp-6.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-06(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System media protection policy procedures addressing media sanitization and disposal dual authorization policy and procedures list of system media requiring dual authorization for sanitization authorization records media sanitization records audit records system security plan other relevant documents or records - id: mp-6.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-06(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system media sanitization responsibilities organizational personnel with information security responsibilities system/network administrators - id: mp-6.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-06(07)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes requiring dual authorization for media sanitization mechanisms supporting and/or implementing media sanitization mechanisms supporting and/or implementing dual authorization - id: mp-6.8 class: SP800-53-enhancement title: Remote Purging or Wiping of Information params: - id: mp-06.08_odp.01 props: - name: alt-identifier value: mp-6.8_prm_1 - name: label value: MP-06(08)_ODP[01] class: sp800-53a label: systems or system components guidelines: - prose: systems or system components to purge or wipe information either remotely or under specific conditions are defined; - id: mp-06.08_odp.02 props: - name: alt-identifier value: mp-6.8_prm_2 - name: label value: MP-06(08)_ODP[02] class: sp800-53a select: choice: - remotely - 'under {{ insert: param, mp-06.08_odp.03 }} ' - id: mp-06.08_odp.03 props: - name: alt-identifier value: mp-6.8_prm_3 - name: label value: MP-06(08)_ODP[03] class: sp800-53a label: conditions guidelines: - prose: conditions under which information is to be purged or wiped are defined (if selected); props: - name: label value: MP-06(08) class: zero-padded - name: label value: MP-6(8) - name: label value: MP-06(08) class: sp800-53a - name: sort-id value: mp-06.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#mp-6' rel: required parts: - id: mp-6.8_smt name: statement prose: 'Provide the capability to purge or wipe information from {{ insert: param, mp-06.08_odp.01 }} {{ insert: param, mp-06.08_odp.02 }}.' - id: mp-6.8_gdn name: guidance prose: Remote purging or wiping of information protects information on organizational systems and system components if systems or components are obtained by unauthorized individuals. Remote purge or wipe commands require strong authentication to help mitigate the risk of unauthorized individuals purging or wiping the system, component, or device. The purge or wipe function can be implemented in a variety of ways, including by overwriting data or information multiple times or by destroying the key necessary to decrypt encrypted data. - id: mp-6.8_obj name: assessment-objective props: - name: label value: MP-06(08) class: sp800-53a prose: 'the capability to purge or wipe information from {{ insert: param, mp-06.08_odp.01 }} {{ insert: param, mp-06.08_odp.02 }} is provided.' links: - href: '#mp-6.8_smt' rel: assessment-for - id: mp-6.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-06(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System media protection policy procedures addressing media sanitization and disposal system design documentation system configuration settings and associated documentation authorization records media sanitization records audit records system security plan other relevant documents or records - id: mp-6.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-06(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system media sanitization responsibilities organizational personnel with information security responsibilities system/network administrators - id: mp-6.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-06(08)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for purging/wiping media mechanisms supporting and/or implementing purge/wipe capabilities - 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: '#pm-12' rel: related - href: '#sc-34' rel: related - href: '#sc-41' rel: related parts: - id: mp-7_smt name: statement parts: - id: mp-7_smt.a name: item props: - 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: 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: 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: 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 controls: - id: mp-7.1 class: SP800-53-enhancement title: Prohibit Use Without Owner props: - name: label value: MP-07(01) class: zero-padded - name: label value: MP-7(1) - name: label value: MP-07(01) class: sp800-53a - name: sort-id value: mp-07.01 - name: status value: withdrawn links: - href: '#mp-7' rel: incorporated-into - id: mp-7.2 class: SP800-53-enhancement title: Prohibit Use of Sanitization-resistant Media props: - name: label value: MP-07(02) class: zero-padded - name: label value: MP-7(2) - name: label value: MP-07(02) class: sp800-53a - name: sort-id value: mp-07.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#mp-7' rel: required - href: '#mp-6' rel: related parts: - id: mp-7.2_smt name: statement prose: Prohibit the use of sanitization-resistant media in organizational systems. - id: mp-7.2_gdn name: guidance prose: Sanitization resistance refers to how resistant media are to non-destructive sanitization techniques with respect to the capability to purge information from media. Certain types of media do not support sanitization commands, or if supported, the interfaces are not supported in a standardized way across these devices. Sanitization-resistant media includes compact flash, embedded flash on boards and devices, solid state drives, and USB removable media. - id: mp-7.2_obj name: assessment-objective props: - name: label value: MP-07(02) class: sp800-53a parts: - id: mp-7.2_obj-1 name: assessment-objective props: - name: label value: MP-07(02)[01] class: sp800-53a prose: sanitization-resistant media is identified; links: - href: '#mp-7.2_smt' rel: assessment-for - id: mp-7.2_obj-2 name: assessment-objective props: - name: label value: MP-07(02)[02] class: sp800-53a prose: the use of sanitization-resistant media in organizational systems is prohibited. links: - href: '#mp-7.2_smt' rel: assessment-for links: - href: '#mp-7.2_smt' rel: assessment-for - id: mp-7.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-07(02)-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 configuration settings and associated documentation system security plan other relevant documents or records - id: mp-7.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-07(02)-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-7.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-07(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for media use mechanisms prohibiting use of media on systems or system components - id: mp-8 class: SP800-53 title: Media Downgrading params: - id: mp-08_odp.01 props: - name: alt-identifier value: mp-8_prm_1 - name: label value: MP-08_ODP[01] class: sp800-53a label: system media downgrading process guidelines: - prose: a system media downgrading process is defined; - id: mp-08_odp.02 props: - name: alt-identifier value: mp-8_prm_2 - name: label value: MP-08_ODP[02] class: sp800-53a label: system media requiring downgrading guidelines: - prose: system media requiring downgrading is defined; props: - name: label value: MP-08 class: zero-padded - name: label value: MP-8 - name: label value: MP-08 class: sp800-53a - name: sort-id value: mp-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#91f992fb-f668-4c91-a50f-0f05b95ccee3' rel: reference - href: '#df9f87e9-71e7-4c74-9ac3-3cabd4e92f21' rel: reference parts: - id: mp-8_smt name: statement parts: - id: mp-8_smt.a name: item props: - name: label value: a. prose: 'Establish {{ insert: param, mp-08_odp.01 }} that includes employing downgrading mechanisms with strength and integrity commensurate with the security category or classification of the information;' - id: mp-8_smt.b name: item props: - name: label value: b. prose: Verify that the system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information; - id: mp-8_smt.c name: item props: - name: label value: c. prose: 'Identify {{ insert: param, mp-08_odp.02 }} ; and' - id: mp-8_smt.d name: item props: - name: label value: d. prose: Downgrade the identified system media using the established process. - id: mp-8_gdn name: guidance prose: Media downgrading applies to digital and non-digital media subject to release outside of the organization, whether the media is considered removable or not. When applied to system media, the downgrading process removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading ensures that empty space on the media is devoid of information. - id: mp-8_obj name: assessment-objective props: - name: label value: MP-08 class: sp800-53a parts: - id: mp-8_obj.a name: assessment-objective props: - name: label value: MP-08a. class: sp800-53a parts: - id: mp-8_obj.a-1 name: assessment-objective props: - name: label value: MP-08a.[01] class: sp800-53a prose: 'a {{ insert: param, mp-08_odp.01 }} is established;' links: - href: '#mp-8_smt.a' rel: assessment-for - id: mp-8_obj.a-2 name: assessment-objective props: - name: label value: MP-08a.[02] class: sp800-53a prose: 'the {{ insert: param, mp-08_odp.01 }} includes employing downgrading mechanisms with strength and integrity commensurate with the security category or classification of the information;' links: - href: '#mp-8_smt.a' rel: assessment-for links: - href: '#mp-8_smt.a' rel: assessment-for - id: mp-8_obj.b name: assessment-objective props: - name: label value: MP-08b. class: sp800-53a parts: - id: mp-8_obj.b-1 name: assessment-objective props: - name: label value: MP-08b.[01] class: sp800-53a prose: there is verification that the system media downgrading process is commensurate with the security category and/or classification level of the information to be removed; links: - href: '#mp-8_smt.b' rel: assessment-for - id: mp-8_obj.b-2 name: assessment-objective props: - name: label value: MP-08b.[02] class: sp800-53a prose: there is verification that the system media downgrading process is commensurate with the access authorizations of the potential recipients of the downgraded information; links: - href: '#mp-8_smt.b' rel: assessment-for links: - href: '#mp-8_smt.b' rel: assessment-for - id: mp-8_obj.c name: assessment-objective props: - name: label value: MP-08c. class: sp800-53a prose: '{{ insert: param, mp-08_odp.02 }} is identified;' links: - href: '#mp-8_smt.c' rel: assessment-for - id: mp-8_obj.d name: assessment-objective props: - name: label value: MP-08d. class: sp800-53a prose: 'the identified system media is downgraded using the {{ insert: param, mp-08_odp.01 }}.' links: - href: '#mp-8_smt.d' rel: assessment-for links: - href: '#mp-8_smt' rel: assessment-for - id: mp-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-08-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System media protection policy procedures addressing media downgrading system categorization documentation list of media requiring downgrading records of media downgrading audit records system security plan other relevant documents or records - id: mp-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-08-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system media downgrading responsibilities organizational personnel with information security responsibilities system/network administrators - id: mp-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-08-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for media downgrading mechanisms supporting and/or implementing media downgrading controls: - id: mp-8.1 class: SP800-53-enhancement title: Documentation of Process props: - name: label value: MP-08(01) class: zero-padded - name: label value: MP-8(1) - name: label value: MP-08(01) class: sp800-53a - name: sort-id value: mp-08.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#mp-8' rel: required parts: - id: mp-8.1_smt name: statement prose: Document system media downgrading actions. - id: mp-8.1_gdn name: guidance prose: Organizations can document the media downgrading process by providing information, such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action. - id: mp-8.1_obj name: assessment-objective props: - name: label value: MP-08(01) class: sp800-53a prose: system media downgrading actions are documented. links: - href: '#mp-8.1_smt' rel: assessment-for - id: mp-8.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-08(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System media protection policy procedures addressing media downgrading system categorization documentation list of media requiring downgrading records of media downgrading audit records system security plan other relevant documents or records - id: mp-8.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-08(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system media downgrading responsibilities organizational personnel with information security responsibilities system/network administrators - id: mp-8.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-08(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for media downgrading mechanisms supporting and/or implementing media downgrading - id: mp-8.2 class: SP800-53-enhancement title: Equipment Testing params: - id: mp-8.2_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-08.02_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: mp-08.02_odp.02 label: organization-defined frequency - id: mp-08.02_odp.01 props: - name: label value: MP-08(02)_ODP[01] class: sp800-53a label: frequency guidelines: - prose: the frequency with which to test downgrading equipment is defined; - id: mp-08.02_odp.02 props: - name: label value: MP-08(02)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: the frequency with which to test downgrading procedures is defined; props: - name: label value: MP-08(02) class: zero-padded - name: label value: MP-8(2) - name: label value: MP-08(02) class: sp800-53a - name: sort-id value: mp-08.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#mp-8' rel: required parts: - id: mp-8.2_smt name: statement prose: 'Test downgrading equipment and procedures {{ insert: param, mp-8.2_prm_1 }} to ensure that downgrading actions are being achieved.' - id: mp-8.2_gdn name: guidance prose: None. - id: mp-8.2_obj name: assessment-objective props: - name: label value: MP-08(02) class: sp800-53a parts: - id: mp-8.2_obj-1 name: assessment-objective props: - name: label value: MP-08(02)[01] class: sp800-53a prose: 'downgrading equipment is tested {{ insert: param, mp-08.02_odp.01 }} to ensure that downgrading actions are being achieved;' links: - href: '#mp-8.2_smt' rel: assessment-for - id: mp-8.2_obj-2 name: assessment-objective props: - name: label value: MP-08(02)[02] class: sp800-53a prose: 'downgrading procedures are tested {{ insert: param, mp-08.02_odp.02 }} to ensure that downgrading actions are being achieved.' links: - href: '#mp-8.2_smt' rel: assessment-for links: - href: '#mp-8.2_smt' rel: assessment-for - id: mp-8.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-08(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System media protection policy procedures addressing media downgrading procedures addressing testing of media downgrading equipment results of downgrading equipment and procedures testing records of media downgrading audit records system security plan other relevant documents or records - id: mp-8.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-08(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system media downgrading responsibilities organizational personnel with information security responsibilities - id: mp-8.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-08(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for media downgrading mechanisms supporting and/or implementing media downgrading - id: mp-8.3 class: SP800-53-enhancement title: Controlled Unclassified Information props: - name: label value: MP-08(03) class: zero-padded - name: label value: MP-8(3) - name: label value: MP-08(03) class: sp800-53a - name: sort-id value: mp-08.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#mp-8' rel: required parts: - id: mp-8.3_smt name: statement prose: Downgrade system media containing controlled unclassified information prior to public release. - id: mp-8.3_gdn name: guidance prose: The downgrading of controlled unclassified information uses approved sanitization tools, techniques, and procedures. - id: mp-8.3_obj name: assessment-objective props: - name: label value: MP-08(03) class: sp800-53a parts: - id: mp-8.3_obj-1 name: assessment-objective props: - name: label value: MP-08(03)[01] class: sp800-53a prose: system media containing controlled unclassified information is identified; links: - href: '#mp-8.3_smt' rel: assessment-for - id: mp-8.3_obj-2 name: assessment-objective props: - name: label value: MP-08(03)[02] class: sp800-53a prose: system media containing controlled unclassified information is downgraded prior to public release. links: - href: '#mp-8.3_smt' rel: assessment-for links: - href: '#mp-8.3_smt' rel: assessment-for - id: mp-8.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-08(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System media protection policy access authorization policy procedures addressing downgrading of media containing CUI applicable federal and organizational standards and policies regarding protection of CUI media downgrading records system security plan other relevant documents or records - id: mp-8.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-08(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system media downgrading responsibilities organizational personnel with information security responsibilities - id: mp-8.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-08(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for media downgrading mechanisms supporting and/or implementing media downgrading - id: mp-8.4 class: SP800-53-enhancement title: Classified Information props: - name: label value: MP-08(04) class: zero-padded - name: label value: MP-8(4) - name: label value: MP-08(04) class: sp800-53a - name: sort-id value: mp-08.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#mp-8' rel: required parts: - id: mp-8.4_smt name: statement prose: Downgrade system media containing classified information prior to release to individuals without required access authorizations. - id: mp-8.4_gdn name: guidance prose: Downgrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified systems to unclassified media. - id: mp-8.4_obj name: assessment-objective props: - name: label value: MP-08(04) class: sp800-53a parts: - id: mp-8.4_obj-1 name: assessment-objective props: - name: label value: MP-08(04)[01] class: sp800-53a prose: system media containing classified information is identified; links: - href: '#mp-8.4_smt' rel: assessment-for - id: mp-8.4_obj-2 name: assessment-objective props: - name: label value: MP-08(04)[02] class: sp800-53a prose: system media containing classified information is downgraded prior to release to individuals without required access authorizations. links: - href: '#mp-8.4_smt' rel: assessment-for links: - href: '#mp-8.4_smt' rel: assessment-for - id: mp-8.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: MP-08(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System media protection policy access authorization policy procedures addressing downgrading of media containing classified information procedures addressing handling of classified information NSA standards and policies regarding protection of classified information media downgrading records system security plan other relevant documents or records - id: mp-8.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: MP-08(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system media downgrading responsibilities organizational personnel with information security responsibilities - id: mp-8.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: MP-08(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for media downgrading mechanisms supporting and/or implementing media downgrading - 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 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 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 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: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 guidelines: - prose: frequency at which to review the access list detailing authorized facility access by individuals is defined; props: - name: label value: PE-02 class: zero-padded - name: label value: PE-2 - name: label value: PE-02 class: sp800-53a - name: sort-id value: pe-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#858705be-3c1f-48aa-a328-0ce398d95ef0' rel: reference - href: '#7af2e6ec-9f7e-4232-ad3f-09888eb0793a' rel: reference - href: '#828856bd-d7c4-427b-8b51-815517ec382d' rel: reference - href: '#at-3' rel: related - href: '#au-9' rel: related - href: '#ia-4' rel: related - href: '#ma-5' rel: related - href: '#mp-2' rel: related - href: '#pe-3' rel: related - href: '#pe-4' rel: related - href: '#pe-5' rel: related - href: '#pe-8' rel: related - href: '#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: 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: label value: b. prose: Issue authorization credentials for facility access; - id: pe-2_smt.c name: item props: - 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: 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: 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: 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: 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: 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 controls: - id: pe-2.1 class: SP800-53-enhancement title: Access by Position or Role props: - name: label value: PE-02(01) class: zero-padded - name: label value: PE-2(1) - name: label value: PE-02(01) class: sp800-53a - name: sort-id value: pe-02.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-2' rel: required - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-6' rel: related parts: - id: pe-2.1_smt name: statement prose: Authorize physical access to the facility where the system resides based on position or role. - id: pe-2.1_gdn name: guidance prose: Role-based facility access includes access by authorized permanent and regular/routine maintenance personnel, duty officers, and emergency medical staff. - id: pe-2.1_obj name: assessment-objective props: - name: label value: PE-02(01) class: sp800-53a prose: physical access to the facility where the system resides is authorized based on position or role. links: - href: '#pe-2.1_smt' rel: assessment-for - id: pe-2.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-02(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing physical access authorizations physical access control logs or records list of positions/roles and corresponding physical access authorizations system entry and exit points system security plan other relevant documents or records - id: pe-2.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-02(01)-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-2.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-02(01)-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-2.2 class: SP800-53-enhancement title: Two Forms of Identification params: - id: pe-02.02_odp props: - name: alt-identifier value: pe-2.2_prm_1 - name: label value: PE-02(02)_ODP class: sp800-53a label: list of acceptable forms of identification guidelines: - prose: a list of acceptable forms of identification for visitor access to the facility where the system resides is defined; props: - name: label value: PE-02(02) class: zero-padded - name: label value: PE-2(2) - name: label value: PE-02(02) class: sp800-53a - name: sort-id value: pe-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-2' rel: required - href: '#ia-2' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related parts: - id: pe-2.2_smt name: statement prose: 'Require two forms of identification from the following forms of identification for visitor access to the facility where the system resides: {{ insert: param, pe-02.02_odp }}.' - id: pe-2.2_gdn name: guidance prose: Acceptable forms of identification include passports, REAL ID-compliant drivers’ licenses, and Personal Identity Verification (PIV) cards. For gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics. - id: pe-2.2_obj name: assessment-objective props: - name: label value: PE-02(02) class: sp800-53a prose: 'two forms of identification are required from {{ insert: param, pe-02.02_odp }} for visitor access to the facility where the system resides.' links: - href: '#pe-2.2_smt' rel: assessment-for - id: pe-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing physical access authorizations list of acceptable forms of identification for visitor access to the facility where the system resides access authorization forms access credentials physical access control logs or records system security plan other relevant documents or records - id: pe-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with physical access authorization responsibilities organizational personnel with physical access to the system facility organizational personnel with information security responsibilities - id: pe-2.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-02(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-2.3 class: SP800-53-enhancement title: Restrict Unescorted Access params: - id: pe-02.03_odp.01 props: - name: alt-identifier value: pe-2.3_prm_1 - name: label value: PE-02(03)_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - security clearances for all information contained within the system - formal access authorizations for all information contained within the system - need for access to all information contained within the system - '{{ insert: param, pe-02.03_odp.02 }} ' - id: pe-02.03_odp.02 props: - name: alt-identifier value: pe-2.3_prm_2 - name: label value: PE-02(03)_ODP[02] class: sp800-53a label: physical access authorizations guidelines: - prose: physical access authorizations for unescorted access to the facility where the system resides are defined (if selected); props: - name: label value: PE-02(03) class: zero-padded - name: label value: PE-2(3) - name: label value: PE-02(03) class: sp800-53a - name: sort-id value: pe-02.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-2' rel: required - href: '#ps-2' rel: related - href: '#ps-6' rel: related parts: - id: pe-2.3_smt name: statement prose: 'Restrict unescorted access to the facility where the system resides to personnel with {{ insert: param, pe-02.03_odp.01 }}.' - id: pe-2.3_gdn name: guidance prose: Individuals without required security clearances, access approvals, or need to know are escorted by individuals with appropriate physical access authorizations to ensure that information is not exposed or otherwise compromised. - id: pe-2.3_obj name: assessment-objective props: - name: label value: PE-02(03) class: sp800-53a prose: 'unescorted access to the facility where the system resides is restricted to personnel with {{ insert: param, pe-02.03_odp.01 }}.' links: - href: '#pe-2.3_smt' rel: assessment-for - id: pe-2.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-02(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing physical access authorizations authorized personnel access list security clearances access authorizations access credentials physical access control logs or records system security plan other relevant documents or records - id: pe-2.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-02(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with physical access authorization responsibilities organizational personnel with physical access to the system facility organizational personnel with information security responsibilities - id: pe-2.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-02(03)-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 select: how-many: one-or-more choice: - '{{ insert: param, pe-03_odp.03 }} ' - 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 guidelines: - prose: circumstances requiring visitor escorts and control of visitor activity are defined; - id: pe-03_odp.07 props: - name: alt-identifier value: pe-3_prm_7 - name: label value: PE-03_ODP[07] class: sp800-53a label: physical access devices guidelines: - prose: physical access devices to be inventoried are defined; - id: pe-03_odp.08 props: - name: alt-identifier value: pe-3_prm_8 - name: label value: PE-03_ODP[08] class: sp800-53a label: frequency 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 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 guidelines: - prose: frequency at which to change keys is defined; props: - 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: '#au-13' rel: related - href: '#cp-10' rel: related - href: '#ia-3' rel: related - href: '#ia-8' rel: related - href: '#ma-5' rel: related - href: '#mp-2' rel: related - href: '#mp-4' rel: related - href: '#pe-2' rel: related - href: '#pe-4' rel: related - href: '#pe-5' rel: related - href: '#pe-8' rel: related - href: '#ps-2' rel: related - href: '#ps-3' rel: related - href: '#ps-6' rel: related - href: '#ps-7' rel: related - href: '#ra-3' rel: related - href: '#sc-28' rel: related - href: '#si-4' rel: related - href: '#sr-3' rel: related parts: - id: pe-3_smt name: statement parts: - id: pe-3_smt.a name: item props: - name: 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: 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: 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: 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: label value: e. prose: Secure keys, combinations, and other physical access devices; - id: pe-3_smt.f name: item props: - 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: label value: PE-03g.[02] class: sp800-53a prose: 'keys are changed {{ insert: param, pe-03_odp.10 }} , when keys are lost, or when individuals possessing the keys are transferred or terminated.' links: - href: '#pe-3_smt.g' rel: assessment-for links: - href: '#pe-3_smt.g' rel: assessment-for links: - href: '#pe-3_smt' rel: assessment-for - id: pe-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-03-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing physical access control physical access control logs or records inventory records of physical access control devices system entry and exit points records of key and lock combination changes storage locations for physical access control devices physical access control devices list of security safeguards controlling access to designated publicly accessible areas within facility system security plan other relevant documents or records - id: pe-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-03-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities - id: pe-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-03-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for physical access control mechanisms supporting and/or implementing physical access control physical access control devices controls: - id: pe-3.1 class: SP800-53-enhancement title: System Access params: - id: pe-03.01_odp props: - name: alt-identifier value: pe-3.1_prm_1 - name: alt-label value: physical spaces containing one or more components of the system class: sp800-53 - name: label value: PE-03(01)_ODP class: sp800-53a label: physical spaces guidelines: - prose: physical spaces containing one or more components of the system are defined; props: - name: label value: PE-03(01) class: zero-padded - name: label value: PE-3(1) - name: label value: PE-03(01) class: sp800-53a - name: sort-id value: pe-03.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-3' rel: required parts: - id: pe-3.1_smt name: statement prose: 'Enforce physical access authorizations to the system in addition to the physical access controls for the facility at {{ insert: param, pe-03.01_odp }}.' - id: pe-3.1_gdn name: guidance prose: Control of physical access to the system provides additional physical security for those areas within facilities where there is a concentration of system components. - id: pe-3.1_obj name: assessment-objective props: - name: label value: PE-03(01) class: sp800-53a parts: - id: pe-3.1_obj-1 name: assessment-objective props: - name: label value: PE-03(01)[01] class: sp800-53a prose: physical access authorizations to the system are enforced; links: - href: '#pe-3.1_smt' rel: assessment-for - id: pe-3.1_obj.2 name: assessment-objective props: - name: label value: PE-03(01)[02] class: sp800-53a prose: 'physical access controls are enforced for the facility at {{ insert: param, pe-03.01_odp }}.' links: - href: '#pe-3.1_smt' rel: assessment-for links: - href: '#pe-3.1_smt' rel: assessment-for - id: pe-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing physical access control physical access control logs or records physical access control devices access authorizations access credentials system entry and exit points list of areas within the facility containing concentrations of system components or system components requiring additional physical protection system security plan other relevant documents or records - id: pe-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with physical access authorization responsibilities organizational personnel with information security responsibilities - id: pe-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-03(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for physical access control to the information system/components mechanisms supporting and/or implementing physical access control for facility areas containing system components - id: pe-3.2 class: SP800-53-enhancement title: Facility and Systems params: - id: pe-03.02_odp props: - name: alt-identifier value: pe-3.2_prm_1 - name: label value: PE-03(02)_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency at which to perform security checks at the physical perimeter of the facility or system for exfiltration of information or removal of system components is defined; props: - name: label value: PE-03(02) class: zero-padded - name: label value: PE-3(2) - name: label value: PE-03(02) class: sp800-53a - name: sort-id value: pe-03.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-3' rel: required - href: '#ac-4' rel: related - href: '#sc-7' rel: related parts: - id: pe-3.2_smt name: statement prose: 'Perform security checks {{ insert: param, pe-03.02_odp }} at the physical perimeter of the facility or system for exfiltration of information or removal of system components.' - id: pe-3.2_gdn name: guidance prose: Organizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration. - id: pe-3.2_obj name: assessment-objective props: - name: label value: PE-03(02) class: sp800-53a prose: 'security checks are performed {{ insert: param, pe-03.02_odp }} at the physical perimeter of the facility or system for exfiltration of information or removal of system components.' links: - href: '#pe-3.2_smt' rel: assessment-for - id: pe-3.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-03(02)-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 records of security checks security audit reports security inspection reports facility layout documentation system entry and exit points system security plan other relevant documents or records - id: pe-3.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-03(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities - id: pe-3.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-03(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for physical access control to the facility and/or system mechanisms supporting and/or implementing physical access control for the facility or system mechanisms supporting and/or implementing security checks for the unauthorized exfiltration of information - id: pe-3.3 class: SP800-53-enhancement title: Continuous Guards params: - id: pe-03.03_odp props: - name: alt-identifier value: pe-3.3_prm_1 - name: label value: PE-03(03)_ODP class: sp800-53a label: physical access points guidelines: - prose: physical access points to the facility where the system resides are defined; props: - name: label value: PE-03(03) class: zero-padded - name: label value: PE-3(3) - name: label value: PE-03(03) class: sp800-53a - name: sort-id value: pe-03.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-3' rel: required - href: '#cp-6' rel: related - href: '#cp-7' rel: related - href: '#pe-6' rel: related parts: - id: pe-3.3_smt name: statement prose: 'Employ guards to control {{ insert: param, pe-03.03_odp }} to the facility where the system resides 24 hours per day, 7 days per week.' - id: pe-3.3_gdn name: guidance prose: Employing guards at selected physical access points to the facility provides a more rapid response capability for organizations. Guards also provide the opportunity for human surveillance in areas of the facility not covered by video surveillance. - id: pe-3.3_obj name: assessment-objective props: - name: label value: PE-03(03) class: sp800-53a prose: 'guards are employed to control {{ insert: param, pe-03.03_odp }} to the facility where the system resides 24 hours per day, 7 days per week.' links: - href: '#pe-3.3_smt' rel: assessment-for - id: pe-3.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-03(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 physical access control devices facility surveillance records facility layout documentation system entry and exit points system security plan other relevant documents or records - id: pe-3.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-03(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-3.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-03(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for physical access control to the facility where the system resides mechanisms supporting and/or implementing physical access control for the facility where the system resides - id: pe-3.4 class: SP800-53-enhancement title: Lockable Casings params: - id: pe-03.04_odp props: - name: alt-identifier value: pe-3.4_prm_1 - name: label value: PE-03(04)_ODP class: sp800-53a label: system components guidelines: - prose: system components to be protected from unauthorized physical access are defined; props: - name: label value: PE-03(04) class: zero-padded - name: label value: PE-3(4) - name: label value: PE-03(04) class: sp800-53a - name: sort-id value: pe-03.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-3' rel: required parts: - id: pe-3.4_smt name: statement prose: 'Use lockable physical casings to protect {{ insert: param, pe-03.04_odp }} from unauthorized physical access.' - id: pe-3.4_gdn name: guidance prose: The greatest risk from the use of portable devices—such as smart phones, tablets, and notebook computers—is theft. Organizations can employ lockable, physical casings to reduce or eliminate the risk of equipment theft. Such casings come in a variety of sizes, from units that protect a single notebook computer to full cabinets that can protect multiple servers, computers, and peripherals. Lockable physical casings can be used in conjunction with cable locks or lockdown plates to prevent the theft of the locked casing containing the computer equipment. - id: pe-3.4_obj name: assessment-objective props: - name: label value: PE-03(04) class: sp800-53a prose: 'lockable physical casings are used to protect {{ insert: param, pe-03.04_odp }} from unauthorized access.' links: - href: '#pe-3.4_smt' rel: assessment-for - id: pe-3.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-03(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing physical access control list of system components requiring protection through lockable physical casings lockable physical casings system security plan other relevant documents or records - id: pe-3.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-03(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities - id: pe-3.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-03(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Lockable physical casings - id: pe-3.5 class: SP800-53-enhancement title: Tamper Protection params: - id: pe-03.05_odp.01 props: - name: alt-identifier value: pe-3.5_prm_1 - name: label value: PE-03(05)_ODP[01] class: sp800-53a label: anti-tamper technologies guidelines: - prose: anti-tamper technologies to be employed are defined; - id: pe-03.05_odp.02 props: - name: alt-identifier value: pe-3.5_prm_2 - name: label value: PE-03(05)_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - detect - prevent - id: pe-03.05_odp.03 props: - name: alt-identifier value: pe-3.5_prm_3 - name: label value: PE-03(05)_ODP[03] class: sp800-53a label: hardware components guidelines: - prose: hardware components to be protected from physical tampering or alteration are defined; props: - name: label value: PE-03(05) class: zero-padded - name: label value: PE-3(5) - name: label value: PE-03(05) class: sp800-53a - name: sort-id value: pe-03.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-3' rel: required - href: '#sa-16' rel: related - href: '#sr-9' rel: related - href: '#sr-11' rel: related parts: - id: pe-3.5_smt name: statement prose: 'Employ {{ insert: param, pe-03.05_odp.01 }} to {{ insert: param, pe-03.05_odp.02 }} physical tampering or alteration of {{ insert: param, pe-03.05_odp.03 }} within the system.' - id: pe-3.5_gdn name: guidance prose: Organizations can implement tamper detection and prevention at selected hardware components or implement tamper detection at some components and tamper prevention at other components. Detection and prevention activities can employ many types of anti-tamper technologies, including tamper-detection seals and anti-tamper coatings. Anti-tamper programs help to detect hardware alterations through counterfeiting and other supply chain-related risks. - id: pe-3.5_obj name: assessment-objective props: - name: label value: PE-03(05) class: sp800-53a prose: '{{ insert: param, pe-03.05_odp.01 }} are employed to {{ insert: param, pe-03.05_odp.02 }} physical tampering or alteration of {{ insert: param, pe-03.05_odp.03 }} within the system.' links: - href: '#pe-3.5_smt' rel: assessment-for - id: pe-3.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-03(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing physical access control list of security safeguards to detect/prevent physical tampering or alteration of system hardware components system security plan other relevant documents or records - id: pe-3.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-03(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities - id: pe-3.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-03(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes to detect/prevent physical tampering or alteration of system hardware components mechanisms/security safeguards supporting and/or implementing the detection/prevention of physical tampering/alternation of system hardware components - id: pe-3.6 class: SP800-53-enhancement title: Facility Penetration Testing props: - name: label value: PE-03(06) class: zero-padded - name: label value: PE-3(6) - name: label value: PE-03(06) class: sp800-53a - name: sort-id value: pe-03.06 - name: status value: withdrawn links: - href: '#ca-8' rel: incorporated-into - id: pe-3.7 class: SP800-53-enhancement title: Physical Barriers props: - name: label value: PE-03(07) class: zero-padded - name: label value: PE-3(7) - name: label value: PE-03(07) class: sp800-53a - name: sort-id value: pe-03.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-3' rel: required parts: - id: pe-3.7_smt name: statement prose: Limit access using physical barriers. - id: pe-3.7_gdn name: guidance prose: Physical barriers include bollards, concrete slabs, jersey walls, and hydraulic active vehicle barriers. - id: pe-3.7_obj name: assessment-objective props: - name: label value: PE-03(07) class: sp800-53a prose: physical barriers are used to limit access. links: - href: '#pe-3.7_smt' rel: assessment-for - id: pe-3.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-03(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing physical access control list of physical barriers to limit access to the system system security plan other relevant documents or records - id: pe-3.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-03(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities - id: pe-3.8 class: SP800-53-enhancement title: Access Control Vestibules params: - id: pe-03.08_odp props: - name: alt-identifier value: pe-3.8_prm_1 - name: alt-label value: locations within the facility class: sp800-53 - name: label value: PE-03(08)_ODP class: sp800-53a label: locations guidelines: - prose: locations within the facility where access control vestibules are to be employed are defined; props: - name: label value: PE-03(08) class: zero-padded - name: label value: PE-3(8) - name: label value: PE-03(08) class: sp800-53a - name: sort-id value: pe-03.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-3' rel: required parts: - id: pe-3.8_smt name: statement prose: 'Employ access control vestibules at {{ insert: param, pe-03.08_odp }}.' - id: pe-3.8_gdn name: guidance prose: An access control vestibule is part of a physical access control system that typically provides a space between two sets of interlocking doors. Vestibules are designed to prevent unauthorized individuals from following authorized individuals into facilities with controlled access. This activity, also known as piggybacking or tailgating, results in unauthorized access to the facility. Interlocking door controllers can be used to limit the number of individuals who enter controlled access points and to provide containment areas while authorization for physical access is verified. Interlocking door controllers can be fully automated (i.e., controlling the opening and closing of the doors) or partially automated (i.e., using security guards to control the number of individuals entering the containment area). - id: pe-3.8_obj name: assessment-objective props: - name: label value: PE-03(08) class: sp800-53a prose: 'access control vestibules are employed at {{ insert: param, pe-03.08_odp }}.' links: - href: '#pe-3.8_smt' rel: assessment-for - id: pe-3.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-03(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing physical access control list of access control vestibules and locations system security plan other relevant documents or records - id: pe-3.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-03(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities - id: pe-3.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-03(08)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for vestibules to prevent unauthorized access. - id: pe-4 class: SP800-53 title: Access Control for Transmission params: - id: pe-04_odp.01 props: - name: alt-identifier value: pe-4_prm_1 - name: label value: PE-04_ODP[01] class: sp800-53a label: system distribution and transmission lines guidelines: - prose: system distribution and transmission lines requiring physical access controls are defined; - id: pe-04_odp.02 props: - name: alt-identifier value: pe-4_prm_2 - name: label value: PE-04_ODP[02] class: sp800-53a label: security controls guidelines: - prose: security controls to be implemented to control physical access to system distribution and transmission lines within the organizational facility are defined; props: - name: label value: PE-04 class: zero-padded - name: label value: PE-4 - name: label value: PE-04 class: sp800-53a - name: sort-id value: pe-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#at-3' rel: related - href: '#ia-4' rel: related - href: '#mp-2' rel: related - href: '#mp-4' rel: related - href: '#pe-2' rel: related - href: '#pe-3' rel: related - href: '#pe-5' rel: related - href: '#pe-9' rel: related - href: '#sc-7' rel: related - href: '#sc-8' rel: related parts: - id: pe-4_smt name: statement prose: 'Control physical access to {{ insert: param, pe-04_odp.01 }} within organizational facilities using {{ insert: param, pe-04_odp.02 }}.' - id: pe-4_gdn name: guidance prose: Security controls applied to system distribution and transmission lines prevent accidental damage, disruption, and physical tampering. Such controls may also be necessary to prevent eavesdropping or modification of unencrypted transmissions. Security controls used to control physical access to system distribution and transmission lines include disconnected or locked spare jacks, locked wiring closets, protection of cabling by conduit or cable trays, and wiretapping sensors. - id: pe-4_obj name: assessment-objective props: - name: label value: PE-04 class: sp800-53a prose: 'physical access to {{ insert: param, pe-04_odp.01 }} within organizational facilities is controlled using {{ insert: param, pe-04_odp.02 }}.' links: - href: '#pe-4_smt' rel: assessment-for - id: pe-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-04-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing access control for transmission mediums system design documentation facility communications and wiring diagrams list of physical security safeguards applied to system distribution and transmission lines system security plan other relevant documents or records - id: pe-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-04-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities - id: pe-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-04-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for access control to distribution and transmission lines mechanisms/security safeguards supporting and/or implementing access control to distribution and transmission lines - id: pe-5 class: SP800-53 title: Access Control for Output Devices params: - id: pe-05_odp props: - name: alt-identifier value: pe-5_prm_1 - name: label value: PE-05_ODP class: sp800-53a label: output devices guidelines: - prose: output devices that require physical access control to output are defined; props: - name: label value: PE-05 class: zero-padded - name: label value: PE-5 - name: label value: PE-05 class: sp800-53a - name: sort-id value: pe-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#4c501da5-9d79-4cb6-ba80-97260e1ce327' rel: reference - href: '#pe-2' rel: related - href: '#pe-3' rel: related - href: '#pe-4' rel: related - href: '#pe-18' rel: related parts: - id: pe-5_smt name: statement prose: 'Control physical access to output from {{ insert: param, pe-05_odp }} to prevent unauthorized individuals from obtaining the output.' - id: pe-5_gdn name: guidance prose: Controlling physical access to output devices includes placing output devices in locked rooms or other secured areas with keypad or card reader access controls and allowing access to authorized individuals only, placing output devices in locations that can be monitored by personnel, installing monitor or screen filters, and using headphones. Examples of output devices include monitors, printers, scanners, audio devices, facsimile machines, and copiers. - id: pe-5_obj name: assessment-objective props: - name: label value: PE-05 class: sp800-53a prose: 'physical access to output from {{ insert: param, pe-05_odp }} is controlled to prevent unauthorized individuals from obtaining the output.' links: - href: '#pe-5_smt' rel: assessment-for - id: pe-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-05-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing access control for display medium facility layout of system components actual displays from system components list of output devices and associated outputs requiring physical access controls physical access control logs or records for areas containing output devices and related outputs system security plan other relevant documents or records - id: pe-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-05-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities - id: pe-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-05-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for access control to output devices mechanisms supporting and/or implementing access control to output devices controls: - id: pe-5.1 class: SP800-53-enhancement title: Access to Output by Authorized Individuals props: - name: label value: PE-05(01) class: zero-padded - name: label value: PE-5(1) - name: label value: PE-05(01) class: sp800-53a - name: sort-id value: pe-05.01 - name: status value: withdrawn links: - href: '#pe-5' rel: incorporated-into - id: pe-5.2 class: SP800-53-enhancement title: Link to Individual Identity props: - name: label value: PE-05(02) class: zero-padded - name: label value: PE-5(2) - name: label value: PE-05(02) class: sp800-53a - name: sort-id value: pe-05.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#pe-5' rel: required parts: - id: pe-5.2_smt name: statement prose: Link individual identity to receipt of output from output devices. - id: pe-5.2_gdn name: guidance prose: Methods for linking individual identity to the receipt of output from output devices include installing security functionality on facsimile machines, copiers, and printers. Such functionality allows organizations to implement authentication on output devices prior to the release of output to individuals. - id: pe-5.2_obj name: assessment-objective props: - name: label value: PE-05(02) class: sp800-53a prose: individual identity is linked to the receipt of output from output devices. links: - href: '#pe-5.2_smt' rel: assessment-for - id: pe-5.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-05(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing physical access control system design documentation system configuration settings and associated documentation list of output devices and associated outputs requiring physical access controls physical access control logs or records for areas containing output devices and related outputs system audit records system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: pe-5.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-05(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with physical access control responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers - id: pe-5.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-05(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for access control to output devices mechanisms supporting and/or implementing access control to output devices - id: pe-5.3 class: SP800-53-enhancement title: Marking Output Devices props: - name: label value: PE-05(03) class: zero-padded - name: label value: PE-5(3) - name: label value: PE-05(03) class: sp800-53a - name: sort-id value: pe-05.03 - name: status value: withdrawn links: - href: '#pe-22' rel: incorporated-into - 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 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: 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: 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: 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: 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: 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: 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: 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: label value: PE-06c.[02] class: sp800-53a prose: results of investigations are coordinated with organizational incident response capabilities. links: - href: '#pe-6_smt.c' rel: assessment-for links: - href: '#pe-6_smt.c' rel: assessment-for links: - href: '#pe-6_smt' rel: assessment-for - id: pe-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-06-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing physical access monitoring physical access logs or records physical access monitoring records physical access log reviews system security plan other relevant documents or records - id: pe-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-06-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with physical access monitoring responsibilities organizational personnel with incident response responsibilities organizational personnel with information security responsibilities - id: pe-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-06-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring physical access mechanisms supporting and/or implementing physical access monitoring mechanisms supporting and/or implementing the review of physical access logs controls: - id: pe-6.1 class: SP800-53-enhancement title: Intrusion Alarms and Surveillance Equipment props: - name: label value: PE-06(01) class: zero-padded - name: label value: PE-6(1) - name: label value: PE-06(01) class: sp800-53a - name: sort-id value: pe-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#pe-6' rel: required parts: - id: pe-6.1_smt name: statement prose: Monitor physical access to the facility where the system resides using physical intrusion alarms and surveillance equipment. - id: pe-6.1_gdn name: guidance prose: Physical intrusion alarms can be employed to alert security personnel when unauthorized access to the facility is attempted. Alarm systems work in conjunction with physical barriers, physical access control systems, and security guards by triggering a response when these other forms of security have been compromised or breached. Physical intrusion alarms can include different types of sensor devices, such as motion sensors, contact sensors, and broken glass sensors. Surveillance equipment includes video cameras installed at strategic locations throughout the facility. - id: pe-6.1_obj name: assessment-objective props: - name: label value: PE-06(01) class: sp800-53a parts: - id: pe-6.1_obj-1 name: assessment-objective props: - name: label value: PE-06(01)[01] class: sp800-53a prose: physical access to the facility where the system resides is monitored using physical intrusion alarms; links: - href: '#pe-6.1_smt' rel: assessment-for - id: pe-6.1_obj-2 name: assessment-objective props: - name: label value: PE-06(01)[02] class: sp800-53a prose: physical access to the facility where the system resides is monitored using physical surveillance equipment. links: - href: '#pe-6.1_smt' rel: assessment-for links: - href: '#pe-6.1_smt' rel: assessment-for - id: pe-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-06(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing physical access monitoring physical access logs or records physical access monitoring records physical access log reviews system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: pe-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-06(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with physical access monitoring responsibilities organizational personnel with incident response responsibilities organizational personnel with information security and privacy responsibilities - id: pe-6.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-06(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring physical intrusion alarms and surveillance equipment mechanisms supporting and/or implementing physical access monitoring mechanisms supporting and/or implementing physical intrusion alarms and surveillance equipment - id: pe-6.2 class: SP800-53-enhancement title: Automated Intrusion Recognition and Responses params: - id: pe-06.02_odp.01 props: - name: alt-identifier value: pe-6.2_prm_1 - name: label value: PE-06(02)_ODP[01] class: sp800-53a label: classes or types of intrusions guidelines: - prose: classes or types of intrusions to be recognized by automated mechanisms are defined; - id: pe-06.02_odp.02 props: - name: alt-identifier value: pe-6.2_prm_2 - name: label value: PE-06(02)_ODP[02] class: sp800-53a label: response actions guidelines: - prose: response actions to be initiated by automated mechanisms when organization-defined classes or types of intrusions are recognized are defined; - id: pe-06.02_odp.03 props: - name: alt-identifier value: pe-6.2_prm_3 - name: label value: PE-06(02)_ODP[03] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to recognize classes or types of intrusions and initiate response actions (defined in [PE-06(02)_ODP](#pe-06.02_odp.02)) are defined; props: - name: label value: PE-06(02) class: zero-padded - name: label value: PE-6(2) - name: label value: PE-06(02) class: sp800-53a - name: sort-id value: pe-06.02 - 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: '#pe-6' rel: required - href: '#si-4' rel: related parts: - id: pe-6.2_smt name: statement prose: 'Recognize {{ insert: param, pe-06.02_odp.01 }} and initiate {{ insert: param, pe-06.02_odp.02 }} using {{ insert: param, pe-06.02_odp.03 }}.' - id: pe-6.2_gdn name: guidance prose: Response actions can include notifying selected organizational personnel or law enforcement personnel. Automated mechanisms implemented to initiate response actions include system alert notifications, email and text messages, and activating door locking mechanisms. Physical access monitoring can be coordinated with intrusion detection systems and system monitoring capabilities to provide integrated threat coverage for the organization. - id: pe-6.2_obj name: assessment-objective props: - name: label value: PE-06(02) class: sp800-53a parts: - id: pe-6.2_obj-1 name: assessment-objective props: - name: label value: PE-06(02)[01] class: sp800-53a prose: '{{ insert: param, pe-06.02_odp.01 }} are recognized;' links: - href: '#pe-6.2_smt' rel: assessment-for - id: pe-6.2_obj-2 name: assessment-objective props: - name: label value: PE-06(02)[02] class: sp800-53a prose: '{{ insert: param, pe-06.02_odp.02 }} are initiated using {{ insert: param, pe-06.02_odp.03 }}.' links: - href: '#pe-6.2_smt' rel: assessment-for links: - href: '#pe-6.2_smt' rel: assessment-for - id: pe-6.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-06(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing physical access monitoring system design documentation system configuration settings and associated documentation system audit records list of response actions to be initiated when specific classes/types of intrusions are recognized system security plan privacy plan other relevant documents or records - id: pe-6.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-06(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with physical access monitoring responsibilities organizational personnel with information security and privacy responsibilities - id: pe-6.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-06(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring physical access automated mechanisms supporting and/or implementing physical access monitoring automated mechanisms supporting and/or implementing recognition of classes/types of intrusions and initiation of a response - id: pe-6.3 class: SP800-53-enhancement title: Video Surveillance params: - id: pe-06.03_odp.01 props: - name: alt-identifier value: pe-6.3_prm_1 - name: label value: PE-06(03)_ODP[01] class: sp800-53a label: operational areas guidelines: - prose: operational areas where video surveillance is to be employed are defined; - id: pe-06.03_odp.02 props: - name: alt-identifier value: pe-6.3_prm_2 - name: label value: PE-06(03)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: frequency at which to review video recordings is defined; - id: pe-06.03_odp.03 props: - name: alt-identifier value: pe-6.3_prm_3 - name: label value: PE-06(03)_ODP[03] class: sp800-53a label: time period guidelines: - prose: time period for which to retain video recordings is defined; props: - name: label value: PE-06(03) class: zero-padded - name: label value: PE-6(3) - name: label value: PE-06(03) class: sp800-53a - name: sort-id value: pe-06.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#pe-6' rel: required parts: - id: pe-6.3_smt name: statement parts: - id: pe-6.3_smt.a name: item props: - name: label value: (a) prose: 'Employ video surveillance of {{ insert: param, pe-06.03_odp.01 }};' - id: pe-6.3_smt.b name: item props: - name: label value: (b) prose: 'Review video recordings {{ insert: param, pe-06.03_odp.02 }} ; and' - id: pe-6.3_smt.c name: item props: - name: label value: (c) prose: 'Retain video recordings for {{ insert: param, pe-06.03_odp.03 }}.' - id: pe-6.3_gdn name: guidance prose: Video surveillance focuses on recording activity in specified areas for the purposes of subsequent review, if circumstances so warrant. Video recordings are typically reviewed to detect anomalous events or incidents. Monitoring the surveillance video is not required, although organizations may choose to do so. There may be legal considerations when performing and retaining video surveillance, especially if such surveillance is in a public location. - id: pe-6.3_obj name: assessment-objective props: - name: label value: PE-06(03) class: sp800-53a parts: - id: pe-6.3_obj.a name: assessment-objective props: - name: label value: PE-06(03)(a) class: sp800-53a prose: 'video surveillance of {{ insert: param, pe-06.03_odp.01 }} is employed;' links: - href: '#pe-6.3_smt.a' rel: assessment-for - id: pe-6.3_obj.b name: assessment-objective props: - name: label value: PE-06(03)(b) class: sp800-53a prose: 'video recordings are reviewed {{ insert: param, pe-06.03_odp.02 }};' links: - href: '#pe-6.3_smt.b' rel: assessment-for - id: pe-6.3_obj.c name: assessment-objective props: - name: label value: PE-06(03)(c) class: sp800-53a prose: 'video recordings are retained for {{ insert: param, pe-06.03_odp.03 }}.' links: - href: '#pe-6.3_smt.c' rel: assessment-for links: - href: '#pe-6.3_smt' rel: assessment-for - id: pe-6.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-06(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing physical access monitoring video surveillance equipment used to monitor operational areas video recordings of operational areas where video surveillance is employed video surveillance equipment logs or records system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: pe-6.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-06(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with physical access monitoring responsibilities organizational personnel with information security and privacy responsibilities - id: pe-6.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-06(03)-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 video surveillance - id: pe-6.4 class: SP800-53-enhancement title: Monitoring Physical Access to Systems params: - id: pe-06.04_odp props: - name: alt-identifier value: pe-6.4_prm_1 - name: alt-label value: physical spaces containing one or more components of the system class: sp800-53 - name: label value: PE-06(04)_ODP class: sp800-53a label: physical spaces guidelines: - prose: physical spaces containing one or more components of the system are defined; props: - name: label value: PE-06(04) class: zero-padded - name: label value: PE-6(4) - name: label value: PE-06(04) class: sp800-53a - name: sort-id value: pe-06.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#pe-6' rel: required parts: - id: pe-6.4_smt name: statement prose: 'Monitor physical access to the system in addition to the physical access monitoring of the facility at {{ insert: param, pe-06.04_odp }}.' - id: pe-6.4_gdn name: guidance prose: Monitoring physical access to systems provides additional monitoring for those areas within facilities where there is a concentration of system components, including server rooms, media storage areas, and communications centers. Physical access monitoring can be coordinated with intrusion detection systems and system monitoring capabilities to provide comprehensive and integrated threat coverage for the organization. - id: pe-6.4_obj name: assessment-objective props: - name: label value: PE-06(04) class: sp800-53a prose: 'physical access to the system is monitored in addition to the physical access monitoring of the facility at {{ insert: param, pe-06.04_odp }}.' links: - href: '#pe-6.4_smt' rel: assessment-for - id: pe-6.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-06(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing physical access monitoring physical access control logs or records physical access control devices access authorizations access credentials list of areas within the facility containing concentrations of system components or system components requiring additional physical access monitoring system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: pe-6.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-06(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with physical access monitoring responsibilities organizational personnel with information security and privacy responsibilities - id: pe-6.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-06(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring physical access to the system mechanisms supporting and/or implementing physical access monitoring for facility areas containing system components - id: pe-7 class: SP800-53 title: Visitor Control props: - name: label value: PE-07 class: zero-padded - name: label value: PE-7 - name: label value: PE-07 class: sp800-53a - name: sort-id value: pe-07 - name: status value: withdrawn links: - href: '#pe-2' rel: incorporated-into - href: '#pe-3' rel: incorporated-into - 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 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 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: 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: label value: b. prose: 'Review visitor access records {{ insert: param, pe-08_odp.02 }} ; and' - id: pe-8_smt.c name: item props: - 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: 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: 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: label value: PE-08c. class: sp800-53a prose: 'visitor access records anomalies are reported to {{ insert: param, pe-08_odp.03 }}.' links: - href: '#pe-8_smt.c' rel: assessment-for links: - href: '#pe-8_smt' rel: assessment-for - id: pe-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-08-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing visitor access records visitor access control logs or records visitor access record or log reviews system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: pe-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-08-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with visitor access record responsibilities organizational personnel with information security and privacy responsibilities - id: pe-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-08-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for maintaining and reviewing visitor access records mechanisms supporting and/or implementing the maintenance and review of visitor access records controls: - id: pe-8.1 class: SP800-53-enhancement title: Automated Records Maintenance and Review params: - id: pe-8.1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pe-08.01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pe-08.01_odp.02 label: organization-defined automated mechanisms - id: pe-08.01_odp.01 props: - name: label value: PE-08(01)_ODP[01] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to maintain visitor access records are defined; - id: pe-08.01_odp.02 props: - name: label value: PE-08(01)_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to review visitor access records are defined; props: - name: label value: PE-08(01) class: zero-padded - name: label value: PE-8(1) - name: label value: PE-08(01) class: sp800-53a - name: sort-id value: pe-08.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-8' rel: required parts: - id: pe-8.1_smt name: statement prose: 'Maintain and review visitor access records using {{ insert: param, pe-8.1_prm_1 }}.' - id: pe-8.1_gdn name: guidance prose: Visitor access records may be stored and maintained in a database management system that is accessible by organizational personnel. Automated access to such records facilitates record reviews on a regular basis to determine if access authorizations are current and still required to support organizational mission and business functions. - id: pe-8.1_obj name: assessment-objective props: - name: label value: PE-08(01) class: sp800-53a parts: - id: pe-8.1_obj-1 name: assessment-objective props: - name: label value: PE-08(01)[01] class: sp800-53a prose: 'visitor access records are maintained using {{ insert: param, pe-08.01_odp.01 }};' links: - href: '#pe-8.1_smt' rel: assessment-for - id: pe-8.1_obj-2 name: assessment-objective props: - name: label value: PE-08(01)[02] class: sp800-53a prose: 'visitor access records are reviewed using {{ insert: param, pe-08.01_odp.02 }}.' links: - href: '#pe-8.1_smt' rel: assessment-for links: - href: '#pe-8.1_smt' rel: assessment-for - id: pe-8.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-08(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing visitor access records automated mechanisms supporting management of visitor access records visitor access control logs or records system security plan privacy plan other relevant documents or records - id: pe-8.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-08(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with visitor access record responsibilities organizational personnel with information security and privacy responsibilities - id: pe-8.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-08(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for maintaining and reviewing visitor access records automated mechanisms supporting and/or implementing the maintenance and review of visitor access records - id: pe-8.2 class: SP800-53-enhancement title: Physical Access Records props: - name: label value: PE-08(02) class: zero-padded - name: label value: PE-8(2) - name: label value: PE-08(02) class: sp800-53a - name: sort-id value: pe-08.02 - name: status value: withdrawn links: - href: '#pe-2' rel: incorporated-into - id: pe-8.3 class: SP800-53-enhancement title: Limit Personally Identifiable Information Elements params: - id: pe-08.03_odp props: - name: alt-identifier value: pe-8.3_prm_1 - name: label value: PE-08(03)_ODP class: sp800-53a label: elements guidelines: - prose: elements identified in the privacy risk assessment to limit personally identifiable information contained in visitor access logs are defined; props: - name: label value: PE-08(03) class: zero-padded - name: label value: PE-8(3) - name: label value: PE-08(03) class: sp800-53a - name: sort-id value: pe-08.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-8' rel: required - href: '#ra-3' rel: related - href: '#sa-8' rel: related parts: - id: pe-8.3_smt name: statement prose: 'Limit personally identifiable information contained in visitor access records to the following elements identified in the privacy risk assessment: {{ insert: param, pe-08.03_odp }}.' - id: pe-8.3_gdn name: guidance prose: Organizations may have requirements that specify the contents of visitor access records. Limiting personally identifiable information in visitor access records when such information is not needed for operational purposes helps reduce the level of privacy risk created by a system. - id: pe-8.3_obj name: assessment-objective props: - name: label value: PE-08(03) class: sp800-53a prose: 'personally identifiable information contained in visitor access records is limited to {{ insert: param, pe-08.03_odp }} identified in the privacy risk assessment.' links: - href: '#pe-8.3_smt' rel: assessment-for - id: pe-8.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-08(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy personally identifiable information processing policy privacy risk assessment documentation privacy impact assessment visitor access records personally identifiable information inventory system security plan privacy plan other relevant documents or records - id: pe-8.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-08(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with visitor access records responsibilities organizational personnel with information security and privacy responsibilities - id: pe-8.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-08(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for maintaining and reviewing visitor access records - id: pe-9 class: SP800-53 title: Power Equipment and Cabling props: - name: label value: PE-09 class: zero-padded - name: label value: PE-9 - name: label value: PE-09 class: sp800-53a - name: sort-id value: pe-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-4' rel: related parts: - id: pe-9_smt name: statement prose: Protect power equipment and power cabling for the system from damage and destruction. - id: pe-9_gdn name: guidance prose: Organizations determine the types of protection necessary for the power equipment and cabling employed at different locations that are both internal and external to organizational facilities and environments of operation. Types of power equipment and cabling include internal cabling and uninterruptable power sources in offices or data centers, generators and power cabling outside of buildings, and power sources for self-contained components such as satellites, vehicles, and other deployable systems. - id: pe-9_obj name: assessment-objective props: - name: label value: PE-09 class: sp800-53a parts: - id: pe-9_obj-1 name: assessment-objective props: - name: label value: PE-09[01] class: sp800-53a prose: power equipment for the system is protected from damage and destruction; links: - href: '#pe-9_smt' rel: assessment-for - id: pe-9_obj-2 name: assessment-objective props: - name: label value: PE-09[02] class: sp800-53a prose: power cabling for the system is protected from damage and destruction. links: - href: '#pe-9_smt' rel: assessment-for links: - href: '#pe-9_smt' rel: assessment-for - id: pe-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-09-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing power equipment/cabling protection facilities housing power equipment/cabling system security plan other relevant documents or records - id: pe-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-09-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility to protect power equipment/cabling organizational personnel with information security responsibilities - id: pe-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-09-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the protection of power equipment/cabling controls: - id: pe-9.1 class: SP800-53-enhancement title: Redundant Cabling params: - id: pe-09.01_odp props: - name: alt-identifier value: pe-9.1_prm_1 - name: label value: PE-09(01)_ODP class: sp800-53a label: distance guidelines: - prose: distance by which redundant power cabling paths are to be physically separated is defined; props: - name: label value: PE-09(01) class: zero-padded - name: label value: PE-9(1) - name: label value: PE-09(01) class: sp800-53a - name: sort-id value: pe-09.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-9' rel: required parts: - id: pe-9.1_smt name: statement prose: 'Employ redundant power cabling paths that are physically separated by {{ insert: param, pe-09.01_odp }}.' - id: pe-9.1_gdn name: guidance prose: Physically separate and redundant power cables ensure that power continues to flow in the event that one of the cables is cut or otherwise damaged. - id: pe-9.1_obj name: assessment-objective props: - name: label value: PE-09(01) class: sp800-53a prose: 'redundant power cabling paths that are physically separated by {{ insert: param, pe-09.01_odp }} are employed.' links: - href: '#pe-9.1_smt' rel: assessment-for - id: pe-9.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-09(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing power equipment/cabling protection facilities housing power equipment/cabling system security plan other relevant documents or records - id: pe-9.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-09(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility to protect power equipment/cabling organizational personnel with information security responsibilities - id: pe-9.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-09(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the protection of power equipment/cabling - id: pe-9.2 class: SP800-53-enhancement title: Automatic Voltage Controls params: - id: pe-09.02_odp props: - name: alt-identifier value: pe-9.2_prm_1 - name: label value: PE-09(02)_ODP class: sp800-53a label: critical system components guidelines: - prose: the critical system components that require automatic voltage controls are defined; props: - name: label value: PE-09(02) class: zero-padded - name: label value: PE-9(2) - name: label value: PE-09(02) class: sp800-53a - name: sort-id value: pe-09.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-9' rel: required parts: - id: pe-9.2_smt name: statement prose: 'Employ automatic voltage controls for {{ insert: param, pe-09.02_odp }}.' - id: pe-9.2_gdn name: guidance prose: Automatic voltage controls can monitor and control voltage. Such controls include voltage regulators, voltage conditioners, and voltage stabilizers. - id: pe-9.2_obj name: assessment-objective props: - name: label value: PE-09(02) class: sp800-53a prose: 'automatic voltage controls for {{ insert: param, pe-09.02_odp }} are employed.' links: - href: '#pe-9.2_smt' rel: assessment-for - id: pe-9.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-09(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing voltage control security plan list of critical system components requiring automatic voltage controls automatic voltage control mechanisms and associated configurations system security plan other relevant documents or records - id: pe-9.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-09(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for environmental protection of system components organizational personnel with information security responsibilities - id: pe-9.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-09(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing automatic voltage controls - id: pe-10 class: SP800-53 title: Emergency Shutoff params: - id: pe-10_odp.01 props: - name: alt-identifier value: pe-10_prm_1 - name: label value: PE-10_ODP[01] class: sp800-53a label: system or individual system components guidelines: - prose: system or individual system components that require the capability to shut off power in emergency situations is/are defined; - id: pe-10_odp.02 props: - name: alt-identifier value: pe-10_prm_2 - name: alt-label value: location by system or system component class: sp800-53 - name: label value: PE-10_ODP[02] class: sp800-53a label: location guidelines: - prose: location of emergency shutoff switches or devices by system or system component is defined; props: - name: label value: PE-10 class: zero-padded - name: label value: PE-10 - name: label value: PE-10 class: sp800-53a - name: sort-id value: pe-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-15' rel: related parts: - id: pe-10_smt name: statement parts: - id: pe-10_smt.a name: item props: - name: label value: a. prose: 'Provide the capability of shutting off power to {{ insert: param, pe-10_odp.01 }} in emergency situations;' - id: pe-10_smt.b name: item props: - name: label value: b. prose: 'Place emergency shutoff switches or devices in {{ insert: param, pe-10_odp.02 }} to facilitate access for authorized personnel; and' - id: pe-10_smt.c name: item props: - name: label value: c. prose: Protect emergency power shutoff capability from unauthorized activation. - id: pe-10_gdn name: guidance prose: Emergency power shutoff primarily applies to organizational facilities that contain concentrations of system resources, including data centers, mainframe computer rooms, server rooms, and areas with computer-controlled machinery. - id: pe-10_obj name: assessment-objective props: - name: label value: PE-10 class: sp800-53a parts: - id: pe-10_obj.a name: assessment-objective props: - name: label value: PE-10a. class: sp800-53a prose: 'the capability to shut off power to {{ insert: param, pe-10_odp.01 }} in emergency situations is provided;' links: - href: '#pe-10_smt.a' rel: assessment-for - id: pe-10_obj.b name: assessment-objective props: - name: label value: PE-10b. class: sp800-53a prose: 'emergency shutoff switches or devices are placed in {{ insert: param, pe-10_odp.02 }} to facilitate access for authorized personnel;' links: - href: '#pe-10_smt.b' rel: assessment-for - id: pe-10_obj.c name: assessment-objective props: - name: label value: PE-10c. class: sp800-53a prose: the emergency power shutoff capability is protected from unauthorized activation. links: - href: '#pe-10_smt.c' rel: assessment-for links: - href: '#pe-10_smt' rel: assessment-for - id: pe-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-10-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing power source emergency shutoff emergency shutoff controls or switches locations housing emergency shutoff switches and devices security safeguards protecting the emergency power shutoff capability from unauthorized activation system security plan other relevant documents or records - id: pe-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-10-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for the emergency power shutoff capability (both implementing and using the capability) organizational personnel with information security responsibilities - id: pe-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-10-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing emergency power shutoff controls: - id: pe-10.1 class: SP800-53-enhancement title: Accidental and Unauthorized Activation props: - name: label value: PE-10(01) class: zero-padded - name: label value: PE-10(1) - name: label value: PE-10(01) class: sp800-53a - name: sort-id value: pe-10.01 - name: status value: withdrawn links: - href: '#pe-10' rel: incorporated-into - id: pe-11 class: SP800-53 title: Emergency Power params: - id: pe-11_odp props: - name: alt-identifier value: pe-11_prm_1 - name: label value: PE-11_ODP class: sp800-53a select: choice: - an orderly shutdown of the system - transition of the system to long-term alternate power props: - name: label value: PE-11 class: zero-padded - name: label value: PE-11 - name: label value: PE-11 class: sp800-53a - name: sort-id value: pe-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#at-3' rel: related - href: '#cp-2' rel: related - href: '#cp-7' rel: related parts: - id: pe-11_smt name: statement prose: 'Provide an uninterruptible power supply to facilitate {{ insert: param, pe-11_odp }} in the event of a primary power source loss.' - id: pe-11_gdn name: guidance prose: An uninterruptible power supply (UPS) is an electrical system or mechanism that provides emergency power when there is a failure of the main power source. A UPS is typically used to protect computers, data centers, telecommunication equipment, or other electrical equipment where an unexpected power disruption could cause injuries, fatalities, serious mission or business disruption, or loss of data or information. A UPS differs from an emergency power system or backup generator in that the UPS provides near-instantaneous protection from unanticipated power interruptions from the main power source by providing energy stored in batteries, supercapacitors, or flywheels. The battery duration of a UPS is relatively short but provides sufficient time to start a standby power source, such as a backup generator, or properly shut down the system. - id: pe-11_obj name: assessment-objective props: - name: label value: PE-11 class: sp800-53a prose: 'an uninterruptible power supply is provided to facilitate {{ insert: param, pe-11_odp }} in the event of a primary power source loss.' links: - href: '#pe-11_smt' rel: assessment-for - id: pe-11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-11-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing emergency power uninterruptible power supply uninterruptible power supply documentation uninterruptible power supply test records system security plan other relevant documents or records - id: pe-11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-11-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for emergency power and/or planning organizational personnel with information security responsibilities - id: pe-11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-11-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing an uninterruptible power supply the uninterruptable power supply controls: - id: pe-11.1 class: SP800-53-enhancement title: Alternate Power Supply — Minimal Operational Capability params: - id: pe-11.01_odp props: - name: alt-identifier value: pe-11.1_prm_1 - name: label value: PE-11(01)_ODP class: sp800-53a select: choice: - manually - automatically props: - name: label value: PE-11(01) class: zero-padded - name: label value: PE-11(1) - name: label value: PE-11(01) class: sp800-53a - name: sort-id value: pe-11.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-11' rel: required parts: - id: pe-11.1_smt name: statement prose: 'Provide an alternate power supply for the system that is activated {{ insert: param, pe-11.01_odp }} and that can maintain minimally required operational capability in the event of an extended loss of the primary power source.' - id: pe-11.1_gdn name: guidance prose: Provision of an alternate power supply with minimal operating capability can be satisfied by accessing a secondary commercial power supply or other external power supply. - id: pe-11.1_obj name: assessment-objective props: - name: label value: PE-11(01) class: sp800-53a parts: - id: pe-11.1_obj-1 name: assessment-objective props: - name: label value: PE-11(01)[01] class: sp800-53a prose: 'an alternate power supply provided for the system is activated {{ insert: param, pe-11.01_odp }};' links: - href: '#pe-11.1_smt' rel: assessment-for - id: pe-11.1_obj-2 name: assessment-objective props: - name: label value: PE-11(01)[02] class: sp800-53a prose: the alternate power supply provided for the system can maintain minimally required operational capability in the event of an extended loss of the primary power source. links: - href: '#pe-11.1_smt' rel: assessment-for links: - href: '#pe-11.1_smt' rel: assessment-for - id: pe-11.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-11(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing emergency power alternate power supply alternate power supply documentation alternate power supply test records system security plan other relevant documents or records - id: pe-11.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-11(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for emergency power and/or planning organizational personnel with information security responsibilities - id: pe-11.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-11(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing an alternate power supply the alternate power supply - id: pe-11.2 class: SP800-53-enhancement title: Alternate Power Supply — Self-contained params: - id: pe-11.02_odp.01 props: - name: alt-identifier value: pe-11.2_prm_1 - name: label value: PE-11(02)_ODP[01] class: sp800-53a select: choice: - manually - automatically - id: pe-11.02_odp.02 props: - name: alt-identifier value: pe-11.2_prm_2 - name: label value: PE-11(02)_ODP[02] class: sp800-53a select: choice: - minimally required operational capability - full operational capability props: - name: label value: PE-11(02) class: zero-padded - name: label value: PE-11(2) - name: label value: PE-11(02) class: sp800-53a - name: sort-id value: pe-11.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-11' rel: required parts: - id: pe-11.2_smt name: statement prose: 'Provide an alternate power supply for the system that is activated {{ insert: param, pe-11.02_odp.01 }} and that is:' parts: - id: pe-11.2_smt.a name: item props: - name: label value: (a) prose: Self-contained; - id: pe-11.2_smt.b name: item props: - name: label value: (b) prose: Not reliant on external power generation; and - id: pe-11.2_smt.c name: item props: - name: label value: (c) prose: 'Capable of maintaining {{ insert: param, pe-11.02_odp.02 }} in the event of an extended loss of the primary power source.' - id: pe-11.2_gdn name: guidance prose: The provision of a long-term, self-contained power supply can be satisfied by using one or more generators with sufficient capacity to meet the needs of the organization. - id: pe-11.2_obj name: assessment-objective props: - name: label value: PE-11(02) class: sp800-53a prose: 'an alternate power supply provided for the system is activated {{ insert: param, pe-11.02_odp.01 }};' parts: - id: pe-11.2_obj.a name: assessment-objective props: - name: label value: PE-11(02)(a) class: sp800-53a prose: the alternate power supply provided for the system is self-contained; links: - href: '#pe-11.2_smt.a' rel: assessment-for - id: pe-11.2_obj.b name: assessment-objective props: - name: label value: PE-11(02)(b) class: sp800-53a prose: the alternate power supply provided for the system is not reliant on external power generation; links: - href: '#pe-11.2_smt.b' rel: assessment-for - id: pe-11.2_obj.c name: assessment-objective props: - name: label value: PE-11(02)(c) class: sp800-53a prose: 'the alternate power supply provided for the system is capable of maintaining {{ insert: param, pe-11.02_odp.02 }} in the event of an extended loss of the primary power source.' links: - href: '#pe-11.2_smt.c' rel: assessment-for links: - href: '#pe-11.2_smt' rel: assessment-for - id: pe-11.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-11(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing emergency power alternate power supply alternate power supply documentation alternate power supply test records system security plan other relevant documents or records - id: pe-11.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-11(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for emergency power and/or planning organizational personnel with information security responsibilities - id: pe-11.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-11(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing an alternate power supply the alternate power supply - id: pe-12 class: SP800-53 title: Emergency Lighting props: - name: label value: PE-12 class: zero-padded - name: label value: PE-12 - name: label value: PE-12 class: sp800-53a - name: sort-id value: pe-12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: related - href: '#cp-7' rel: related parts: - id: pe-12_smt name: statement 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: 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: 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: 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: 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 controls: - id: pe-12.1 class: SP800-53-enhancement title: Essential Mission and Business Functions props: - name: label value: PE-12(01) class: zero-padded - name: label value: PE-12(1) - name: label value: PE-12(01) class: sp800-53a - name: sort-id value: pe-12.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-12' rel: required parts: - id: pe-12.1_smt name: statement prose: Provide emergency lighting for all areas within the facility supporting essential mission and business functions. - id: pe-12.1_gdn name: guidance prose: Organizations define their essential missions and functions. - id: pe-12.1_obj name: assessment-objective props: - name: label value: PE-12(01) class: sp800-53a prose: emergency lighting is provided for all areas within the facility supporting essential mission and business functions. links: - href: '#pe-12.1_smt' rel: assessment-for - id: pe-12.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-12(01)-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 areas/locations within facility supporting essential missions and business functions system security plan other relevant documents or records - id: pe-12.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-12(01)-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-12.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-12(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the 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 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: 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: 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: 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: 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: 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: label value: PE-13[06] class: sp800-53a prose: employed fire suppression systems are maintained. links: - href: '#pe-13_smt' rel: assessment-for links: - href: '#pe-13_smt' rel: assessment-for - id: pe-13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-13-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing fire protection fire suppression and detection devices/systems fire suppression and detection devices/systems documentation test records of fire suppression and detection devices/systems system security plan other relevant documents or records - id: pe-13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-13-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for fire detection and suppression devices/systems organizational personnel with information security responsibilities - id: pe-13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-13-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing fire suppression/detection devices/systems controls: - id: pe-13.1 class: SP800-53-enhancement title: Detection Systems — Automatic Activation and Notification params: - id: pe-13.01_odp.01 props: - name: alt-identifier value: pe-13.1_prm_1 - name: label value: PE-13(01)_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be notified in the event of a fire is/are defined; - id: pe-13.01_odp.02 props: - name: alt-identifier value: pe-13.1_prm_2 - name: label value: PE-13(01)_ODP[02] class: sp800-53a label: emergency responders guidelines: - prose: emergency responders to be notified in the event of a fire are defined; props: - name: label value: PE-13(01) class: zero-padded - name: label value: PE-13(1) - name: label value: PE-13(01) class: sp800-53a - name: sort-id value: pe-13.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-13' rel: required parts: - id: pe-13.1_smt name: statement prose: 'Employ fire detection systems that activate automatically and notify {{ insert: param, pe-13.01_odp.01 }} and {{ insert: param, pe-13.01_odp.02 }} in the event of a fire.' - id: pe-13.1_gdn name: guidance prose: Organizations can identify personnel, roles, and emergency responders if individuals on the notification list need to have access authorizations or clearances (e.g., to enter to facilities where access is restricted due to the classification or impact level of information within the facility). Notification mechanisms may require independent energy sources to ensure that the notification capability is not adversely affected by the fire. - id: pe-13.1_obj name: assessment-objective props: - name: label value: PE-13(01) class: sp800-53a parts: - id: pe-13.1_obj-1 name: assessment-objective props: - name: label value: PE-13(01)[01] class: sp800-53a prose: fire detection systems that activate automatically are employed in the event of a fire; links: - href: '#pe-13.1_smt' rel: assessment-for - id: pe-13.1_obj-2 name: assessment-objective props: - name: label value: PE-13(01)[02] class: sp800-53a prose: 'fire detection systems that notify {{ insert: param, pe-13.01_odp.01 }} automatically are employed in the event of a fire;' links: - href: '#pe-13.1_smt' rel: assessment-for - id: pe-13.1_obj-3 name: assessment-objective props: - name: label value: PE-13(01)[03] class: sp800-53a prose: 'fire detection systems that notify {{ insert: param, pe-13.01_odp.02 }} automatically are employed in the event of a fire.' links: - href: '#pe-13.1_smt' rel: assessment-for links: - href: '#pe-13.1_smt' rel: assessment-for - id: pe-13.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-13(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing fire protection facility housing the information system alarm service-level agreements test records of fire suppression and detection devices/systems fire suppression and detection devices/systems documentation alerts/notifications of fire events system security plan other relevant documents or records - id: pe-13.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-13(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for fire detection and suppression devices/systems organizational personnel with responsibilities for notifying appropriate personnel, roles, and emergency responders of fires organizational personnel with information security responsibilities - id: pe-13.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-13(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing fire detection devices/systems activation of fire detection devices/systems (simulated) automated notifications - id: pe-13.2 class: SP800-53-enhancement title: Suppression Systems — Automatic Activation and Notification params: - id: pe-13.02_odp.01 props: - name: alt-identifier value: pe-13.2_prm_1 - name: label value: PE-13(02)_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be notified in the event of a fire is/are defined; - id: pe-13.02_odp.02 props: - name: alt-identifier value: pe-13.2_prm_2 - name: label value: PE-13(02)_ODP[02] class: sp800-53a label: emergency responders guidelines: - prose: emergency responders to be notified in the event of a fire are defined; props: - name: label value: PE-13(02) class: zero-padded - name: label value: PE-13(2) - name: label value: PE-13(02) class: sp800-53a - name: sort-id value: pe-13.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-13' rel: required parts: - id: pe-13.2_smt name: statement parts: - id: pe-13.2_smt.a name: item props: - name: label value: (a) prose: 'Employ fire suppression systems that activate automatically and notify {{ insert: param, pe-13.02_odp.01 }} and {{ insert: param, pe-13.02_odp.02 }} ; and' - id: pe-13.2_smt.b name: item props: - name: label value: (b) prose: Employ an automatic fire suppression capability when the facility is not staffed on a continuous basis. - id: pe-13.2_gdn name: guidance prose: Organizations can identify specific personnel, roles, and emergency responders if individuals on the notification list need to have appropriate access authorizations and/or clearances (e.g., to enter to facilities where access is restricted due to the impact level or classification of information within the facility). Notification mechanisms may require independent energy sources to ensure that the notification capability is not adversely affected by the fire. - id: pe-13.2_obj name: assessment-objective props: - name: label value: PE-13(02) class: sp800-53a parts: - id: pe-13.2_obj.a name: assessment-objective props: - name: label value: PE-13(02)(a) class: sp800-53a parts: - id: pe-13.2_obj.a-1 name: assessment-objective props: - name: label value: PE-13(02)(a)[01] class: sp800-53a prose: fire suppression systems that activate automatically are employed; links: - href: '#pe-13.2_smt.a' rel: assessment-for - id: pe-13.2_obj.a-2 name: assessment-objective props: - name: label value: PE-13(02)(a)[02] class: sp800-53a prose: 'fire suppression systems that notify {{ insert: param, pe-13.02_odp.01 }} automatically are employed;' links: - href: '#pe-13.2_smt.a' rel: assessment-for - id: pe-13.2_obj.a-3 name: assessment-objective props: - name: label value: PE-13(02)(a)[03] class: sp800-53a prose: 'fire suppression systems that notify {{ insert: param, pe-13.02_odp.02 }} automatically are employed;' links: - href: '#pe-13.2_smt.a' rel: assessment-for links: - href: '#pe-13.2_smt.a' rel: assessment-for - id: pe-13.2_obj.b name: assessment-objective props: - name: label value: PE-13(02)(b) class: sp800-53a prose: an automatic fire suppression capability is employed when the facility is not staffed on a continuous basis. links: - href: '#pe-13.2_smt.b' rel: assessment-for links: - href: '#pe-13.2_smt' rel: assessment-for - id: pe-13.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-13(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing fire protection fire suppression and detection devices/systems documentation facility housing the system alarm service-level agreements test records of fire suppression and detection devices/systems system security plan other relevant documents or records - id: pe-13.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-13(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for fire detection and suppression devices/systems organizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders organizational personnel with information security responsibilities - id: pe-13.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-13(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Automated mechanisms supporting and/or implementing fire suppression devices/systems activation of fire suppression devices/systems (simulated) automated notifications - id: pe-13.3 class: SP800-53-enhancement title: Automatic Fire Suppression props: - name: label value: PE-13(03) class: zero-padded - name: label value: PE-13(3) - name: label value: PE-13(03) class: sp800-53a - name: sort-id value: pe-13.03 - name: status value: withdrawn links: - href: '#pe-13.2' rel: incorporated-into - id: pe-13.4 class: SP800-53-enhancement title: Inspections params: - id: pe-13.04_odp.01 props: - name: alt-identifier value: pe-13.4_prm_1 - name: label value: PE-13(04)_ODP[01] class: sp800-53a label: frequency guidelines: - prose: the frequency for conducting fire protection inspections on the facility is defined; - id: pe-13.04_odp.02 props: - name: alt-identifier value: pe-13.4_prm_2 - name: label value: PE-13(04)_ODP[02] class: sp800-53a label: time period guidelines: - prose: a time period for resolving deficiencies identified by fire protection inspections is defined; props: - name: label value: PE-13(04) class: zero-padded - name: label value: PE-13(4) - name: label value: PE-13(04) class: sp800-53a - name: sort-id value: pe-13.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-13' rel: required parts: - id: pe-13.4_smt name: statement prose: 'Ensure that the facility undergoes {{ insert: param, pe-13.04_odp.01 }} fire protection inspections by authorized and qualified inspectors and identified deficiencies are resolved within {{ insert: param, pe-13.04_odp.02 }}.' - id: pe-13.4_gdn name: guidance prose: Authorized and qualified personnel within the jurisdiction of the organization include state, county, and city fire inspectors and fire marshals. Organizations provide escorts during inspections in situations where the systems that reside within the facilities contain sensitive information. - id: pe-13.4_obj name: assessment-objective props: - name: label value: PE-13(04) class: sp800-53a parts: - id: pe-13.4_obj-1 name: assessment-objective props: - name: label value: PE-13(04)[01] class: sp800-53a prose: 'the facility undergoes fire protection inspections {{ insert: param, pe-13.04_odp.01 }} by authorized and qualified inspectors;' links: - href: '#pe-13.4_smt' rel: assessment-for - id: pe-13.4_obj-2 name: assessment-objective props: - name: label value: PE-13(04)[02] class: sp800-53a prose: 'the identified deficiencies from fire protection inspections are resolved within {{ insert: param, pe-13.04_odp.02 }}.' links: - href: '#pe-13.4_smt' rel: assessment-for links: - href: '#pe-13.4_smt' rel: assessment-for - id: pe-13.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-13(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing fire protection facility housing the system inspection plans inspection results inspect reports test records of fire suppression and detection devices/systems system security plan other relevant documents or records - id: pe-13.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-13(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for planning, approving, and executing fire inspections organizational personnel with information security responsibilities - 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 select: how-many: one-or-more choice: - temperature - humidity - pressure - radiation - '{{ insert: param, pe-14_odp.02 }} ' - 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 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: 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: 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_obj name: assessment-objective props: - name: label value: PE-14 class: sp800-53a parts: - id: pe-14_obj.a name: assessment-objective props: - 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: label value: PE-14b. class: sp800-53a prose: 'environmental control levels are monitored {{ insert: param, pe-14_odp.04 }}.' links: - href: '#pe-14_smt.b' rel: assessment-for links: - href: '#pe-14_smt' rel: assessment-for - id: pe-14_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-14-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing temperature and humidity control temperature and humidity controls facility housing the system temperature and humidity controls documentation temperature and humidity records system security plan other relevant documents or records - id: pe-14_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-14-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for system environmental controls organizational personnel with information security responsibilities - id: pe-14_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-14-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the maintenance and monitoring of temperature and humidity levels controls: - id: pe-14.1 class: SP800-53-enhancement title: Automatic Controls params: - id: pe-14.01_odp props: - name: alt-identifier value: pe-14.1_prm_1 - name: label value: PE-14(01)_ODP class: sp800-53a label: automatic environmental controls guidelines: - prose: automatic environmental controls to prevent fluctuations that are potentially harmful to the system are defined; props: - name: label value: PE-14(01) class: zero-padded - name: label value: PE-14(1) - name: label value: PE-14(01) class: sp800-53a - name: sort-id value: pe-14.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-14' rel: required parts: - id: pe-14.1_smt name: statement prose: 'Employ the following automatic environmental controls in the facility to prevent fluctuations potentially harmful to the system: {{ insert: param, pe-14.01_odp }}.' - id: pe-14.1_gdn name: guidance prose: The implementation of automatic environmental controls provides an immediate response to environmental conditions that can damage, degrade, or destroy organizational systems or systems components. - id: pe-14.1_obj name: assessment-objective props: - name: label value: PE-14(01) class: sp800-53a prose: '{{ insert: param, pe-14.01_odp }} are employed in the facility to prevent fluctuations that are potentially harmful to the system.' links: - href: '#pe-14.1_smt' rel: assessment-for - id: pe-14.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-14(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing temperature and humidity controls facility housing the system automated mechanisms for temperature and humidity temperature and humidity controls temperature and humidity documentation system security plan other relevant documents or records - id: pe-14.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-14(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for system environmental controls organizational personnel with information security responsibilities - id: pe-14.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-14(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms supporting and/or implementing temperature and humidity levels - id: pe-14.2 class: SP800-53-enhancement title: Monitoring with Alarms and Notifications params: - id: pe-14.02_odp props: - name: alt-identifier value: pe-14.2_prm_1 - name: label value: PE-14(02)_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be notified by environmental control monitoring when environmental changes are potentially harmful to personnel or equipment is/are defined; props: - name: label value: PE-14(02) class: zero-padded - name: label value: PE-14(2) - name: label value: PE-14(02) class: sp800-53a - name: sort-id value: pe-14.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-14' rel: required parts: - id: pe-14.2_smt name: statement prose: 'Employ environmental control monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment to {{ insert: param, pe-14.02_odp }}.' - id: pe-14.2_gdn name: guidance prose: The alarm or notification may be an audible alarm or a visual message in real time to personnel or roles defined by the organization. Such alarms and notifications can help minimize harm to individuals and damage to organizational assets by facilitating a timely incident response. - id: pe-14.2_obj name: assessment-objective props: - name: label value: PE-14(02) class: sp800-53a parts: - id: pe-14.2_obj-1 name: assessment-objective props: - name: label value: PE-14(02)[01] class: sp800-53a prose: environmental control monitoring is employed; links: - href: '#pe-14.2_smt' rel: assessment-for - id: pe-14.2_obj-2 name: assessment-objective props: - name: label value: PE-14(02)[02] class: sp800-53a prose: 'the environmental control monitoring capability provides an alarm or notification to {{ insert: param, pe-14.02_odp }} when changes are potentially harmful to personnel or equipment.' links: - href: '#pe-14.2_smt' rel: assessment-for links: - href: '#pe-14.2_smt' rel: assessment-for - id: pe-14.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-14(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing temperature and humidity monitoring facility housing the system logs or records of temperature and humidity monitoring records of changes to temperature and humidity levels that generate alarms or notifications system security plan other relevant documents or records - id: pe-14.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-14(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for system environmental controls organizational personnel with information security responsibilities - id: pe-14.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-14(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing temperature and humidity monitoring - id: pe-15 class: SP800-53 title: Water Damage Protection props: - name: label value: PE-15 class: zero-padded - name: label value: PE-15 - name: label value: PE-15 class: sp800-53a - name: sort-id value: pe-15 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#at-3' rel: related - href: '#pe-10' rel: related parts: - id: pe-15_smt name: statement 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: 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: 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: 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: label value: PE-15[04] class: sp800-53a prose: the master shutoff or isolation valves are known to key personnel. links: - href: '#pe-15_smt' rel: assessment-for links: - href: '#pe-15_smt' rel: assessment-for - id: pe-15_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-15-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing water damage protection facility housing the system master shutoff valves list of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system master shutoff valve documentation system security plan other relevant documents or records - id: pe-15_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-15-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for system environmental controls organizational personnel with information security responsibilities - id: pe-15_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-15-Test class: sp800-53a parts: - name: assessment-objects prose: |- Master water-shutoff valves organizational process for activating master water shutoff controls: - id: pe-15.1 class: SP800-53-enhancement title: Automation Support params: - id: pe-15.01_odp.01 props: - name: alt-identifier value: pe-15.1_prm_1 - name: label value: PE-15(01)_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be alerted when the presence of water is detected near the system is/are defined; - id: pe-15.01_odp.02 props: - name: alt-identifier value: pe-15.1_prm_2 - name: label value: PE-15(01)_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to detect the presence of water near the system are defined; props: - name: label value: PE-15(01) class: zero-padded - name: label value: PE-15(1) - name: label value: PE-15(01) class: sp800-53a - name: sort-id value: pe-15.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-15' rel: required parts: - id: pe-15.1_smt name: statement prose: 'Detect the presence of water near the system and alert {{ insert: param, pe-15.01_odp.01 }} using {{ insert: param, pe-15.01_odp.02 }}.' - id: pe-15.1_gdn name: guidance prose: Automated mechanisms include notification systems, water detection sensors, and alarms. - id: pe-15.1_obj name: assessment-objective props: - name: label value: PE-15(01) class: sp800-53a parts: - id: pe-15.1_obj-1 name: assessment-objective props: - name: label value: PE-15(01)[01] class: sp800-53a prose: the presence of water near the system can be detected automatically; links: - href: '#pe-15.1_smt' rel: assessment-for - id: pe-15.1_obj-2 name: assessment-objective props: - name: label value: PE-15(01)[02] class: sp800-53a prose: '{{ insert: param, pe-15.01_odp.01 }} is/are alerted using {{ insert: param, pe-15.01_odp.02 }}.' links: - href: '#pe-15.1_smt' rel: assessment-for links: - href: '#pe-15.1_smt' rel: assessment-for - id: pe-15.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-15(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing water damage protection facility housing the system automated mechanisms for water shutoff valves automated mechanisms for detecting the presence of water in the vicinity of the system alerts/notifications of water detection in system facility system security plan other relevant documents or records - id: pe-15.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-15(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for system environmental controls organizational personnel with information security responsibilities - id: pe-15.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-15(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms supporting and/or implementing water detection capabilities and alerts for the system - id: pe-16 class: SP800-53 title: Delivery and Removal params: - id: pe-16_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pe-16_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pe-16_odp.02 label: organization-defined types of system components - id: pe-16_odp.01 props: - name: label value: PE-16_ODP[01] class: sp800-53a label: types of system components 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 guidelines: - prose: types of system components to be authorized and controlled when exiting the facility are defined; props: - name: label value: PE-16 class: zero-padded - name: label value: PE-16 - name: label value: PE-16 class: sp800-53a - name: sort-id value: pe-16 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-3' rel: related - href: '#cm-8' rel: related - href: '#ma-2' rel: related - href: '#ma-3' rel: related - href: '#mp-5' rel: related - href: '#pe-20' rel: related - href: '#sr-2' rel: related - href: '#sr-3' rel: related - href: '#sr-4' rel: related - href: '#sr-6' rel: related parts: - id: pe-16_smt name: statement parts: - id: pe-16_smt.a name: item props: - name: 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: 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: 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: 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: 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: 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: label value: PE-16b. class: sp800-53a prose: records of the system components are maintained. links: - href: '#pe-16_smt.b' rel: assessment-for links: - href: '#pe-16_smt' rel: assessment-for - id: pe-16_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-16-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing the delivery and removal of system components from the facility facility housing the system records of items entering and exiting the facility system security plan other relevant documents or records - id: pe-16_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-16-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for controlling system components entering and exiting the facility organizational personnel with information security responsibilities - id: pe-16_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-16-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational process for authorizing, monitoring, and controlling system-related items entering and exiting the facility mechanisms supporting and/or implementing, authorizing, monitoring, and controlling system-related items entering and exiting the facility - id: pe-17 class: SP800-53 title: Alternate Work Site params: - id: pe-17_odp.01 props: - name: alt-identifier value: pe-17_prm_1 - name: label value: PE-17_ODP[01] class: sp800-53a label: alternate work sites guidelines: - prose: alternate work sites allowed for use by employees are defined; - id: pe-17_odp.02 props: - name: alt-identifier value: pe-17_prm_2 - name: label value: PE-17_ODP[02] class: sp800-53a label: controls guidelines: - prose: controls to be employed at alternate work sites are defined; props: - name: label value: PE-17 class: zero-padded - name: label value: PE-17 - name: label value: PE-17 class: sp800-53a - name: sort-id value: pe-17 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#83b9d63b-66b1-467c-9f3b-3a0b108771e9' rel: reference - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#cp-7' rel: related parts: - id: pe-17_smt name: statement parts: - id: pe-17_smt.a name: item props: - name: label value: a. prose: 'Determine and document the {{ insert: param, pe-17_odp.01 }} allowed for use by employees;' - id: pe-17_smt.b name: item props: - name: label value: b. prose: 'Employ the following controls at alternate work sites: {{ insert: param, pe-17_odp.02 }};' - id: pe-17_smt.c name: item props: - name: label value: c. prose: Assess the effectiveness of controls at alternate work sites; and - id: pe-17_smt.d name: item props: - name: label value: d. prose: Provide a means for employees to communicate with information security and privacy personnel in case of incidents. - id: pe-17_gdn name: guidance prose: Alternate work sites include government facilities or the private residences of employees. While distinct from alternative processing sites, alternate work sites can provide readily available alternate locations during contingency operations. Organizations can define different sets of controls for specific alternate work sites or types of sites depending on the work-related activities conducted at the sites. Implementing and assessing the effectiveness of organization-defined controls and providing a means to communicate incidents at alternate work sites supports the contingency planning activities of organizations. - id: pe-17_obj name: assessment-objective props: - name: label value: PE-17 class: sp800-53a parts: - id: pe-17_obj.a name: assessment-objective props: - name: label value: PE-17a. class: sp800-53a prose: '{{ insert: param, pe-17_odp.01 }} are determined and documented;' links: - href: '#pe-17_smt.a' rel: assessment-for - id: pe-17_obj.b name: assessment-objective props: - name: label value: PE-17b. class: sp800-53a prose: '{{ insert: param, pe-17_odp.02 }} are employed at alternate work sites;' links: - href: '#pe-17_smt.b' rel: assessment-for - id: pe-17_obj.c name: assessment-objective props: - name: label value: PE-17c. class: sp800-53a prose: the effectiveness of controls at alternate work sites is assessed; links: - href: '#pe-17_smt.c' rel: assessment-for - id: pe-17_obj.d name: assessment-objective props: - name: label value: PE-17d. class: sp800-53a prose: a means for employees to communicate with information security and privacy personnel in case of incidents is provided. links: - href: '#pe-17_smt.d' rel: assessment-for links: - href: '#pe-17_smt' rel: assessment-for - id: pe-17_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-17-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing alternate work sites for organizational personnel list of security controls required for alternate work sites assessments of security controls at alternate work sites system security plan privacy plan other relevant documents or records - id: pe-17_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-17-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel approving the use of alternate work sites organizational personnel using alternate work sites organizational personnel assessing controls at alternate work sites organizational personnel with information security and privacy responsibilities - id: pe-17_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-17-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for security and privacy at alternate work sites mechanisms supporting alternate work sites security and privacy controls employed at alternate work sites means of communication between personnel at alternate work sites and security and privacy personnel - id: pe-18 class: SP800-53 title: Location of System Components params: - id: pe-18_odp props: - name: alt-identifier value: pe-18_prm_1 - name: label value: PE-18_ODP class: sp800-53a label: physical and environmental hazards guidelines: - prose: physical and environmental hazards that could result in potential damage to system components within the facility are defined; props: - name: label value: PE-18 class: zero-padded - name: label value: PE-18 - name: label value: PE-18 class: sp800-53a - name: sort-id value: pe-18 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: related - href: '#pe-5' rel: related - href: '#pe-19' rel: related - href: '#pe-20' rel: related - href: '#ra-3' rel: related parts: - id: pe-18_smt name: statement prose: 'Position system components within the facility to minimize potential damage from {{ insert: param, pe-18_odp }} and to minimize the opportunity for unauthorized access.' - id: pe-18_gdn name: guidance prose: Physical and environmental hazards include floods, fires, tornadoes, earthquakes, hurricanes, terrorism, vandalism, an electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. Organizations consider the location of entry points where unauthorized individuals, while not being granted access, might nonetheless be near systems. Such proximity can increase the risk of unauthorized access to organizational communications using wireless packet sniffers or microphones, or unauthorized disclosure of information. - id: pe-18_obj name: assessment-objective props: - name: label value: PE-18 class: sp800-53a prose: 'system components are positioned within the facility to minimize potential damage from {{ insert: param, pe-18_odp }} and to minimize the opportunity for unauthorized access.' links: - href: '#pe-18_smt' rel: assessment-for - id: pe-18_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-18-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing the positioning of system components documentation providing the location and position of system components within the facility locations housing system components within the facility list of physical and environmental hazards with the potential to damage system components within the facility system security plan other relevant documents or records - id: pe-18_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-18-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for positioning system components organizational personnel with information security responsibilities - id: pe-18_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-18-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for positioning system components controls: - id: pe-18.1 class: SP800-53-enhancement title: Facility Site props: - name: label value: PE-18(01) class: zero-padded - name: label value: PE-18(1) - name: label value: PE-18(01) class: sp800-53a - name: sort-id value: pe-18.01 - name: status value: withdrawn links: - href: '#pe-23' rel: moved-to - id: pe-19 class: SP800-53 title: Information Leakage props: - name: label value: PE-19 class: zero-padded - name: label value: PE-19 - name: label value: PE-19 class: sp800-53a - name: sort-id value: pe-19 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#ac-18' rel: related - href: '#pe-18' rel: related - href: '#pe-20' rel: related parts: - id: pe-19_smt name: statement prose: Protect the system from information leakage due to electromagnetic signals emanations. - id: pe-19_gdn name: guidance prose: Information leakage is the intentional or unintentional release of data or information to an untrusted environment from electromagnetic signals emanations. The security categories or classifications of systems (with respect to confidentiality), organizational security policies, and risk tolerance guide the selection of controls employed to protect systems against information leakage due to electromagnetic signals emanations. - id: pe-19_obj name: assessment-objective props: - name: label value: PE-19 class: sp800-53a prose: the system is protected from information leakage due to electromagnetic signal emanations. links: - href: '#pe-19_smt' rel: assessment-for - id: pe-19_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-19-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing information leakage due to electromagnetic signal emanations mechanisms protecting the system against electronic signal emanations facility housing the system records from electromagnetic signal emanation tests system security plan other relevant documents or records - id: pe-19_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-19-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-19_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-19-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing protection from information leakage due to electromagnetic signal emanations controls: - id: pe-19.1 class: SP800-53-enhancement title: National Emissions Policies and Procedures props: - name: label value: PE-19(01) class: zero-padded - name: label value: PE-19(1) - name: label value: PE-19(01) class: sp800-53a - name: sort-id value: pe-19.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-19' rel: required parts: - id: pe-19.1_smt name: statement prose: Protect system components, associated data communications, and networks in accordance with national Emissions Security policies and procedures based on the security category or classification of the information. - id: pe-19.1_gdn name: guidance prose: Emissions Security (EMSEC) policies include the former TEMPEST policies. - id: pe-19.1_obj name: assessment-objective props: - name: label value: PE-19(01) class: sp800-53a parts: - id: pe-19.1_obj-1 name: assessment-objective props: - name: label value: PE-19(01)[01] class: sp800-53a prose: system components are protected in accordance with national emissions security policies and procedures based on the security category or classification of the information; links: - href: '#pe-19.1_smt' rel: assessment-for - id: pe-19.1_obj-2 name: assessment-objective props: - name: label value: PE-19(01)[02] class: sp800-53a prose: associated data communications are protected in accordance with national emissions security policies and procedures based on the security category or classification of the information; links: - href: '#pe-19.1_smt' rel: assessment-for - id: pe-19.1_obj-3 name: assessment-objective props: - name: label value: PE-19(01)[03] class: sp800-53a prose: networks are protected in accordance with national emissions security policies and procedures based on the security category or classification of the information. links: - href: '#pe-19.1_smt' rel: assessment-for links: - href: '#pe-19.1_smt' rel: assessment-for - id: pe-19.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-19(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing information leakage that comply with national emissions and TEMPEST policies and procedures system component design documentation system configuration settings and associated documentation system security plan other relevant documents or records - id: pe-19.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-19(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for system environmental controls organizational personnel with information security responsibilities - id: pe-19.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-19(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Information system components for compliance with national emissions and TEMPEST policies and procedures - id: pe-20 class: SP800-53 title: Asset Monitoring and Tracking params: - id: pe-20_odp.01 props: - name: alt-identifier value: pe-20_prm_1 - name: label value: PE-20_ODP[01] class: sp800-53a label: asset location technologies guidelines: - prose: asset location technologies to be employed to track and monitor the location and movement of assets is defined; - id: pe-20_odp.02 props: - name: alt-identifier value: pe-20_prm_2 - name: label value: PE-20_ODP[02] class: sp800-53a label: assets guidelines: - prose: assets whose location and movement are to be tracked and monitored are defined; - id: pe-20_odp.03 props: - name: alt-identifier value: pe-20_prm_3 - name: label value: PE-20_ODP[03] class: sp800-53a label: controlled areas guidelines: - prose: controlled areas within which asset location and movement are to be tracked and monitored are defined; props: - name: label value: PE-20 class: zero-padded - name: label value: PE-20 - name: label value: PE-20 class: sp800-53a - name: sort-id value: pe-20 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cm-8' rel: related - href: '#pe-16' rel: related - href: '#pm-8' rel: related parts: - id: pe-20_smt name: statement prose: 'Employ {{ insert: param, pe-20_odp.01 }} to track and monitor the location and movement of {{ insert: param, pe-20_odp.02 }} within {{ insert: param, pe-20_odp.03 }}.' - id: pe-20_gdn name: guidance prose: Asset location technologies can help ensure that critical assets—including vehicles, equipment, and system components—remain in authorized locations. Organizations consult with the Office of the General Counsel and senior agency official for privacy regarding the deployment and use of asset location technologies to address potential privacy concerns. - id: pe-20_obj name: assessment-objective props: - name: label value: PE-20 class: sp800-53a prose: '{{ insert: param, pe-20_odp.01 }} are employed to track and monitor the location and movement of {{ insert: param, pe-20_odp.02 }} within {{ insert: param, pe-20_odp.03 }}.' links: - href: '#pe-20_smt' rel: assessment-for - id: pe-20_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-20-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing asset monitoring and tracking documentation showing the use of asset location technologies system configuration documentation list of organizational assets requiring tracking and monitoring asset monitoring and tracking records system security plan privacy plan other relevant documents or records - id: pe-20_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-20-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with asset monitoring and tracking responsibilities legal counsel organizational personnel with information security and privacy responsibilities - id: pe-20_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-20-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for tracking and monitoring assets mechanisms supporting and/or implementing the tracking and monitoring of assets - id: pe-21 class: SP800-53 title: Electromagnetic Pulse Protection params: - id: pe-21_odp.01 props: - name: alt-identifier value: pe-21_prm_1 - name: label value: PE-21_ODP[01] class: sp800-53a label: protective measures guidelines: - prose: protective measures to be employed against electromagnetic pulse damage are defined; - id: pe-21_odp.02 props: - name: alt-identifier value: pe-21_prm_2 - name: alt-label value: systems and system components class: sp800-53 - name: label value: PE-21_ODP[02] class: sp800-53a label: system and system components guidelines: - prose: system and system components requiring protection against electromagnetic pulse damage are defined; props: - name: label value: PE-21 class: zero-padded - name: label value: PE-21 - name: label value: PE-21 class: sp800-53a - name: sort-id value: pe-21 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pe-18' rel: related - href: '#pe-19' rel: related parts: - id: pe-21_smt name: statement prose: 'Employ {{ insert: param, pe-21_odp.01 }} against electromagnetic pulse damage for {{ insert: param, pe-21_odp.02 }}.' - id: pe-21_gdn name: guidance prose: An electromagnetic pulse (EMP) is a short burst of electromagnetic energy that is spread over a range of frequencies. Such energy bursts may be natural or man-made. EMP interference may be disruptive or damaging to electronic equipment. Protective measures used to mitigate EMP risk include shielding, surge suppressors, ferro-resonant transformers, and earth grounding. EMP protection may be especially significant for systems and applications that are part of the U.S. critical infrastructure. - id: pe-21_obj name: assessment-objective props: - name: label value: PE-21 class: sp800-53a prose: '{{ insert: param, pe-21_odp.01 }} are employed against electromagnetic pulse damage for {{ insert: param, pe-21_odp.02 }}.' links: - href: '#pe-21_smt' rel: assessment-for - id: pe-21_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-21-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing protective measures to mitigate EMP risk to systems and components documentation detailing protective measures to mitigate EMP risk list of locations where protective measures to mitigate EMP risk are implemented system security plan other relevant documents or records - id: pe-21_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-21-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for physical and environmental protection system developers/integrators organizational personnel with information security responsibilities - id: pe-21_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-21-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms for mitigating EMP risk - id: pe-22 class: SP800-53 title: Component Marking params: - id: pe-22_odp props: - name: alt-identifier value: pe-22_prm_1 - name: label value: PE-22_ODP class: sp800-53a label: system hardware components guidelines: - prose: system hardware components to be marked indicating the impact level or classification level of the information permitted to be processed, stored, or transmitted by the hardware component are defined; props: - name: label value: PE-22 class: zero-padded - name: label value: PE-22 - name: label value: PE-22 class: sp800-53a - name: sort-id value: pe-22 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#4c501da5-9d79-4cb6-ba80-97260e1ce327' rel: reference - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-16' rel: related - href: '#mp-3' rel: related parts: - id: pe-22_smt name: statement prose: 'Mark {{ insert: param, pe-22_odp }} indicating the impact level or classification level of the information permitted to be processed, stored, or transmitted by the hardware component.' - id: pe-22_gdn name: guidance prose: Hardware components that may require marking include input and output devices. Input devices include desktop and notebook computers, keyboards, tablets, and smart phones. Output devices include printers, monitors/video displays, facsimile machines, scanners, copiers, and audio devices. Permissions controlling output to the output devices are addressed in [AC-3](#ac-3) or [AC-4](#ac-4) . Components are marked to indicate the impact level or classification level of the system to which the devices are connected, or the impact level or classification level of the information permitted to be output. Security marking refers to the use of human-readable security attributes. Security labeling refers to the use of security attributes for internal system data structures. Security marking is generally not required for hardware components that process, store, or transmit information determined by organizations to be in the public domain or to be publicly releasable. However, organizations may require markings for hardware components that process, store, or transmit public information in order to indicate that such information is publicly releasable. Marking of system hardware components reflects applicable laws, executive orders, directives, policies, regulations, and standards. - id: pe-22_obj name: assessment-objective props: - name: label value: PE-22 class: sp800-53a prose: '{{ insert: param, pe-22_odp }} are marked indicating the impact level or classification level of the information permitted to be processed, stored, or transmitted by the hardware component.' links: - href: '#pe-22_smt' rel: assessment-for - id: pe-22_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-22-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy procedures addressing component marking list of component marking security attributes component inventory information types and their impact/classification level system security plan other relevant documents or records - id: pe-22_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-22-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with component marking responsibilities organizational personnel with component inventory responsibilities organizational personnel with information categorization/classification responsibilities organizational personnel with information security responsibilities - id: pe-22_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-22-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for component marking automated mechanisms supporting and/or implementing component marking - id: pe-23 class: SP800-53 title: Facility Location props: - name: label value: PE-23 class: zero-padded - name: label value: PE-23 - name: label value: PE-23 class: sp800-53a - name: sort-id value: pe-23 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#cp-2' rel: related - href: '#pe-18' rel: related - href: '#pe-19' rel: related - href: '#pm-8' rel: related - href: '#pm-9' rel: related - href: '#ra-3' rel: related parts: - id: pe-23_smt name: statement parts: - id: pe-23_smt.a name: item props: - name: label value: a. prose: Plan the location or site of the facility where the system resides considering physical and environmental hazards; and - id: pe-23_smt.b name: item props: - name: label value: b. prose: For existing facilities, consider the physical and environmental hazards in the organizational risk management strategy. - id: pe-23_gdn name: guidance prose: Physical and environmental hazards include floods, fires, tornadoes, earthquakes, hurricanes, terrorism, vandalism, an electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. The location of system components within the facility is addressed in [PE-18](#pe-18). - id: pe-23_obj name: assessment-objective props: - name: label value: PE-23 class: sp800-53a parts: - id: pe-23_obj.a name: assessment-objective props: - name: label value: PE-23a. class: sp800-53a prose: the location or site of the facility where the system resides is planned considering physical and environmental hazards; links: - href: '#pe-23_smt.a' rel: assessment-for - id: pe-23_obj.b name: assessment-objective props: - name: label value: PE-23b. class: sp800-53a prose: for existing facilities, physical and environmental hazards are considered in the organizational risk management strategy. links: - href: '#pe-23_smt.b' rel: assessment-for links: - href: '#pe-23_smt' rel: assessment-for - id: pe-23_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PE-23-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Physical and environmental protection policy physical site planning documents organizational assessment of risk contingency plan risk mitigation strategy documentation system security plan other relevant documents or records - id: pe-23_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PE-23-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with site selection responsibilities for the facility housing the system organizational personnel with risk mitigation responsibilities organizational personnel with information security responsibilities - id: pe-23_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PE-23-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for site planning - 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 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 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 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: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 guidelines: - prose: frequency to review system security and privacy plans is defined; props: - name: label value: PL-02 class: zero-padded - name: label value: PL-2 - name: label value: PL-02 class: sp800-53a - name: sort-id value: pl-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#30eb758a-2707-4bca-90ad-949a74d4eb16' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference - href: '#ac-2' rel: related - href: '#ac-6' rel: related - href: '#ac-14' rel: related - href: '#ac-17' rel: related - href: '#ac-20' rel: related - href: '#ca-2' rel: related - href: '#ca-3' rel: related - href: '#ca-7' rel: related - href: '#cm-9' rel: related - href: '#cm-13' rel: related - href: '#cp-2' rel: related - href: '#cp-4' rel: related - href: '#ir-4' rel: related - href: '#ir-8' rel: related - href: '#ma-4' rel: related - href: '#ma-5' rel: related - href: '#mp-4' rel: related - href: '#mp-5' rel: related - href: '#pl-7' rel: related - href: '#pl-8' rel: related - href: '#pl-10' rel: related - href: '#pl-11' rel: related - href: '#pm-1' rel: related - href: '#pm-7' rel: related - href: '#pm-8' rel: related - href: '#pm-9' rel: related - href: '#pm-10' rel: related - href: '#pm-11' rel: related - href: '#ra-3' rel: related - href: '#ra-8' rel: related - href: '#ra-9' rel: related - href: '#sa-5' rel: related - href: '#sa-17' rel: related - href: '#sa-22' rel: related - href: '#si-12' rel: related - href: '#sr-2' rel: related - href: '#sr-4' rel: related parts: - id: pl-2_smt name: statement parts: - id: pl-2_smt.a name: item props: - 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: 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: label value: c. prose: 'Review the plans {{ insert: param, pl-02_odp.03 }};' - id: pl-2_smt.d name: item props: - 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 controls: - id: pl-2.1 class: SP800-53-enhancement title: Concept of Operations props: - name: label value: PL-02(01) class: zero-padded - name: label value: PL-2(1) - name: label value: PL-02(01) class: sp800-53a - name: sort-id value: pl-02.01 - name: status value: withdrawn links: - href: '#pl-7' rel: incorporated-into - id: pl-2.2 class: SP800-53-enhancement title: Functional Architecture props: - name: label value: PL-02(02) class: zero-padded - name: label value: PL-2(2) - name: label value: PL-02(02) class: sp800-53a - name: sort-id value: pl-02.02 - name: status value: withdrawn links: - href: '#pl-8' rel: incorporated-into - id: pl-2.3 class: SP800-53-enhancement title: Plan and Coordinate with Other Organizational Entities props: - name: label value: PL-02(03) class: zero-padded - name: label value: PL-2(3) - name: label value: PL-02(03) class: sp800-53a - name: sort-id value: pl-02.03 - name: status value: withdrawn links: - href: '#pl-2' rel: incorporated-into - id: pl-3 class: SP800-53 title: System Security Plan Update props: - name: label value: PL-03 class: zero-padded - name: label value: PL-3 - name: label value: PL-03 class: sp800-53a - name: sort-id value: pl-03 - name: status value: withdrawn links: - href: '#pl-2' rel: incorporated-into - 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 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 select: how-many: one-or-more choice: - '{{ insert: param, pl-04_odp.03 }} ' - when the rules are revised or updated - id: pl-04_odp.03 props: - name: alt-identifier value: pl-4_prm_3 - name: label value: PL-04_ODP[03] class: sp800-53a label: frequency guidelines: - prose: frequency for individuals to read and re-acknowledge the rules of behavior is defined (if selected); props: - name: label value: PL-04 class: zero-padded - name: label value: PL-4 - name: label value: PL-04 class: sp800-53a - name: sort-id value: pl-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#30eb758a-2707-4bca-90ad-949a74d4eb16' rel: reference - href: '#ac-2' rel: related - href: '#ac-6' rel: related - href: '#ac-8' rel: related - href: '#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: 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: 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: 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: 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: 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: 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: 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: 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: '#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: 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: label value: (b) prose: Posting organizational information on public websites; and - id: pl-4.1_smt.c name: item props: - 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: 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: 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: 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-5 class: SP800-53 title: Privacy Impact Assessment props: - name: label value: PL-05 class: zero-padded - name: label value: PL-5 - name: label value: PL-05 class: sp800-53a - name: sort-id value: pl-05 - name: status value: withdrawn links: - href: '#ra-8' rel: incorporated-into - id: pl-6 class: SP800-53 title: Security-related Activity Planning props: - name: label value: PL-06 class: zero-padded - name: label value: PL-6 - name: label value: PL-06 class: sp800-53a - name: sort-id value: pl-06 - name: status value: withdrawn links: - href: '#pl-2' rel: incorporated-into - id: pl-7 class: SP800-53 title: Concept of Operations params: - id: pl-07_odp props: - name: alt-identifier value: pl-7_prm_1 - name: label value: PL-07_ODP class: sp800-53a label: frequency guidelines: - prose: frequency for review and update of the Concept of Operations (CONOPS) is defined; props: - name: label value: PL-07 class: zero-padded - name: label value: PL-7 - name: label value: PL-07 class: sp800-53a - name: sort-id value: pl-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#pl-2' rel: related - href: '#sa-2' rel: related - href: '#si-12' rel: related parts: - id: pl-7_smt name: statement parts: - id: pl-7_smt.a name: item props: - name: label value: a. prose: Develop a Concept of Operations (CONOPS) for the system describing how the organization intends to operate the system from the perspective of information security and privacy; and - id: pl-7_smt.b name: item props: - name: label value: b. prose: 'Review and update the CONOPS {{ insert: param, pl-07_odp }}.' - id: pl-7_gdn name: guidance prose: The CONOPS may be included in the security or privacy plans for the system or in other system development life cycle documents. The CONOPS is a living document that requires updating throughout the system development life cycle. For example, during system design reviews, the concept of operations is checked to ensure that it remains consistent with the design for controls, the system architecture, and the operational procedures. Changes to the CONOPS are reflected in ongoing updates to the security and privacy plans, security and privacy architectures, and other organizational documents, such as procurement specifications, system development life cycle documents, and systems engineering documents. - id: pl-7_obj name: assessment-objective props: - name: label value: PL-07 class: sp800-53a parts: - id: pl-7_obj.a name: assessment-objective props: - name: label value: PL-07a. class: sp800-53a prose: a CONOPS for the system describing how the organization intends to operate the system from the perspective of information security and privacy is developed; links: - href: '#pl-7_smt.a' rel: assessment-for - id: pl-7_obj.b name: assessment-objective props: - name: label value: PL-07b. class: sp800-53a prose: 'the CONOPS is reviewed and updated {{ insert: param, pl-07_odp }}.' links: - href: '#pl-7_smt.b' rel: assessment-for links: - href: '#pl-7_smt' rel: assessment-for - id: pl-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PL-07-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Security and privacy planning policy procedures addressing security and privacy CONOPS development procedures addressing security and privacy CONOPS reviews and updates security and privacy CONOPS for the system system security plan privacy plan records of security and privacy CONOPS reviews and updates other relevant documents or records - id: pl-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PL-07-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: pl-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PL-07-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for developing, reviewing, and updating the security CONOPS mechanisms supporting and/or implementing the development, review, and update of the security CONOPS - 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 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: '#pl-7' rel: related - href: '#pl-9' rel: related - href: '#pm-5' rel: related - href: '#pm-7' rel: related - href: '#ra-9' rel: related - href: '#sa-3' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-17' rel: related - href: '#sc-7' rel: related parts: - id: pl-8_smt name: statement parts: - id: pl-8_smt.a name: item props: - name: 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: 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: 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](#pm-7) , which are integral to and developed as part of the enterprise architecture. The architectures include an architectural description, the allocation of security and privacy functionality (including controls), security- and privacy-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. The architectures can also include other information, such as user roles and the access privileges assigned to each role; security and privacy requirements; types of information processed, stored, and transmitted by the system; supply chain risk management requirements; restoration priorities of information and system services; and other protection needs. [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) provides guidance on the use of security architectures as part of the system development life cycle process. [OMB M-19-03](#c5e11048-1d38-4af3-b00b-0d88dc26860c) requires the use of the systems security engineering concepts described in [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) for high value assets. Security and privacy architectures are reviewed and updated throughout the system development life cycle, from analysis of alternatives through review of the proposed architecture in the RFP responses to the design reviews before and during implementation (e.g., during preliminary design reviews and critical design reviews). In today’s modern computing architectures, it is becoming less common for organizations to control all information resources. There may be key dependencies on external information services and service providers. Describing such dependencies in the security and privacy architectures is necessary for developing a comprehensive mission and business protection strategy. Establishing, developing, documenting, and maintaining under configuration control a baseline configuration for organizational systems is critical to implementing and maintaining effective architectures. The development of the architectures is coordinated with the senior agency information security officer and the senior agency official for privacy to ensure that the controls needed to support security and privacy requirements are identified and effectively implemented. In many circumstances, there may be no distinction between the security and privacy architecture for a system. In other circumstances, security objectives may be adequately satisfied, but privacy objectives may only be partially satisfied by the security requirements. In these cases, consideration of the privacy requirements needed to achieve satisfaction will result in a distinct privacy architecture. The documentation, however, may simply reflect the combined architectures. [PL-8](#pl-8) is primarily directed at organizations to ensure that architectures are developed for the system and, moreover, that the architectures are integrated with or tightly coupled to the enterprise architecture. In contrast, [SA-17](#sa-17) is primarily directed at the external information technology product and system developers and integrators. [SA-17](#sa-17) , which is complementary to [PL-8](#pl-8) , is selected when organizations outsource the development of systems or components to external entities and when there is a need to demonstrate consistency with the organization’s enterprise architecture and security and privacy architectures. - id: pl-8_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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 controls: - id: pl-8.1 class: SP800-53-enhancement title: Defense in Depth params: - id: pl-08.01_odp.01 props: - name: alt-identifier value: pl-8.1_prm_1 - name: label value: PL-08(01)_ODP[01] class: sp800-53a label: controls guidelines: - prose: controls to be allocated are defined; - id: pl-08.01_odp.02 props: - name: alt-identifier value: pl-8.1_prm_2 - name: label value: PL-08(01)_ODP[02] class: sp800-53a label: locations and architectural layers guidelines: - prose: locations and architectural layers are defined; props: - name: label value: PL-08(01) class: zero-padded - name: label value: PL-8(1) - name: label value: PL-08(01) class: sp800-53a - name: sort-id value: pl-08.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#pl-8' rel: required - href: '#sc-2' rel: related - href: '#sc-3' rel: related - href: '#sc-29' rel: related - href: '#sc-36' rel: related parts: - id: pl-8.1_smt name: statement prose: 'Design the security and privacy architectures for the system using a defense-in-depth approach that:' parts: - id: pl-8.1_smt.a name: item props: - name: label value: (a) prose: 'Allocates {{ insert: param, pl-08.01_odp.01 }} to {{ insert: param, pl-08.01_odp.02 }} ; and' - id: pl-8.1_smt.b name: item props: - name: label value: (b) prose: Ensures that the allocated controls operate in a coordinated and mutually reinforcing manner. - id: pl-8.1_gdn name: guidance prose: Organizations strategically allocate security and privacy controls in the security and privacy architectures so that adversaries must overcome multiple controls to achieve their objective. Requiring adversaries to defeat multiple controls makes it more difficult to attack information resources by increasing the work factor of the adversary; it also increases the likelihood of detection. The coordination of allocated controls is essential to ensure that an attack that involves one control does not create adverse, unintended consequences by interfering with other controls. Unintended consequences can include system lockout and cascading alarms. The placement of controls in systems and organizations is an important activity that requires thoughtful analysis. The value of organizational assets is an important consideration in providing additional layering. Defense-in-depth architectural approaches include modularity and layering (see [SA-8(3)](#sa-8.3) ), separation of system and user functionality (see [SC-2](#sc-2) ), and security function isolation (see [SC-3](#sc-3)). - id: pl-8.1_obj name: assessment-objective props: - name: label value: PL-08(01) class: sp800-53a parts: - id: pl-8.1_obj.a name: assessment-objective props: - name: label value: PL-08(01)(a) class: sp800-53a parts: - id: pl-8.1_obj.a-1 name: assessment-objective props: - name: label value: PL-08(01)(a)[01] class: sp800-53a prose: 'the security architecture for the system is designed using a defense-in-depth approach that allocates {{ insert: param, pl-08.01_odp.01 }} to {{ insert: param, pl-08.01_odp.02 }};' links: - href: '#pl-8.1_smt.a' rel: assessment-for - id: pl-8.1_obj.a-2 name: assessment-objective props: - name: label value: PL-08(01)(a)[02] class: sp800-53a prose: 'the privacy architecture for the system is designed using a defense-in-depth approach that allocates {{ insert: param, pl-08.01_odp.01 }} to {{ insert: param, pl-08.01_odp.02 }};' links: - href: '#pl-8.1_smt.a' rel: assessment-for links: - href: '#pl-8.1_smt.a' rel: assessment-for - id: pl-8.1_obj.b name: assessment-objective props: - name: label value: PL-08(01)(b) class: sp800-53a parts: - id: pl-8.1_obj.b-1 name: assessment-objective props: - name: label value: PL-08(01)(b)[01] class: sp800-53a prose: the security architecture for the system is designed using a defense-in-depth approach that ensures the allocated controls operate in a coordinated and mutually reinforcing manner; links: - href: '#pl-8.1_smt.b' rel: assessment-for - id: pl-8.1_obj.b-2 name: assessment-objective props: - name: label value: PL-08(01)(b)[02] class: sp800-53a prose: the privacy architecture for the system is designed using a defense-in-depth approach that ensures the allocated controls operate in a coordinated and mutually reinforcing manner. links: - href: '#pl-8.1_smt.b' rel: assessment-for links: - href: '#pl-8.1_smt.b' rel: assessment-for links: - href: '#pl-8.1_smt' rel: assessment-for - id: pl-8.1_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 enterprise architecture documentation information security and privacy architecture documentation system security plan privacy plan security and privacy CONOPS for the system other relevant documents or records - id: pl-8.1_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-8.1_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 designing the information security and privacy architecture mechanisms supporting and/or implementing the design of the information security and privacy architecture - id: pl-8.2 class: SP800-53-enhancement title: Supplier Diversity params: - id: pl-08.02_odp.01 props: - name: alt-identifier value: pl-8.2_prm_1 - name: label value: PL-08(02)_ODP[01] class: sp800-53a label: controls guidelines: - prose: controls to be allocated are defined; - id: pl-08.02_odp.02 props: - name: alt-identifier value: pl-8.2_prm_2 - name: label value: PL-08(02)_ODP[02] class: sp800-53a label: locations and architectural layers guidelines: - prose: locations and architectural layers are defined; props: - name: label value: PL-08(02) class: zero-padded - name: label value: PL-8(2) - name: label value: PL-08(02) class: sp800-53a - name: sort-id value: pl-08.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#pl-8' rel: required - href: '#sc-29' rel: related - href: '#sr-3' rel: related parts: - id: pl-8.2_smt name: statement prose: 'Require that {{ insert: param, pl-08.02_odp.01 }} allocated to {{ insert: param, pl-08.02_odp.02 }} are obtained from different suppliers.' - id: pl-8.2_gdn name: guidance prose: Information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms based on their priorities and development schedules. By deploying different products at different locations, there is an increased likelihood that at least one of the products will detect the malicious code. With respect to privacy, vendors may offer products that track personally identifiable information in systems. Products may use different tracking methods. Using multiple products may result in more assurance that personally identifiable information is inventoried. - id: pl-8.2_obj name: assessment-objective props: - name: label value: PL-08(02) class: sp800-53a prose: '{{ insert: param, pl-08.02_odp.01 }} that are allocated to {{ insert: param, pl-08.02_odp.02 }} are required to be obtained from different suppliers.' links: - href: '#pl-8.2_smt' rel: assessment-for - id: pl-8.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PL-08(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Security and privacy planning policy procedures addressing information security and privacy architecture development enterprise architecture documentation information security and privacy architecture documentation system security plan privacy plan security and privacy CONOPS for the system IT acquisitions policy other relevant documents or records - id: pl-8.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PL-08(02)-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 acquisition responsibilities organizational personnel with information security and privacy responsibilities - id: pl-8.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PL-08(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for obtaining information security and privacy safeguards from different suppliers - id: pl-9 class: SP800-53 title: Central Management params: - id: pl-09_odp props: - name: alt-identifier value: pl-9_prm_1 - name: label value: PL-09_ODP class: sp800-53a label: controls and related processes guidelines: - prose: security and privacy controls and related processes to be centrally managed are defined; props: - name: label value: PL-09 class: zero-padded - name: label value: PL-9 - name: label value: PL-09 class: sp800-53a - name: sort-id value: pl-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: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#pl-8' rel: related - href: '#pm-9' rel: related parts: - id: pl-9_smt name: statement prose: 'Centrally manage {{ insert: param, pl-09_odp }}.' - id: pl-9_gdn name: guidance prose: |- Central management refers to organization-wide management and implementation of selected controls and processes. This includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed controls and processes. As the central management of controls is generally associated with the concept of common (inherited) controls, such management promotes and facilitates standardization of control implementations and management and the judicious use of organizational resources. Centrally managed controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate and as part of organizational continuous monitoring. Automated tools (e.g., security information and event management tools or enterprise security monitoring and management tools) can improve the accuracy, consistency, and availability of information associated with centrally managed controls and processes. Automation can also provide data aggregation and data correlation capabilities; alerting mechanisms; and dashboards to support risk-based decision-making within the organization. As part of the control selection processes, organizations determine the controls that may be suitable for central management based on resources and capabilities. It is not always possible to centrally manage every aspect of a control. In such cases, the control can be treated as a hybrid control with the control managed and implemented centrally or at the system level. The controls and control enhancements that are candidates for full or partial central management include but are not limited to: [AC-2(1)](#ac-2.1), [AC-2(2)](#ac-2.2), [AC-2(3)](#ac-2.3), [AC-2(4)](#ac-2.4), [AC-4(all)](#ac-4), [AC-17(1)](#ac-17.1), [AC-17(2)](#ac-17.2), [AC-17(3)](#ac-17.3), [AC-17(9)](#ac-17.9), [AC-18(1)](#ac-18.1), [AC-18(3)](#ac-18.3), [AC-18(4)](#ac-18.4), [AC-18(5)](#ac-18.5), [AC-19(4)](#ac-19.4), [AC-22](#ac-22), [AC-23](#ac-23), [AT-2(1)](#at-2.1), [AT-2(2)](#at-2.2), [AT-3(1)](#at-3.1), [AT-3(2)](#at-3.2), [AT-3(3)](#at-3.3), [AT-4](#at-4), [AU-3](#au-3), [AU-6(1)](#au-6.1), [AU-6(3)](#au-6.3), [AU-6(5)](#au-6.5), [AU-6(6)](#au-6.6), [AU-6(9)](#au-6.9), [AU-7(1)](#au-7.1), [AU-7(2)](#au-7.2), [AU-11](#au-11), [AU-13](#au-13), [AU-16](#au-16), [CA-2(1)](#ca-2.1), [CA-2(2)](#ca-2.2), [CA-2(3)](#ca-2.3), [CA-3(1)](#ca-3.1), [CA-3(2)](#ca-3.2), [CA-3(3)](#ca-3.3), [CA-7(1)](#ca-7.1), [CA-9](#ca-9), [CM-2(2)](#cm-2.2), [CM-3(1)](#cm-3.1), [CM-3(4)](#cm-3.4), [CM-4](#cm-4), [CM-6](#cm-6), [CM-6(1)](#cm-6.1), [CM-7(2)](#cm-7.2), [CM-7(4)](#cm-7.4), [CM-7(5)](#cm-7.5), [CM-8(all)](#cm-8), [CM-9(1)](#cm-9.1), [CM-10](#cm-10), [CM-11](#cm-11), [CP-7(all)](#cp-7), [CP-8(all)](#cp-8), [SC-43](#sc-43), [SI-2](#si-2), [SI-3](#si-3), [SI-4(all)](#si-4), [SI-7](#si-7), [SI-8](#si-8). - id: pl-9_obj name: assessment-objective props: - name: label value: PL-09 class: sp800-53a prose: '{{ insert: param, pl-09_odp }} are centrally managed.' links: - href: '#pl-9_smt' rel: assessment-for - id: pl-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PL-09-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Security and privacy planning policy procedures addressing security and privacy plan development and implementation system security plan privacy plan other relevant documents or records - id: pl-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PL-09-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with security and privacy planning and plan implementation responsibilities organizational personnel with responsibilities for planning/implementing central management of controls and related processes organizational personnel with information security and privacy responsibilities - id: pl-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PL-09-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for the central management of controls and related processes mechanisms supporting and/or implementing central management of controls and related processes - 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 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_obj name: assessment-objective props: - name: label value: PL-10 class: sp800-53a prose: a control baseline for the system is selected. links: - href: '#pl-10_smt' rel: assessment-for - id: pl-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PL-10-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Security and privacy planning policy procedures addressing system security and privacy plan development and implementation procedures addressing system security and privacy plan reviews and updates system design documentation system architecture and configuration documentation system categorization decision information types stored, transmitted, and processed by the system system element/component information stakeholder needs analysis list of security and privacy requirements allocated to the system, system elements, and environment of operation list of contractual requirements allocated to external providers of the system or system element business impact analysis or criticality analysis risk assessments risk management strategy organizational security and privacy policy federal or organization-approved or mandated baselines or overlays system security plan privacy plan other relevant documents or records - id: pl-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PL-10-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with security and privacy planning and plan implementation responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with responsibility for organizational risk management activities - id: pl-11 class: SP800-53 title: Baseline Tailoring props: - name: label value: PL-11 class: zero-padded - name: label value: PL-11 - name: label value: PL-11 class: sp800-53a - name: sort-id value: pl-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#599fb53d-5041-444e-a7fe-640d6d30ad05' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#46d9e201-840e-440e-987c-2c773333c752' rel: reference - href: '#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a' rel: reference - href: '#9be5d661-421f-41ad-854e-86f98b811891' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#4e4fbc93-333d-45e6-a875-de36b878b6b9' rel: reference - href: '#pl-10' rel: related - href: '#ra-2' rel: related - href: '#ra-3' rel: related - href: '#ra-9' rel: related - href: '#sa-8' rel: related parts: - id: pl-11_smt name: statement 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: 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: pm class: family title: Program Management parts: - id: pm_ovw name: overview title: Program Management Controls prose: |- [FISMA](#0c67b2a9-bede-43d2-b86d-5f35b8be36e9), [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) , and [OMB A-130](#27847491-5ce1-4f6a-a1e4-9e483782f0ef) require federal agencies to develop, implement, and provide oversight for organization-wide information security and privacy programs to help ensure the confidentiality, integrity, and availability of federal information processed, stored, and transmitted by federal information systems and to protect individual privacy. The program management (PM) controls described in this section are implemented at the organization level and not directed at individual information systems. The PM controls have been designed to facilitate organizational compliance with applicable federal laws, executive orders, directives, policies, regulations, and standards. The controls are independent of [FIPS 200](#599fb53d-5041-444e-a7fe-640d6d30ad05) impact levels and, therefore, are not associated with the control baselines described in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752). Organizations document program management controls in the information security and privacy program plans. The organization-wide information security program plan (see [PM-1](#pm-1) ) and privacy program plan (see [PM-18](#pm-18) ) supplement system security and privacy plans (see [PL-2](#pl-2) ) developed for organizational information systems. Together, the system security and privacy plans for the individual information systems and the information security and privacy program plans cover the totality of security and privacy controls employed by the organization. controls: - id: pm-1 class: SP800-53 title: Information Security Program Plan params: - id: pm-01_odp.01 props: - name: alt-identifier value: pm-1_prm_1 - name: label value: PM-01_ODP[01] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to review and update the organization-wide information security program plan is defined; - id: pm-01_odp.02 props: - name: alt-identifier value: pm-1_prm_2 - name: label value: PM-01_ODP[02] class: sp800-53a label: events guidelines: - prose: events that trigger the review and update of the organization-wide information security program plan are defined; props: - name: label value: PM-01 class: zero-padded - name: label value: PM-1 - name: label value: PM-01 class: sp800-53a - name: sort-id value: pm-01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#0c67b2a9-bede-43d2-b86d-5f35b8be36e9' rel: reference - 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: '#pl-2' rel: related - href: '#pm-18' rel: related - href: '#pm-30' rel: related - href: '#ra-9' rel: related - href: '#si-12' rel: related - href: '#sr-2' rel: related parts: - id: pm-1_smt name: statement parts: - id: pm-1_smt.a name: item props: - name: label value: a. prose: 'Develop and disseminate an organization-wide information security program plan that:' parts: - id: pm-1_smt.a.1 name: item props: - name: label value: "1." prose: Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements; - id: pm-1_smt.a.2 name: item props: - name: label value: "2." prose: Includes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance; - id: pm-1_smt.a.3 name: item props: - name: label value: "3." prose: Reflects the coordination among organizational entities responsible for information security; and - id: pm-1_smt.a.4 name: item props: - name: label value: "4." prose: Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation; - id: pm-1_smt.b name: item props: - name: label value: b. prose: 'Review and update the organization-wide information security program plan {{ insert: param, pm-01_odp.01 }} and following {{ insert: param, pm-01_odp.02 }} ; and' - id: pm-1_smt.c name: item props: - name: label value: c. prose: Protect the information security program plan from unauthorized disclosure and modification. - id: pm-1_gdn name: guidance prose: |- An information security program plan is a formal document that provides an overview of the security requirements for an organization-wide information security program and describes the program management controls and common controls in place or planned for meeting those requirements. An information security program plan can be represented in a single document or compilations of documents. Privacy program plans and supply chain risk management plans are addressed separately in [PM-18](#pm-18) and [SR-2](#sr-2) , respectively. An information security program plan documents implementation details about program management and common controls. The plan provides sufficient information about the controls (including specification of parameters for assignment and selection operations, explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plan and a determination of the risk to be incurred if the plan is implemented as intended. Updates to information security program plans include organizational changes and problems identified during plan implementation or control assessments. Program management controls may be implemented at the organization level or the mission or business process level, and are essential for managing the organization’s information security program. Program management controls are distinct from common, system-specific, and hybrid controls because program management controls are independent of any particular system. Together, the individual system security plans and the organization-wide information security program plan provide complete coverage for the security controls employed within the organization. Common controls available for inheritance by organizational systems are documented in an appendix to the organization’s information security program plan unless the controls are included in a separate security plan for a system. The organization-wide information security program plan indicates which separate security plans contain descriptions of common controls. Events that may precipitate an update to the information security program plan include, but are not limited to, organization-wide assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. - id: pm-1_obj name: assessment-objective props: - name: label value: PM-01 class: sp800-53a parts: - id: pm-1_obj.a name: assessment-objective props: - name: label value: PM-01a. class: sp800-53a parts: - id: pm-1_obj.a-1 name: assessment-objective props: - name: label value: PM-01a.[01] class: sp800-53a prose: an organization-wide information security program plan is developed; links: - href: '#pm-1_smt.a' rel: assessment-for - id: pm-1_obj.a-2 name: assessment-objective props: - name: label value: PM-01a.[02] class: sp800-53a prose: the information security program plan is disseminated; links: - href: '#pm-1_smt.a' rel: assessment-for - id: pm-1_obj.a.1 name: assessment-objective props: - name: label value: PM-01a.01 class: sp800-53a parts: - id: pm-1_obj.a.1-1 name: assessment-objective props: - name: label value: PM-01a.01[01] class: sp800-53a prose: the information security program plan provides an overview of the requirements for the security program; links: - href: '#pm-1_smt.a.1' rel: assessment-for - id: pm-1_obj.a.1-2 name: assessment-objective props: - name: label value: PM-01a.01[02] class: sp800-53a prose: the information security program plan provides a description of the security program management controls in place or planned for meeting those requirements; links: - href: '#pm-1_smt.a.1' rel: assessment-for - id: pm-1_obj.a.1-3 name: assessment-objective props: - name: label value: PM-01a.01[03] class: sp800-53a prose: the information security program plan provides a description of the common controls in place or planned for meeting those requirements; links: - href: '#pm-1_smt.a.1' rel: assessment-for links: - href: '#pm-1_smt.a.1' rel: assessment-for - id: pm-1_obj.a.2 name: assessment-objective props: - name: label value: PM-01a.02 class: sp800-53a parts: - id: pm-1_obj.a.2-1 name: assessment-objective props: - name: label value: PM-01a.02[01] class: sp800-53a prose: the information security program plan includes the identification and assignment of roles; links: - href: '#pm-1_smt.a.2' rel: assessment-for - id: pm-1_obj.a.2-2 name: assessment-objective props: - name: label value: PM-01a.02[02] class: sp800-53a prose: the information security program plan includes the identification and assignment of responsibilities; links: - href: '#pm-1_smt.a.2' rel: assessment-for - id: pm-1_obj.a.2-3 name: assessment-objective props: - name: label value: PM-01a.02[03] class: sp800-53a prose: the information security program plan addresses management commitment; links: - href: '#pm-1_smt.a.2' rel: assessment-for - id: pm-1_obj.a.2-4 name: assessment-objective props: - name: label value: PM-01a.02[04] class: sp800-53a prose: the information security program plan addresses coordination among organizational entities; links: - href: '#pm-1_smt.a.2' rel: assessment-for - id: pm-1_obj.a.2-5 name: assessment-objective props: - name: label value: PM-01a.02[05] class: sp800-53a prose: the information security program plan addresses compliance; links: - href: '#pm-1_smt.a.2' rel: assessment-for links: - href: '#pm-1_smt.a.2' rel: assessment-for - id: pm-1_obj.a.3 name: assessment-objective props: - name: label value: PM-01a.03 class: sp800-53a prose: the information security program plan reflects the coordination among the organizational entities responsible for information security; links: - href: '#pm-1_smt.a.3' rel: assessment-for - id: pm-1_obj.a.4 name: assessment-objective props: - name: label value: PM-01a.04 class: sp800-53a prose: the information security program plan is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation; links: - href: '#pm-1_smt.a.4' rel: assessment-for links: - href: '#pm-1_smt.a' rel: assessment-for - id: pm-1_obj.b name: assessment-objective props: - name: label value: PM-01b. class: sp800-53a parts: - id: pm-1_obj.b-1 name: assessment-objective props: - name: label value: PM-01b.[01] class: sp800-53a prose: 'the information security program plan is reviewed and updated {{ insert: param, pm-01_odp.01 }};' links: - href: '#pm-1_smt.b' rel: assessment-for - id: pm-1_obj.b-2 name: assessment-objective props: - name: label value: PM-01b.[02] class: sp800-53a prose: 'the information security program plan is reviewed and updated following {{ insert: param, pm-01_odp.02 }};' links: - href: '#pm-1_smt.b' rel: assessment-for links: - href: '#pm-1_smt.b' rel: assessment-for - id: pm-1_obj.c name: assessment-objective props: - name: label value: PM-01c. class: sp800-53a parts: - id: pm-1_obj.c-1 name: assessment-objective props: - name: label value: PM-01c.[01] class: sp800-53a prose: the information security program plan is protected from unauthorized disclosure; links: - href: '#pm-1_smt.c' rel: assessment-for - id: pm-1_obj.c-2 name: assessment-objective props: - name: label value: PM-01c.[02] class: sp800-53a prose: the information security program plan is protected from unauthorized modification. links: - href: '#pm-1_smt.c' rel: assessment-for links: - href: '#pm-1_smt.c' rel: assessment-for links: - href: '#pm-1_smt' rel: assessment-for - id: pm-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-01-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan procedures addressing program plan development and implementation procedures addressing program plan reviews and updates procedures addressing coordination of the program plan with relevant entities procedures for program plan approvals records of program plan reviews and updates other relevant documents or records - id: pm-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-01-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security program planning and plan implementation responsibilities organizational personnel with information security responsibilities - id: pm-1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-01-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for information security program plan development, review, update, and approval mechanisms supporting and/or implementing the information security program plan - id: pm-2 class: SP800-53 title: Information Security Program Leadership Role props: - name: label value: PM-02 class: zero-padded - name: label value: PM-2 - name: label value: PM-02 class: sp800-53a - name: sort-id value: pm-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#81c44706-0227-4258-a920-620a4d259990' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#276bd50a-7e58-48e5-a405-8c8cb91d7a5f' rel: reference parts: - id: pm-2_smt name: statement prose: Appoint a senior agency information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program. - id: pm-2_gdn name: guidance prose: The senior agency information security officer is an organizational official. For federal agencies (as defined by applicable laws, executive orders, regulations, directives, policies, and standards), this official is the senior agency information security officer. Organizations may also refer to this official as the senior information security officer or chief information security officer. - id: pm-2_obj name: assessment-objective props: - name: label value: PM-02 class: sp800-53a parts: - id: pm-2_obj-1 name: assessment-objective props: - name: label value: PM-02[01] class: sp800-53a prose: a senior agency information security officer is appointed; links: - href: '#pm-2_smt' rel: assessment-for - id: pm-2_obj-2 name: assessment-objective props: - name: label value: PM-02[02] class: sp800-53a prose: the senior agency information security officer is provided with the mission and resources to coordinate an organization-wide information security program; links: - href: '#pm-2_smt' rel: assessment-for - id: pm-2_obj-3 name: assessment-objective props: - name: label value: PM-02[03] class: sp800-53a prose: the senior agency information security officer is provided with the mission and resources to develop an organization-wide information security program; links: - href: '#pm-2_smt' rel: assessment-for - id: pm-2_obj-4 name: assessment-objective props: - name: label value: PM-02[04] class: sp800-53a prose: the senior agency information security officer is provided with the mission and resources to implement an organization-wide information security program; links: - href: '#pm-2_smt' rel: assessment-for - id: pm-2_obj-5 name: assessment-objective props: - name: label value: PM-02[05] class: sp800-53a prose: the senior agency information security officer is provided with the mission and resources to maintain an organization-wide information security program. links: - href: '#pm-2_smt' rel: assessment-for links: - href: '#pm-2_smt' rel: assessment-for - id: pm-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-02-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan procedures addressing program plan development and implementation procedures addressing program plan reviews and updates procedures addressing coordination of the program plan with relevant entities other relevant documents or records - id: pm-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-02-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security program planning and plan implementation responsibilities senior information security officer organizational personnel with information security responsibilities - id: pm-3 class: SP800-53 title: Information Security and Privacy Resources props: - name: label value: PM-03 class: zero-padded - name: label value: PM-3 - name: label value: PM-03 class: sp800-53a - name: sort-id value: pm-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#pm-4' rel: related - href: '#sa-2' rel: related parts: - id: pm-3_smt name: statement parts: - id: pm-3_smt.a name: item props: - name: label value: a. prose: Include the resources needed to implement the information security and privacy programs in capital planning and investment requests and document all exceptions to this requirement; - id: pm-3_smt.b name: item props: - name: label value: b. prose: Prepare documentation required for addressing information security and privacy programs in capital planning and investment requests in accordance with applicable laws, executive orders, directives, policies, regulations, standards; and - id: pm-3_smt.c name: item props: - name: label value: c. prose: Make available for expenditure, the planned information security and privacy resources. - id: pm-3_gdn name: guidance prose: Organizations consider establishing champions for information security and privacy and, as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board or similar group to manage and provide oversight for the information security and privacy aspects of the capital planning and investment control process. - id: pm-3_obj name: assessment-objective props: - name: label value: PM-03 class: sp800-53a parts: - id: pm-3_obj.a name: assessment-objective props: - name: label value: PM-03a. class: sp800-53a parts: - id: pm-3_obj.a-1 name: assessment-objective props: - name: label value: PM-03a.[01] class: sp800-53a prose: the resources needed to implement the information security program are included in capital planning and investment requests, and all exceptions are documented; links: - href: '#pm-3_smt.a' rel: assessment-for - id: pm-3_obj.a-2 name: assessment-objective props: - name: label value: PM-03a.[02] class: sp800-53a prose: the resources needed to implement the privacy program are included in capital planning and investment requests, and all exceptions are documented; links: - href: '#pm-3_smt.a' rel: assessment-for links: - href: '#pm-3_smt.a' rel: assessment-for - id: pm-3_obj.b name: assessment-objective props: - name: label value: PM-03b. class: sp800-53a parts: - id: pm-3_obj.b-1 name: assessment-objective props: - name: label value: PM-03b.[01] class: sp800-53a prose: the documentation required for addressing the information security program in capital planning and investment requests is prepared in accordance with applicable laws, executive orders, directives, policies, regulations, standards; links: - href: '#pm-3_smt.b' rel: assessment-for - id: pm-3_obj.b-2 name: assessment-objective props: - name: label value: PM-03b.[02] class: sp800-53a prose: the documentation required for addressing the privacy program in capital planning and investment requests is prepared in accordance with applicable laws, executive orders, directives, policies, regulations, standards; links: - href: '#pm-3_smt.b' rel: assessment-for links: - href: '#pm-3_smt.b' rel: assessment-for - id: pm-3_obj.c name: assessment-objective props: - name: label value: PM-03c. class: sp800-53a parts: - id: pm-3_obj.c-1 name: assessment-objective props: - name: label value: PM-03c.[01] class: sp800-53a prose: information security resources are made available for expenditure as planned; links: - href: '#pm-3_smt.c' rel: assessment-for - id: pm-3_obj.c-2 name: assessment-objective props: - name: label value: PM-03c.[02] class: sp800-53a prose: privacy resources are made available for expenditure as planned. links: - href: '#pm-3_smt.c' rel: assessment-for links: - href: '#pm-3_smt.c' rel: assessment-for links: - href: '#pm-3_smt' rel: assessment-for - id: pm-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-03-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan Exhibit 300 Exhibit 53 business cases for capital planning and investment procedures for capital planning and investment documentation of exceptions to capital planning requirements other relevant documents or records - id: pm-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-03-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security program planning responsibilities organizational personnel with privacy program planning responsibilities organizational personnel responsible for capital planning and investment organizational personnel with information security responsibilities organizational personnel with privacy responsibilities - id: pm-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-03-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for capital planning and investment organizational processes for business case, Exhibit 300, and Exhibit 53 development mechanisms supporting the capital planning and investment process - id: pm-4 class: SP800-53 title: Plan of Action and Milestones Process props: - name: label value: PM-04 class: zero-padded - name: label value: PM-4 - name: label value: PM-04 class: sp800-53a - name: sort-id value: pm-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#18e71fec-c6fd-475a-925a-5d8495cf8455' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#ca-5' rel: related - href: '#ca-7' rel: related - href: '#pm-3' rel: related - href: '#ra-7' rel: related - href: '#si-12' rel: related parts: - id: pm-4_smt name: statement parts: - id: pm-4_smt.a name: item props: - name: label value: a. prose: 'Implement a process to ensure that plans of action and milestones for the information security, privacy, and supply chain risk management programs and associated organizational systems:' parts: - id: pm-4_smt.a.1 name: item props: - name: label value: "1." prose: Are developed and maintained; - id: pm-4_smt.a.2 name: item props: - name: label value: "2." prose: Document the remedial information security, privacy, and supply chain risk management actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and - id: pm-4_smt.a.3 name: item props: - name: label value: "3." prose: Are reported in accordance with established reporting requirements. - id: pm-4_smt.b name: item props: - name: label value: b. prose: Review plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions. - id: pm-4_gdn name: guidance prose: The plan of action and milestones is a key organizational document and is subject to reporting requirements established by the Office of Management and Budget. Organizations develop plans of action and milestones with an organization-wide perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from control assessments and continuous monitoring activities. There can be multiple plans of action and milestones corresponding to the information system level, mission/business process level, and organizational/governance level. While plans of action and milestones are required for federal organizations, other types of organizations can help reduce risk by documenting and tracking planned remediations. Specific guidance on plans of action and milestones at the system level is provided in [CA-5](#ca-5). - id: pm-4_obj name: assessment-objective props: - name: label value: PM-04 class: sp800-53a parts: - id: pm-4_obj.a name: assessment-objective props: - name: label value: PM-04a. class: sp800-53a parts: - id: pm-4_obj.a.1 name: assessment-objective props: - name: label value: PM-04a.01 class: sp800-53a parts: - id: pm-4_obj.a.1-1 name: assessment-objective props: - name: label value: PM-04a.01[01] class: sp800-53a prose: a process to ensure that plans of action and milestones for the information security program and associated organizational systems are developed; links: - href: '#pm-4_smt.a.1' rel: assessment-for - id: pm-4_obj.a.1-2 name: assessment-objective props: - name: label value: PM-04a.01[02] class: sp800-53a prose: a process to ensure that plans of action and milestones for the information security program and associated organizational systems are maintained; links: - href: '#pm-4_smt.a.1' rel: assessment-for - id: pm-4_obj.a.1-3 name: assessment-objective props: - name: label value: PM-04a.01[03] class: sp800-53a prose: a process to ensure that plans of action and milestones for the privacy program and associated organizational systems are developed; links: - href: '#pm-4_smt.a.1' rel: assessment-for - id: pm-4_obj.a.1-4 name: assessment-objective props: - name: label value: PM-04a.01[04] class: sp800-53a prose: a process to ensure that plans of action and milestones for the privacy program and associated organizational systems are maintained; links: - href: '#pm-4_smt.a.1' rel: assessment-for - id: pm-4_obj.a.1-5 name: assessment-objective props: - name: label value: PM-04a.01[05] class: sp800-53a prose: a process to ensure that plans of action and milestones for the supply chain risk management program and associated organizational systems are developed; links: - href: '#pm-4_smt.a.1' rel: assessment-for - id: pm-4_obj.a.1-6 name: assessment-objective props: - name: label value: PM-04a.01[06] class: sp800-53a prose: a process to ensure that plans of action and milestones for the supply chain risk management program and associated organizational systems are maintained; links: - href: '#pm-4_smt.a.1' rel: assessment-for links: - href: '#pm-4_smt.a.1' rel: assessment-for - id: pm-4_obj.a.2 name: assessment-objective props: - name: label value: PM-04a.02 class: sp800-53a parts: - id: pm-4_obj.a.2-1 name: assessment-objective props: - name: label value: PM-04a.02[01] class: sp800-53a prose: a process to ensure that plans of action and milestones for the information security program and associated organizational systems document remedial information security risk management actions to adequately respond to risks to organizational operations and assets, individuals, other organizations, and the Nation; links: - href: '#pm-4_smt.a.2' rel: assessment-for - id: pm-4_obj.a.2-2 name: assessment-objective props: - name: label value: PM-04a.02[02] class: sp800-53a prose: a process to ensure that plans of action and milestones for the privacy program and associated organizational systems document remedial privacy risk management actions to adequately respond to risks to organizational operations and assets, individuals, other organizations, and the Nation; links: - href: '#pm-4_smt.a.2' rel: assessment-for - id: pm-4_obj.a.2-3 name: assessment-objective props: - name: label value: PM-04a.02[03] class: sp800-53a prose: a process to ensure that plans of action and milestones for the supply chain risk management program and associated organizational systems document remedial supply chain risk management actions to adequately respond to risks to organizational operations and assets, individuals, other organizations, and the Nation; links: - href: '#pm-4_smt.a.2' rel: assessment-for links: - href: '#pm-4_smt.a.2' rel: assessment-for - id: pm-4_obj.a.3 name: assessment-objective props: - name: label value: PM-04a.03 class: sp800-53a parts: - id: pm-4_obj.a.3-1 name: assessment-objective props: - name: label value: PM-04a.03[01] class: sp800-53a prose: a process to ensure that plans of action and milestones for the information security risk management programs and associated organizational systems are reported in accordance with established reporting requirements; links: - href: '#pm-4_smt.a.3' rel: assessment-for - id: pm-4_obj.a.3-2 name: assessment-objective props: - name: label value: PM-04a.03[02] class: sp800-53a prose: a process to ensure that plans of action and milestones for the privacy risk management programs and associated organizational systems are reported in accordance with established reporting requirements; links: - href: '#pm-4_smt.a.3' rel: assessment-for - id: pm-4_obj.a.3-3 name: assessment-objective props: - name: label value: PM-04a.03[03] class: sp800-53a prose: a process to ensure that plans of action and milestones for the supply chain risk management programs and associated organizational systems are reported in accordance with established reporting requirements; links: - href: '#pm-4_smt.a.3' rel: assessment-for links: - href: '#pm-4_smt.a.3' rel: assessment-for links: - href: '#pm-4_smt.a' rel: assessment-for - id: pm-4_obj.b name: assessment-objective props: - name: label value: PM-04b. class: sp800-53a parts: - id: pm-4_obj.b-1 name: assessment-objective props: - name: label value: PM-04b.[01] class: sp800-53a prose: plans of action and milestones are reviewed for consistency with the organizational risk management strategy; links: - href: '#pm-4_smt.b' rel: assessment-for - id: pm-4_obj.b-2 name: assessment-objective props: - name: label value: PM-04b.[02] class: sp800-53a prose: plans of action and milestones are reviewed for consistency with organization-wide priorities for risk response actions. links: - href: '#pm-4_smt.b' rel: assessment-for links: - href: '#pm-4_smt.b' rel: assessment-for links: - href: '#pm-4_smt' rel: assessment-for - id: pm-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-04-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan plans of action and milestones procedures addressing plans of action and milestones development and maintenance procedures addressing plans of action and milestones reporting procedures for reviewing plans of action and milestones for consistency with risk management strategy and risk response priorities results of risk assessments associated with plans of action and milestones OMB FISMA reporting requirements other relevant documents or records - id: pm-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-04-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for developing, maintaining, reviewing, and reporting plans of action and milestones organizational personnel with information security responsibilities - id: pm-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-04-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for plan of action and milestones development, review, maintenance, and reporting mechanisms supporting plans of action and milestones - id: pm-5 class: SP800-53 title: System Inventory params: - id: pm-05_odp props: - name: alt-identifier value: pm-5_prm_1 - name: label value: PM-05_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency at which to update the inventory of organizational systems is defined; props: - name: label value: PM-05 class: zero-padded - name: label value: PM-5 - name: label value: PM-05 class: sp800-53a - name: sort-id value: pm-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference parts: - id: pm-5_smt name: statement prose: 'Develop and update {{ insert: param, pm-05_odp }} an inventory of organizational systems.' - id: pm-5_gdn name: guidance prose: '[OMB A-130](#27847491-5ce1-4f6a-a1e4-9e483782f0ef) provides guidance on developing systems inventories and associated reporting requirements. System inventory refers to an organization-wide inventory of systems, not system components as described in [CM-8](#cm-8).' - id: pm-5_obj name: assessment-objective props: - name: label value: PM-05 class: sp800-53a parts: - id: pm-5_obj-1 name: assessment-objective props: - name: label value: PM-05[01] class: sp800-53a prose: an inventory of organizational systems is developed; links: - href: '#pm-5_smt' rel: assessment-for - id: pm-5_obj-2 name: assessment-objective props: - name: label value: PM-05[02] class: sp800-53a prose: 'the inventory of organizational systems is updated {{ insert: param, pm-05_odp }}.' links: - href: '#pm-5_smt' rel: assessment-for links: - href: '#pm-5_smt' rel: assessment-for - id: pm-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-05-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan system inventory procedures addressing system inventory development and maintenance OMB FISMA reporting guidance other relevant documents or records - id: pm-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-05-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security program planning and plan implementation responsibilities organizational personnel responsible for developing and maintaining the system inventory organizational personnel with information security responsibilities - id: pm-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-05-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for system inventory development and maintenance mechanisms supporting the system inventory controls: - id: pm-5.1 class: SP800-53-enhancement title: Inventory of Personally Identifiable Information params: - id: pm-05.01_odp props: - name: alt-identifier value: pm-5.1_prm_1 - name: label value: PM-05(01)_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency at which to update the inventory of systems, applications, and projects that process personally identifiable information is defined; props: - name: label value: PM-05(01) class: zero-padded - name: label value: PM-5(1) - name: label value: PM-05(01) class: sp800-53a - name: sort-id value: pm-05.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pm-5' rel: required - href: '#ac-3' rel: related - href: '#cm-8' rel: related - href: '#cm-12' rel: related - href: '#cm-13' rel: related - href: '#pl-8' rel: related - href: '#pm-22' rel: related - href: '#pt-3' rel: related - href: '#pt-5' rel: related - href: '#si-12' rel: related - href: '#si-18' rel: related parts: - id: pm-5.1_smt name: statement prose: 'Establish, maintain, and update {{ insert: param, pm-05.01_odp }} an inventory of all systems, applications, and projects that process personally identifiable information.' - id: pm-5.1_gdn name: guidance prose: An inventory of systems, applications, and projects that process personally identifiable information supports the mapping of data actions, providing individuals with privacy notices, maintaining accurate personally identifiable information, and limiting the processing of personally identifiable information when such information is not needed for operational purposes. Organizations may use this inventory to ensure that systems only process the personally identifiable information for authorized purposes and that this processing is still relevant and necessary for the purpose specified therein. - id: pm-5.1_obj name: assessment-objective props: - name: label value: PM-05(01) class: sp800-53a parts: - id: pm-5.1_obj-1 name: assessment-objective props: - name: label value: PM-05(01)[01] class: sp800-53a prose: an inventory of all systems, applications, and projects that process personally identifiable information is established; links: - href: '#pm-5.1_smt' rel: assessment-for - id: pm-5.1_obj-2 name: assessment-objective props: - name: label value: PM-05(01)[02] class: sp800-53a prose: an inventory of all systems, applications, and projects that process personally identifiable information is maintained; links: - href: '#pm-5.1_smt' rel: assessment-for - id: pm-5.1_obj-3 name: assessment-objective props: - name: label value: PM-05(01)[03] class: sp800-53a prose: 'an inventory of all systems, applications, and projects that process personally identifiable information is updated {{ insert: param, pm-05.01_odp }}.' links: - href: '#pm-5.1_smt' rel: assessment-for links: - href: '#pm-5.1_smt' rel: assessment-for - id: pm-5.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-05(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Procedures addressing system inventory development, maintenance, and updates OMB FISMA reporting guidance privacy program plan information security program plan personally identifiable information processing policy system inventory personally identifiable information inventory data mapping documentation other relevant documents or records - id: pm-5.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-05(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with privacy program planning and plan implementation responsibilities organizational personnel responsible for developing and maintaining the system inventory organizational personnel with information security and privacy responsibilities - id: pm-5.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-05(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for system inventory development, maintenance, and updates mechanisms supporting the system inventory - id: pm-6 class: SP800-53 title: Measures of Performance props: - name: label value: PM-06 class: zero-padded - name: label value: PM-6 - name: label value: PM-06 class: sp800-53a - name: sort-id value: pm-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: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#7798067b-4ed0-4adc-a505-79dad4741693' rel: reference - href: '#067223d8-1ec7-45c5-b21b-c848da6de8fb' rel: reference - href: '#ca-7' rel: related - href: '#pm-9' rel: related parts: - id: pm-6_smt name: statement prose: Develop, monitor, and report on the results of information security and privacy measures of performance. - id: pm-6_gdn name: guidance prose: Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security and privacy programs and the controls employed in support of the program. To facilitate security and privacy risk management, organizations consider aligning measures of performance with the organizational risk tolerance as defined in the risk management strategy. - id: pm-6_obj name: assessment-objective props: - name: label value: PM-06 class: sp800-53a parts: - id: pm-6_obj-1 name: assessment-objective props: - name: label value: PM-06[01] class: sp800-53a prose: information security measures of performance are developed; links: - href: '#pm-6_smt' rel: assessment-for - id: pm-6_obj-2 name: assessment-objective props: - name: label value: PM-06[02] class: sp800-53a prose: information security measures of performance are monitored; links: - href: '#pm-6_smt' rel: assessment-for - id: pm-6_obj-3 name: assessment-objective props: - name: label value: PM-06[03] class: sp800-53a prose: the results of information security measures of performance are reported; links: - href: '#pm-6_smt' rel: assessment-for - id: pm-6_obj-4 name: assessment-objective props: - name: label value: PM-06[04] class: sp800-53a prose: privacy measures of performance are developed; links: - href: '#pm-6_smt' rel: assessment-for - id: pm-6_obj-5 name: assessment-objective props: - name: label value: PM-06[05] class: sp800-53a prose: privacy measures of performance are monitored; links: - href: '#pm-6_smt' rel: assessment-for - id: pm-6_obj-6 name: assessment-objective props: - name: label value: PM-06[06] class: sp800-53a prose: the results of privacy measures of performance are reported. links: - href: '#pm-6_smt' rel: assessment-for links: - href: '#pm-6_smt' rel: assessment-for - id: pm-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-06-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan privacy program plan information security measures of performance privacy measures of performance procedures addressing the development, monitoring, and reporting of information security and privacy measures of performance risk management strategy other relevant documents or records - id: pm-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-06-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy program planning and plan implementation responsibilities organizational personnel responsible for developing, monitoring, and reporting information security and privacy measures of performance organizational personnel with information security and privacy responsibilities - id: pm-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-06-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for developing, monitoring, and reporting information security and privacy measures of performance mechanisms supporting the development, monitoring, and reporting of information security and privacy measures of performance - id: pm-7 class: SP800-53 title: Enterprise Architecture props: - name: label value: PM-07 class: zero-padded - name: label value: PM-7 - name: label value: PM-07 class: sp800-53a - name: sort-id value: pm-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization 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: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference - href: '#au-6' rel: related - href: '#pl-2' rel: related - href: '#pl-8' rel: related - href: '#pm-11' rel: related - href: '#ra-2' rel: related - href: '#sa-3' rel: related - href: '#sa-8' rel: related - href: '#sa-17' rel: related parts: - id: pm-7_smt name: statement prose: Develop and maintain an enterprise architecture with consideration for information security, privacy, and the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation. - id: pm-7_gdn name: guidance prose: The integration of security and privacy requirements and controls into the enterprise architecture helps to ensure that security and privacy considerations are addressed throughout the system development life cycle and are explicitly related to the organization’s mission and business processes. The process of security and privacy requirements integration also embeds into the enterprise architecture and the organization’s security and privacy architectures consistent with the organizational risk management strategy. For PM-7, security and privacy architectures are developed at a system-of-systems level, representing all organizational systems. For [PL-8](#pl-8) , the security and privacy architectures are developed at a level that represents an individual system. The system-level architectures are consistent with the security and privacy architectures defined for the organization. Security and privacy requirements and control integration are most effectively accomplished through the rigorous application of the Risk Management Framework [SP 800-37](#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8) and supporting security standards and guidelines. - id: pm-7_obj name: assessment-objective props: - name: label value: PM-07 class: sp800-53a parts: - id: pm-7_obj-1 name: assessment-objective props: - name: label value: PM-07[01] class: sp800-53a prose: an enterprise architecture is developed with consideration for information security; links: - href: '#pm-7_smt' rel: assessment-for - id: pm-7_obj-2 name: assessment-objective props: - name: label value: PM-07[02] class: sp800-53a prose: an enterprise architecture is maintained with consideration for information security; links: - href: '#pm-7_smt' rel: assessment-for - id: pm-7_obj-3 name: assessment-objective props: - name: label value: PM-07[03] class: sp800-53a prose: an enterprise architecture is developed with consideration for privacy; links: - href: '#pm-7_smt' rel: assessment-for - id: pm-7_obj-4 name: assessment-objective props: - name: label value: PM-07[04] class: sp800-53a prose: an enterprise architecture is maintained with consideration for privacy; links: - href: '#pm-7_smt' rel: assessment-for - id: pm-7_obj-5 name: assessment-objective props: - name: label value: PM-07[05] class: sp800-53a prose: an enterprise architecture is developed with consideration for the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation; links: - href: '#pm-7_smt' rel: assessment-for - id: pm-7_obj-6 name: assessment-objective props: - name: label value: PM-07[06] class: sp800-53a prose: an enterprise architecture is maintained with consideration for the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation. links: - href: '#pm-7_smt' rel: assessment-for links: - href: '#pm-7_smt' rel: assessment-for - id: pm-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-07-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan privacy program plan enterprise architecture documentation procedures addressing enterprise architecture development results of risk assessments of enterprise architecture other relevant documents or records - id: pm-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-07-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy program planning and plan implementation responsibilities organizational personnel responsible for developing enterprise architecture organizational personnel responsible for risk assessments of enterprise architecture organizational personnel with information security and privacy responsibilities - id: pm-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-07-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for enterprise architecture development mechanisms supporting the enterprise architecture and its development controls: - id: pm-7.1 class: SP800-53-enhancement title: Offloading params: - id: pm-07.01_odp props: - name: alt-identifier value: pm-7.1_prm_1 - name: label value: PM-07(01)_ODP class: sp800-53a label: non-essential functions or services guidelines: - prose: non-essential functions or services to be offloaded are defined; props: - name: label value: PM-07(01) class: zero-padded - name: label value: PM-7(1) - name: label value: PM-07(01) class: sp800-53a - name: sort-id value: pm-07.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pm-7' rel: required - href: '#sa-8' rel: related parts: - id: pm-7.1_smt name: statement prose: 'Offload {{ insert: param, pm-07.01_odp }} to other systems, system components, or an external provider.' - id: pm-7.1_gdn name: guidance prose: Not every function or service that a system provides is essential to organizational mission or business functions. Printing or copying is an example of a non-essential but supporting service for an organization. Whenever feasible, such supportive but non-essential functions or services are not co-located with the functions or services that support essential mission or business functions. Maintaining such functions on the same system or system component increases the attack surface of the organization’s mission-essential functions or services. Moving supportive but non-essential functions to a non-critical system, system component, or external provider can also increase efficiency by putting those functions or services under the control of individuals or providers who are subject matter experts in the functions or services. - id: pm-7.1_obj name: assessment-objective props: - name: label value: PM-07(01) class: sp800-53a prose: '{{ insert: param, pm-07.01_odp }} are offloaded to other systems, system components, or an external provider.' links: - href: '#pm-7.1_smt' rel: assessment-for - id: pm-7.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-07(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan privacy program plan enterprise architecture documentation procedures addressing enterprise architecture development procedures for identifying and offloading functions or services results of risk assessments of enterprise architecture other relevant documents or records - id: pm-7.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-07(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy program planning and plan implementation responsibilities organizational personnel responsible for developing enterprise architecture organizational personnel responsible for risk assessments of enterprise architecture organizational personnel with information security and privacy responsibilities - id: pm-7.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-07(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for enterprise architecture development mechanisms supporting the enterprise architecture and its development mechanisms for offloading functions and services - id: pm-8 class: SP800-53 title: Critical Infrastructure Plan props: - name: label value: PM-08 class: zero-padded - name: label value: PM-8 - name: label value: PM-08 class: sp800-53a - name: sort-id value: pm-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#3406fdc0-d61c-44a9-a5ca-84180544c83a' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#488d6934-00b2-4252-bf23-1b3c2d71eb13' rel: reference - href: '#b9951d04-6385-478c-b1a3-ab68c19d9041' rel: reference - href: '#cp-2' rel: related - href: '#cp-4' rel: related - href: '#pe-18' rel: related - href: '#pl-2' rel: related - href: '#pm-9' rel: related - href: '#pm-11' rel: related - href: '#pm-18' rel: related - href: '#ra-3' rel: related - href: '#si-12' rel: related parts: - id: pm-8_smt name: statement prose: Address information security and privacy issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan. - id: pm-8_gdn name: guidance prose: Protection strategies are based on the prioritization of critical assets and resources. The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. - id: pm-8_obj name: assessment-objective props: - name: label value: PM-08 class: sp800-53a parts: - id: pm-8_obj-1 name: assessment-objective props: - name: label value: PM-08[01] class: sp800-53a prose: information security issues are addressed in the development of a critical infrastructure and key resources protection plan; links: - href: '#pm-8_smt' rel: assessment-for - id: pm-8_obj-2 name: assessment-objective props: - name: label value: PM-08[02] class: sp800-53a prose: information security issues are addressed in the documentation of a critical infrastructure and key resources protection plan; links: - href: '#pm-8_smt' rel: assessment-for - id: pm-8_obj-3 name: assessment-objective props: - name: label value: PM-08[03] class: sp800-53a prose: information security issues are addressed in the update of a critical infrastructure and key resources protection plan; links: - href: '#pm-8_smt' rel: assessment-for - id: pm-8_obj-4 name: assessment-objective props: - name: label value: PM-08[04] class: sp800-53a prose: privacy issues are addressed in the development of a critical infrastructure and key resources protection plan; links: - href: '#pm-8_smt' rel: assessment-for - id: pm-8_obj-5 name: assessment-objective props: - name: label value: PM-08[05] class: sp800-53a prose: privacy issues are addressed in the documentation of a critical infrastructure and key resources protection plan; links: - href: '#pm-8_smt' rel: assessment-for - id: pm-8_obj-6 name: assessment-objective props: - name: label value: PM-08[06] class: sp800-53a prose: privacy issues are addressed in the update of a critical infrastructure and key resources protection plan. links: - href: '#pm-8_smt' rel: assessment-for links: - href: '#pm-8_smt' rel: assessment-for - id: pm-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-08-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan privacy program plan critical infrastructure and key resources protection plan procedures addressing the development, documentation, and updating of the critical infrastructure and key resources protection plan HSPD 7 National Infrastructure Protection Plan other relevant documents or records - id: pm-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-08-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy program planning and plan implementation responsibilities organizational personnel responsible for developing, documenting, and updating the critical infrastructure and key resources protection plan organizational personnel with information security and privacy responsibilities - id: pm-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-08-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for developing, documenting, and updating the critical infrastructure and key resources protection plan mechanisms supporting the development, documentation, and updating of the critical infrastructure and key resources protection plan - id: pm-9 class: SP800-53 title: Risk Management Strategy params: - id: pm-09_odp props: - name: alt-identifier value: pm-9_prm_1 - name: label value: PM-09_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency at which to review and update the risk management strategy is defined; props: - name: label value: PM-09 class: zero-padded - name: label value: PM-9 - name: label value: PM-09 class: sp800-53a - name: sort-id value: pm-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: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' 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: '#ac-1' rel: related - href: '#au-1' rel: related - href: '#at-1' rel: related - href: '#ca-1' rel: related - href: '#ca-2' rel: related - href: '#ca-5' rel: related - href: '#ca-6' rel: related - href: '#ca-7' rel: related - href: '#cm-1' rel: related - href: '#cp-1' rel: related - href: '#ia-1' rel: related - href: '#ir-1' rel: related - href: '#ma-1' rel: related - href: '#mp-1' rel: related - href: '#pe-1' rel: related - href: '#pl-1' rel: related - href: '#pl-2' rel: related - href: '#pm-2' rel: related - href: '#pm-8' rel: related - href: '#pm-18' rel: related - href: '#pm-28' rel: related - href: '#pm-30' rel: related - href: '#ps-1' rel: related - href: '#pt-1' rel: related - href: '#pt-2' rel: related - href: '#pt-3' rel: related - href: '#ra-1' rel: related - href: '#ra-3' rel: related - href: '#ra-9' rel: related - href: '#sa-1' rel: related - href: '#sa-4' rel: related - href: '#sc-1' rel: related - href: '#sc-38' rel: related - href: '#si-1' rel: related - href: '#si-12' rel: related - href: '#sr-1' rel: related - href: '#sr-2' rel: related parts: - id: pm-9_smt name: statement parts: - id: pm-9_smt.a name: item props: - name: label value: a. prose: 'Develops a comprehensive strategy to manage:' parts: - id: pm-9_smt.a.1 name: item props: - name: label value: "1." prose: Security risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of organizational systems; and - id: pm-9_smt.a.2 name: item props: - name: label value: "2." prose: Privacy risk to individuals resulting from the authorized processing of personally identifiable information; - id: pm-9_smt.b name: item props: - name: label value: b. prose: Implement the risk management strategy consistently across the organization; and - id: pm-9_smt.c name: item props: - name: label value: c. prose: 'Review and update the risk management strategy {{ insert: param, pm-09_odp }} or as required, to address organizational changes.' - id: pm-9_gdn name: guidance prose: An organization-wide risk management strategy includes an expression of the security and privacy risk tolerance for the organization, security and privacy risk mitigation strategies, acceptable risk assessment methodologies, a process for evaluating security and privacy risk across the organization with respect to the organization’s risk tolerance, and approaches for monitoring risk over time. The senior accountable official for risk management (agency head or designated official) aligns information security management processes with strategic, operational, and budgetary planning processes. The risk executive function, led by the senior accountable official for risk management, can facilitate consistent application of the risk management strategy organization-wide. The risk management strategy can be informed by security and privacy risk-related inputs from other sources, both internal and external to the organization, to ensure that the strategy is broad-based and comprehensive. The supply chain risk management strategy described in [PM-30](#pm-30) can also provide useful inputs to the organization-wide risk management strategy. - id: pm-9_obj name: assessment-objective props: - name: label value: PM-09 class: sp800-53a parts: - id: pm-9_obj.a name: assessment-objective props: - name: label value: PM-09a. class: sp800-53a parts: - id: pm-9_obj.a.1 name: assessment-objective props: - name: label value: PM-09a.01 class: sp800-53a prose: a comprehensive strategy is developed to manage security risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of organizational systems; links: - href: '#pm-9_smt.a.1' rel: assessment-for - id: pm-9_obj.a.2 name: assessment-objective props: - name: label value: PM-09a.02 class: sp800-53a prose: a comprehensive strategy is developed to manage privacy risk to individuals resulting from the authorized processing of personally identifiable information; links: - href: '#pm-9_smt.a.2' rel: assessment-for links: - href: '#pm-9_smt.a' rel: assessment-for - id: pm-9_obj.b name: assessment-objective props: - name: label value: PM-09b. class: sp800-53a prose: the risk management strategy is implemented consistently across the organization; links: - href: '#pm-9_smt.b' rel: assessment-for - id: pm-9_obj.c name: assessment-objective props: - name: label value: PM-09c. class: sp800-53a prose: 'the risk management strategy is reviewed and updated {{ insert: param, pm-09_odp }} or as required to address organizational changes.' links: - href: '#pm-9_smt.c' rel: assessment-for links: - href: '#pm-9_smt' rel: assessment-for - id: pm-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-09-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan privacy program plan risk management strategy supply chain risk management strategy procedures addressing the development, implementation, review, and update of the risk management strategy risk assessment results relevant to the risk management strategy other relevant documents or records - id: pm-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-09-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy program planning and plan implementation responsibilities organizational personnel responsible for the development, implementation, review, and update of the risk management strategy organizational personnel with information security and privacy responsibilities - id: pm-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-09-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for the development, implementation, review, and update of the risk management strategy mechanisms supporting the development, implementation, review, and update of the risk management strategy - id: pm-10 class: SP800-53 title: Authorization Process props: - name: label value: PM-10 class: zero-padded - name: label value: PM-10 - name: label value: PM-10 class: sp800-53a - name: sort-id value: pm-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: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#276bd50a-7e58-48e5-a405-8c8cb91d7a5f' rel: reference - href: '#ca-6' rel: related - href: '#ca-7' rel: related - href: '#pl-2' rel: related parts: - id: pm-10_smt name: statement parts: - id: pm-10_smt.a name: item props: - name: label value: a. prose: Manage the security and privacy state of organizational systems and the environments in which those systems operate through authorization processes; - id: pm-10_smt.b name: item props: - name: label value: b. prose: Designate individuals to fulfill specific roles and responsibilities within the organizational risk management process; and - id: pm-10_smt.c name: item props: - name: label value: c. prose: Integrate the authorization processes into an organization-wide risk management program. - id: pm-10_gdn name: guidance prose: Authorization processes for organizational systems and environments of operation require the implementation of an organization-wide risk management process and associated security and privacy standards and guidelines. Specific roles for risk management processes include a risk executive (function) and designated authorizing officials for each organizational system and common control provider. The authorization processes for the organization are integrated with continuous monitoring processes to facilitate ongoing understanding and acceptance of security and privacy risks to organizational operations, organizational assets, individuals, other organizations, and the Nation. - id: pm-10_obj name: assessment-objective props: - name: label value: PM-10 class: sp800-53a parts: - id: pm-10_obj.a name: assessment-objective props: - name: label value: PM-10a. class: sp800-53a parts: - id: pm-10_obj.a-1 name: assessment-objective props: - name: label value: PM-10a.[01] class: sp800-53a prose: the security state of organizational systems and the environments in which those systems operate are managed through authorization processes; links: - href: '#pm-10_smt.a' rel: assessment-for - id: pm-10_obj.a-2 name: assessment-objective props: - name: label value: PM-10a.[02] class: sp800-53a prose: the privacy state of organizational systems and the environments in which those systems operate are managed through authorization processes; links: - href: '#pm-10_smt.a' rel: assessment-for links: - href: '#pm-10_smt.a' rel: assessment-for - id: pm-10_obj.b name: assessment-objective props: - name: label value: PM-10b. class: sp800-53a prose: individuals are designated to fulfill specific roles and responsibilities within the organizational risk management process; links: - href: '#pm-10_smt.b' rel: assessment-for - id: pm-10_obj.c name: assessment-objective props: - name: label value: PM-10c. class: sp800-53a prose: the authorization processes are integrated into an organization-wide risk management program. links: - href: '#pm-10_smt.c' rel: assessment-for links: - href: '#pm-10_smt' rel: assessment-for - id: pm-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-10-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan privacy program plan procedures addressing management (i.e., documentation, tracking, and reporting) of the authorization process assessment, authorization, and monitoring policy assessment, authorization, and monitoring procedures system authorization documentation lists or other documentation about authorization process roles and responsibilities risk assessment results relevant to the authorization process and the organization-wide risk management program organizational risk management strategy other relevant documents or records - id: pm-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-10-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy program planning and plan implementation responsibilities organizational personnel responsible for management of the authorization process organizational personnel with information security and privacy responsibilities - id: pm-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-10-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for authorization mechanisms supporting the authorization process - id: pm-11 class: SP800-53 title: Mission and Business Process Definition params: - id: pm-11_odp props: - name: alt-identifier value: pm-11_prm_1 - name: label value: PM-11_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency at which to review and revise the mission and business processes is defined; props: - name: label value: PM-11 class: zero-padded - name: label value: PM-11 - name: label value: PM-11 class: sp800-53a - name: sort-id value: pm-11 - 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: '#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: '#cp-2' rel: related - href: '#pl-2' rel: related - href: '#pm-7' rel: related - href: '#pm-8' rel: related - href: '#ra-2' rel: related - href: '#ra-3' rel: related - href: '#ra-9' rel: related - href: '#sa-2' rel: related parts: - id: pm-11_smt name: statement parts: - id: pm-11_smt.a name: item props: - name: label value: a. prose: Define organizational mission and business processes with consideration for information security and privacy and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and - id: pm-11_smt.b name: item props: - name: label value: b. prose: Determine information protection and personally identifiable information processing needs arising from the defined mission and business processes; and - id: pm-11_smt.c name: item props: - name: label value: c. prose: 'Review and revise the mission and business processes {{ insert: param, pm-11_odp }}.' - id: pm-11_gdn name: guidance prose: Protection needs are technology-independent capabilities that are required to counter threats to organizations, individuals, systems, and the Nation through the compromise of information (i.e., loss of confidentiality, integrity, availability, or privacy). Information protection and personally identifiable information processing needs are derived from the mission and business needs defined by organizational stakeholders, the mission and business processes designed to meet those needs, and the organizational risk management strategy. Information protection and personally identifiable information processing needs determine the required controls for the organization and the systems. Inherent to defining protection and personally identifiable information processing needs is an understanding of the adverse impact that could result if a compromise or breach of information occurs. The categorization process is used to make such potential impact determinations. Privacy risks to individuals can arise from the compromise of personally identifiable information, but they can also arise as unintended consequences or a byproduct of the processing of personally identifiable information at any stage of the information life cycle. Privacy risk assessments are used to prioritize the risks that are created for individuals from system processing of personally identifiable information. These risk assessments enable the selection of the required privacy controls for the organization and systems. Mission and business process definitions and the associated protection requirements are documented in accordance with organizational policies and procedures. - id: pm-11_obj name: assessment-objective props: - name: label value: PM-11 class: sp800-53a parts: - id: pm-11_obj.a name: assessment-objective props: - name: label value: PM-11a. class: sp800-53a parts: - id: pm-11_obj.a-1 name: assessment-objective props: - name: label value: PM-11a.[01] class: sp800-53a prose: organizational mission and business processes are defined with consideration for information security; links: - href: '#pm-11_smt.a' rel: assessment-for - id: pm-11_obj.a-2 name: assessment-objective props: - name: label value: PM-11a.[02] class: sp800-53a prose: organizational mission and business processes are defined with consideration for privacy; links: - href: '#pm-11_smt.a' rel: assessment-for - id: pm-11_obj.a-3 name: assessment-objective props: - name: label value: PM-11a.[03] class: sp800-53a prose: organizational mission and business processes are defined with consideration for the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; links: - href: '#pm-11_smt.a' rel: assessment-for links: - href: '#pm-11_smt.a' rel: assessment-for - id: pm-11_obj.b name: assessment-objective props: - name: label value: PM-11b. class: sp800-53a parts: - id: pm-11_obj.b-1 name: assessment-objective props: - name: label value: PM-11b.[01] class: sp800-53a prose: information protection needs arising from the defined mission and business processes are determined; links: - href: '#pm-11_smt.b' rel: assessment-for - id: pm-11_obj.b-2 name: assessment-objective props: - name: label value: PM-11b.[02] class: sp800-53a prose: personally identifiable information processing needs arising from the defined mission and business processes are determined; links: - href: '#pm-11_smt.b' rel: assessment-for links: - href: '#pm-11_smt.b' rel: assessment-for - id: pm-11_obj.c name: assessment-objective props: - name: label value: PM-11c. class: sp800-53a prose: 'the mission and business processes are reviewed and revised {{ insert: param, pm-11_odp }}.' links: - href: '#pm-11_smt.c' rel: assessment-for links: - href: '#pm-11_smt' rel: assessment-for - id: pm-11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-11-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan privacy program plan risk management strategy procedures for determining mission and business protection needs information security and privacy risk assessment results relevant to the determination of mission and business protection needs personally identifiable information processing policy personally identifiable information inventory other relevant documents or records - id: pm-11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-11-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy program planning and plan implementation responsibilities organizational personnel responsible for enterprise risk management organizational personnel responsible for determining information protection needs for mission and business processes organizational personnel with information security and privacy responsibilities - id: pm-11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-11-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for defining mission and business processes and their information protection needs - id: pm-12 class: SP800-53 title: Insider Threat Program props: - name: label value: PM-12 class: zero-padded - name: label value: PM-12 - name: label value: PM-12 class: sp800-53a - name: sort-id value: pm-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: '#0af071a6-cf8e-48ee-8c82-fe91efa20f94' rel: reference - href: '#528135e3-c65b-461a-93d3-46513610f792' rel: reference - href: '#06d74ea9-2178-449c-a9c5-b2980f804ac8' rel: reference - href: '#ac-6' rel: related - href: '#at-2' rel: related - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#au-10' rel: related - href: '#au-12' rel: related - href: '#au-13' rel: related - href: '#ca-7' rel: related - href: '#ia-4' rel: related - href: '#ir-4' rel: related - href: '#mp-7' rel: related - href: '#pe-2' rel: related - href: '#pm-16' rel: related - href: '#ps-3' rel: related - href: '#ps-4' rel: related - href: '#ps-5' rel: related - href: '#ps-7' rel: related - href: '#ps-8' rel: related - href: '#sc-7' rel: related - href: '#sc-38' rel: related - href: '#si-4' rel: related - href: '#pm-14' rel: related parts: - id: pm-12_smt name: statement prose: Implement an insider threat program that includes a cross-discipline insider threat incident handling team. - id: pm-12_gdn name: guidance prose: |- Organizations that handle classified information are required, under Executive Order 13587 [EO 13587](#0af071a6-cf8e-48ee-8c82-fe91efa20f94) and the National Insider Threat Policy [ODNI NITP](#06d74ea9-2178-449c-a9c5-b2980f804ac8) , to establish insider threat programs. The same standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of controlled unclassified and other information in non-national security systems. Insider threat programs include controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and nontechnical information to identify potential insider threat concerns. A senior official is designated by the department or agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs require organizations to prepare department or agency insider threat policies and implementation plans, conduct host-based user monitoring of individual employee activities on government-owned classified computers, provide insider threat awareness training to employees, receive access to information from offices in the department or agency for insider threat analysis, and conduct self-assessments of department or agency insider threat posture. Insider threat programs can leverage the existence of incident handling teams that organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace, including ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues. These precursors can guide organizational officials in more focused, targeted monitoring efforts. However, the use of human resource records could raise significant concerns for privacy. The participation of a legal team, including consultation with the senior agency official for privacy, ensures that monitoring activities are performed in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. - id: pm-12_obj name: assessment-objective props: - name: label value: PM-12 class: sp800-53a prose: an insider threat program that includes a cross-discipline insider threat incident handling team is implemented. links: - href: '#pm-12_smt' rel: assessment-for - id: pm-12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-12-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy program planning and plan implementation responsibilities organizational personnel responsible for the insider threat program members of the cross-discipline insider threat incident handling team legal counsel organizational personnel with information security and privacy responsibilities - id: pm-12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-12-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for implementing the insider threat program and the cross-discipline insider threat incident handling team mechanisms supporting and/or implementing the insider threat program and the cross-discipline insider threat incident handling team - id: pm-13 class: SP800-53 title: Security and Privacy Workforce props: - name: label value: PM-13 class: zero-padded - name: label value: PM-13 - name: label value: PM-13 class: sp800-53a - name: sort-id value: pm-13 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#276bd50a-7e58-48e5-a405-8c8cb91d7a5f' rel: reference - href: '#at-2' rel: related - href: '#at-3' rel: related parts: - id: pm-13_smt name: statement prose: Establish a security and privacy workforce development and improvement program. - id: pm-13_gdn name: guidance prose: Security and privacy workforce development and improvement programs include defining the knowledge, skills, and abilities needed to perform security and privacy duties and tasks; developing role-based training programs for individuals assigned security and privacy roles and responsibilities; and providing standards and guidelines for measuring and building individual qualifications for incumbents and applicants for security- and privacy-related positions. Such workforce development and improvement programs can also include security and privacy career paths to encourage security and privacy professionals to advance in the field and fill positions with greater responsibility. The programs encourage organizations to fill security- and privacy-related positions with qualified personnel. Security and privacy workforce development and improvement programs are complementary to organizational security awareness and training programs and focus on developing and institutionalizing the core security and privacy capabilities of personnel needed to protect organizational operations, assets, and individuals. - id: pm-13_obj name: assessment-objective props: - name: label value: PM-13 class: sp800-53a parts: - id: pm-13_obj-1 name: assessment-objective props: - name: label value: PM-13[01] class: sp800-53a prose: a security workforce development and improvement program is established; links: - href: '#pm-13_smt' rel: assessment-for - id: pm-13_obj-2 name: assessment-objective props: - name: label value: PM-13[02] class: sp800-53a prose: a privacy workforce development and improvement program is established. links: - href: '#pm-13_smt' rel: assessment-for links: - href: '#pm-13_smt' rel: assessment-for - id: pm-13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-13-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan privacy program plan information security and privacy workforce development and improvement program documentation procedures for the information security and privacy workforce development and improvement program information security and privacy role-based training program documentation other relevant documents or records - id: pm-13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-13-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy program planning and plan implementation responsibilities organizational personnel responsible for the information security and privacy workforce development and improvement program organizational personnel with information security and privacy responsibilities - id: pm-13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-13-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for implementing the information security and privacy workforce development and improvement program mechanisms supporting and/or implementing the information security and privacy workforce development and improvement program - id: pm-14 class: SP800-53 title: Testing, Training, and Monitoring props: - name: label value: PM-14 class: zero-padded - name: label value: PM-14 - name: label value: PM-14 class: sp800-53a - name: sort-id value: pm-14 - 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: '#at-2' rel: related - href: '#at-3' rel: related - href: '#ca-7' rel: related - href: '#cp-4' rel: related - href: '#ir-3' rel: related - href: '#pm-12' rel: related - href: '#si-4' rel: related parts: - id: pm-14_smt name: statement parts: - id: pm-14_smt.a name: item props: - name: label value: a. prose: 'Implement a process for ensuring that organizational plans for conducting security and privacy testing, training, and monitoring activities associated with organizational systems:' parts: - id: pm-14_smt.a.1 name: item props: - name: label value: "1." prose: Are developed and maintained; and - id: pm-14_smt.a.2 name: item props: - name: label value: "2." prose: Continue to be executed; and - id: pm-14_smt.b name: item props: - name: label value: b. prose: Review testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions. - id: pm-14_gdn name: guidance prose: A process for organization-wide security and privacy testing, training, and monitoring helps ensure that organizations provide oversight for testing, training, and monitoring activities and that those activities are coordinated. With the growing importance of continuous monitoring programs, the implementation of information security and privacy across the three levels of the risk management hierarchy and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing assessments supporting a variety of controls. Security and privacy training activities, while focused on individual systems and specific roles, require coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments. - id: pm-14_obj name: assessment-objective props: - name: label value: PM-14 class: sp800-53a parts: - id: pm-14_obj.a name: assessment-objective props: - name: label value: PM-14a. class: sp800-53a parts: - id: pm-14_obj.a.1 name: assessment-objective props: - name: label value: PM-14a.01 class: sp800-53a parts: - id: pm-14_obj.a.1-1 name: assessment-objective props: - name: label value: PM-14a.01[01] class: sp800-53a prose: a process is implemented for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational systems are developed; links: - href: '#pm-14_smt.a.1' rel: assessment-for - id: pm-14_obj.a.1-2 name: assessment-objective props: - name: label value: PM-14a.01[02] class: sp800-53a prose: a process is implemented for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational systems are maintained; links: - href: '#pm-14_smt.a.1' rel: assessment-for - id: pm-14_obj.a.1-3 name: assessment-objective props: - name: label value: PM-14a.01[03] class: sp800-53a prose: a process is implemented for ensuring that organizational plans for conducting privacy testing, training, and monitoring activities associated with organizational systems are developed; links: - href: '#pm-14_smt.a.1' rel: assessment-for - id: pm-14_obj.a.1-4 name: assessment-objective props: - name: label value: PM-14a.01[04] class: sp800-53a prose: a process is implemented for ensuring that organizational plans for conducting privacy testing, training, and monitoring activities associated with organizational systems are maintained; links: - href: '#pm-14_smt.a.1' rel: assessment-for links: - href: '#pm-14_smt.a.1' rel: assessment-for - id: pm-14_obj.a.2 name: assessment-objective props: - name: label value: PM-14a.02 class: sp800-53a parts: - id: pm-14_obj.a.2-1 name: assessment-objective props: - name: label value: PM-14a.02[01] class: sp800-53a prose: a process is implemented for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational systems continue to be executed; links: - href: '#pm-14_smt.a.2' rel: assessment-for - id: pm-14_obj.a.2-2 name: assessment-objective props: - name: label value: PM-14a.02[02] class: sp800-53a prose: a process is implemented for ensuring that organizational plans for conducting privacy testing, training, and monitoring activities associated with organizational systems continue to be executed; links: - href: '#pm-14_smt.a.2' rel: assessment-for links: - href: '#pm-14_smt.a.2' rel: assessment-for links: - href: '#pm-14_smt.a' rel: assessment-for - id: pm-14_obj.b name: assessment-objective props: - name: label value: PM-14b. class: sp800-53a parts: - id: pm-14_obj.b-1 name: assessment-objective props: - name: label value: PM-14b.[01] class: sp800-53a prose: testing plans are reviewed for consistency with the organizational risk management strategy; links: - href: '#pm-14_smt.b' rel: assessment-for - id: pm-14_obj.b-2 name: assessment-objective props: - name: label value: PM-14b.[02] class: sp800-53a prose: training plans are reviewed for consistency with the organizational risk management strategy; links: - href: '#pm-14_smt.b' rel: assessment-for - id: pm-14_obj.b-3 name: assessment-objective props: - name: label value: PM-14b.[03] class: sp800-53a prose: monitoring plans are reviewed for consistency with the organizational risk management strategy; links: - href: '#pm-14_smt.b' rel: assessment-for - id: pm-14_obj.b-4 name: assessment-objective props: - name: label value: PM-14b.[04] class: sp800-53a prose: testing plans are reviewed for consistency with organization-wide priorities for risk response actions; links: - href: '#pm-14_smt.b' rel: assessment-for - id: pm-14_obj.b-5 name: assessment-objective props: - name: label value: PM-14b.[05] class: sp800-53a prose: training plans are reviewed for consistency with organization-wide priorities for risk response actions; links: - href: '#pm-14_smt.b' rel: assessment-for - id: pm-14_obj.b-6 name: assessment-objective props: - name: label value: PM-14b.[06] class: sp800-53a prose: monitoring plans are reviewed for consistency with organization-wide priorities for risk response actions. links: - href: '#pm-14_smt.b' rel: assessment-for links: - href: '#pm-14_smt.b' rel: assessment-for links: - href: '#pm-14_smt' rel: assessment-for - id: pm-14_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-14-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan privacy program plan plans for conducting security and privacy testing, training, and monitoring activities organizational procedures addressing the development and maintenance of plans for conducting security and privacy testing, training, and monitoring activities risk management strategy procedures for the review of plans for conducting security and privacy testing, training, and monitoring activities for consistency with risk management strategy and risk response priorities results of risk assessments associated with conducting security and privacy testing, training, and monitoring activities documentation of the timely execution of plans for conducting security and privacy testing, training, and monitoring activities other relevant documents or records - id: pm-14_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-14-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with responsibilities for developing and maintaining plans for conducting security and privacy testing, training, and monitoring activities organizational personnel with information security and privacy responsibilities - id: pm-14_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-14-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for the development and maintenance of plans for conducting security and privacy testing, training, and monitoring activities mechanisms supporting the development and maintenance of plans for conducting security and privacy testing, training, and monitoring activities - id: pm-15 class: SP800-53 title: Security and Privacy Groups and Associations props: - name: label value: PM-15 class: zero-padded - name: label value: PM-15 - name: label value: PM-15 class: sp800-53a - name: sort-id value: pm-15 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#sa-11' rel: related - href: '#si-5' rel: related parts: - id: pm-15_smt name: statement prose: 'Establish and institutionalize contact with selected groups and associations within the security and privacy communities:' parts: - id: pm-15_smt.a name: item props: - name: label value: a. prose: To facilitate ongoing security and privacy education and training for organizational personnel; - id: pm-15_smt.b name: item props: - name: label value: b. prose: To maintain currency with recommended security and privacy practices, techniques, and technologies; and - id: pm-15_smt.c name: item props: - name: label value: c. prose: To share current security and privacy information, including threats, vulnerabilities, and incidents. - id: pm-15_gdn name: guidance prose: Ongoing contact with security and privacy groups and associations is important in an environment of rapidly changing technologies and threats. Groups and associations include special interest groups, professional associations, forums, news groups, users’ groups, and peer groups of security and privacy professionals in similar organizations. Organizations select security and privacy groups and associations based on mission and business functions. Organizations share threat, vulnerability, and incident information as well as contextual insights, compliance techniques, and privacy problems consistent with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. - id: pm-15_obj name: assessment-objective props: - name: label value: PM-15 class: sp800-53a parts: - id: pm-15_obj.a name: assessment-objective props: - name: label value: PM-15a. class: sp800-53a parts: - id: pm-15_obj.a-1 name: assessment-objective props: - name: label value: PM-15a.[01] class: sp800-53a prose: contact is established and institutionalized with selected groups and associations within the security community to facilitate ongoing security education and training for organizational personnel; links: - href: '#pm-15_smt.a' rel: assessment-for - id: pm-15_obj.a-2 name: assessment-objective props: - name: label value: PM-15a.[02] class: sp800-53a prose: contact is established and institutionalized with selected groups and associations within the privacy community to facilitate ongoing privacy education and training for organizational personnel; links: - href: '#pm-15_smt.a' rel: assessment-for links: - href: '#pm-15_smt.a' rel: assessment-for - id: pm-15_obj.b name: assessment-objective props: - name: label value: PM-15b. class: sp800-53a parts: - id: pm-15_obj.b-1 name: assessment-objective props: - name: label value: PM-15b.[01] class: sp800-53a prose: contact is established and institutionalized with selected groups and associations within the security community to maintain currency with recommended security practices, techniques, and technologies; links: - href: '#pm-15_smt.b' rel: assessment-for - id: pm-15_obj.b-2 name: assessment-objective props: - name: label value: PM-15b.[02] class: sp800-53a prose: contact is established and institutionalized with selected groups and associations within the privacy community to maintain currency with recommended privacy practices, techniques, and technologies; links: - href: '#pm-15_smt.b' rel: assessment-for links: - href: '#pm-15_smt.b' rel: assessment-for - id: pm-15_obj.c name: assessment-objective props: - name: label value: PM-15c. class: sp800-53a parts: - id: pm-15_obj.c-1 name: assessment-objective props: - name: label value: PM-15c.[01] class: sp800-53a prose: contact is established and institutionalized with selected groups and associations within the security community to share current security information, including threats, vulnerabilities, and incidents; links: - href: '#pm-15_smt.c' rel: assessment-for - id: pm-15_obj.c-2 name: assessment-objective props: - name: label value: PM-15c.[02] class: sp800-53a prose: contact is established and institutionalized with selected groups and associations within the privacy community to share current privacy information, including threats, vulnerabilities, and incidents. links: - href: '#pm-15_smt.c' rel: assessment-for links: - href: '#pm-15_smt.c' rel: assessment-for links: - href: '#pm-15_smt' rel: assessment-for - id: pm-15_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-15-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan privacy program plan risk management strategy procedures for establishing and institutionalizing contacts with security and privacy groups and associations lists or other records of contacts with and/or membership in security and privacy groups and associations other relevant documents or records - id: pm-15_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-15-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy program planning and plan implementation responsibilities organizational personnel responsible for establishing and institutionalizing contact with security and privacy groups and associations organizational personnel with information security and privacy responsibilities personnel from selected groups and associations with which the organization has established and institutionalized contact - id: pm-15_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-15-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for establishing and institutionalizing contact with security and privacy groups and associations mechanisms supporting contact with security and privacy groups and associations - id: pm-16 class: SP800-53 title: Threat Awareness Program props: - name: label value: PM-16 class: zero-padded - name: label value: PM-16 - name: label value: PM-16 class: sp800-53a - name: sort-id value: pm-16 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ir-4' rel: related - href: '#pm-12' rel: related parts: - id: pm-16_smt name: statement prose: Implement a threat awareness program that includes a cross-organization information-sharing capability for threat intelligence. - id: pm-16_gdn name: guidance prose: Because of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it may be more likely that adversaries can successfully breach or compromise organizational systems. One of the best techniques to address this concern is for organizations to share threat information, including threat events (i.e., tactics, techniques, and procedures) that organizations have experienced, mitigations that organizations have found are effective against certain types of threats, and threat intelligence (i.e., indications and warnings about threats). Threat information sharing may be bilateral or multilateral. Bilateral threat sharing includes government-to-commercial and government-to-government cooperatives. Multilateral threat sharing includes organizations taking part in threat-sharing consortia. Threat information may require special agreements and protection, or it may be freely shared. - id: pm-16_obj name: assessment-objective props: - name: label value: PM-16 class: sp800-53a prose: a threat awareness program that includes a cross-organization information-sharing capability for threat intelligence is implemented. links: - href: '#pm-16_smt' rel: assessment-for - id: pm-16_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-16-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan privacy program plan threat awareness program policy threat awareness program procedures risk assessment results relevant to threat awareness documentation about the cross-organization information-sharing capability other relevant documents or records - id: pm-16_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-16-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy program planning and plan implementation responsibilities organizational personnel responsible for the threat awareness program organizational personnel responsible for the cross-organization information-sharing capability organizational personnel with information security and privacy responsibilities external personnel with whom threat awareness information is shared by the organization - id: pm-16_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-16-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for implementing the threat awareness program organizational processes for implementing the cross-organization information-sharing capability mechanisms supporting and/or implementing the threat awareness program mechanisms supporting and/or implementing the cross-organization information-sharing capability controls: - id: pm-16.1 class: SP800-53-enhancement title: Automated Means for Sharing Threat Intelligence props: - name: label value: PM-16(01) class: zero-padded - name: label value: PM-16(1) - name: label value: PM-16(01) class: sp800-53a - name: sort-id value: pm-16.01 - 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: '#pm-16' rel: required parts: - id: pm-16.1_smt name: statement prose: Employ automated mechanisms to maximize the effectiveness of sharing threat intelligence information. - id: pm-16.1_gdn name: guidance prose: To maximize the effectiveness of monitoring, it is important to know what threat observables and indicators the sensors need to be searching for. By using well-established frameworks, services, and automated tools, organizations improve their ability to rapidly share and feed the relevant threat detection signatures into monitoring tools. - id: pm-16.1_obj name: assessment-objective props: - name: label value: PM-16(01) class: sp800-53a prose: automated mechanisms are employed to maximize the effectiveness of sharing threat intelligence information. links: - href: '#pm-16.1_smt' rel: assessment-for - id: pm-16.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-16(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan privacy program plan threat awareness program policy threat awareness program procedures risk assessment results related to threat awareness documentation about the cross-organization information-sharing capability other relevant documents or records - id: pm-16.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-16(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy program planning and plan implementation responsibilities organizational personnel responsible for the threat awareness program organizational personnel responsible for the cross-organization information-sharing capability organizational personnel with information security and privacy responsibilities external personnel with whom threat awareness information is shared by the organization - id: pm-16.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-16(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for implementing the threat awareness program organizational processes for implementing the cross-organization information-sharing capability automated mechanisms supporting and/or implementing the threat awareness program automated mechanisms supporting and/or implementing the cross-organization information-sharing capability - id: pm-17 class: SP800-53 title: Protecting Controlled Unclassified Information on External Systems params: - id: pm-17_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pm-17_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pm-17_odp.02 label: organization-defined frequency - id: pm-17_odp.01 props: - name: label value: PM-17_ODP[01] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to review and update the policy is defined; - id: pm-17_odp.02 props: - name: label value: PM-17_ODP[02] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to review and update the procedures is defined; props: - name: label value: PM-17 class: zero-padded - name: label value: PM-17 - name: label value: PM-17 class: sp800-53a - name: sort-id value: pm-17 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#91f992fb-f668-4c91-a50f-0f05b95ccee3' rel: reference - href: '#7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849' rel: reference - href: '#f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e' rel: reference - href: '#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94' rel: reference - href: '#ca-6' rel: related - href: '#pm-10' rel: related parts: - id: pm-17_smt name: statement parts: - id: pm-17_smt.a name: item props: - name: label value: a. prose: Establish policy and procedures to ensure that requirements for the protection of controlled unclassified information that is processed, stored or transmitted on external systems, are implemented in accordance with applicable laws, executive orders, directives, policies, regulations, and standards; and - id: pm-17_smt.b name: item props: - name: label value: b. prose: 'Review and update the policy and procedures {{ insert: param, pm-17_prm_1 }}.' - id: pm-17_gdn name: guidance prose: Controlled unclassified information is defined by the National Archives and Records Administration along with the safeguarding and dissemination requirements for such information and is codified in [32 CFR 2002](#91f992fb-f668-4c91-a50f-0f05b95ccee3) and, specifically for systems external to the federal organization, [32 CFR 2002.14h](https://www.govinfo.gov/content/pkg/CFR-2017-title32-vol6/xml/CFR-2017-title32-vol6-part2002.xml) . The policy prescribes the specific use and conditions to be implemented in accordance with organizational procedures, including via its contracting processes. - id: pm-17_obj name: assessment-objective props: - name: label value: PM-17 class: sp800-53a parts: - id: pm-17_obj.a name: assessment-objective props: - name: label value: PM-17a. class: sp800-53a parts: - id: pm-17_obj.a-1 name: assessment-objective props: - name: label value: PM-17a.[01] class: sp800-53a prose: policy is established to ensure that requirements for the protection of controlled unclassified information that is processed, stored, or transmitted on external systems are implemented in accordance with applicable laws, executive orders, directives, policies, regulations, and standards; links: - href: '#pm-17_smt.a' rel: assessment-for - id: pm-17_obj.a-2 name: assessment-objective props: - name: label value: PM-17a.[02] class: sp800-53a prose: procedures are established to ensure that requirements for the protection of controlled unclassified information that is processed, stored, or transmitted on external systems are implemented in accordance with applicable laws, executive orders, directives, policies, regulations, and standards; links: - href: '#pm-17_smt.a' rel: assessment-for links: - href: '#pm-17_smt.a' rel: assessment-for - id: pm-17_obj.b name: assessment-objective props: - name: label value: PM-17b. class: sp800-53a parts: - id: pm-17_obj.b-1 name: assessment-objective props: - name: label value: PM-17b.[01] class: sp800-53a prose: 'policy is reviewed and updated {{ insert: param, pm-17_odp.01 }};' links: - href: '#pm-17_smt.b' rel: assessment-for - id: pm-17_obj.b-2 name: assessment-objective props: - name: label value: PM-17b.[02] class: sp800-53a prose: 'procedures are reviewed and updated {{ insert: param, pm-17_odp.02 }} ' links: - href: '#pm-17_smt.b' rel: assessment-for links: - href: '#pm-17_smt.b' rel: assessment-for links: - href: '#pm-17_smt' rel: assessment-for - id: pm-17_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-17-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Controlled unclassified information policy controlled unclassified information procedures other relevant documents or records. - id: pm-17_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-17-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with controlled unclassified information responsibilities organizational personnel with information security responsibilities. - id: pm-18 class: SP800-53 title: Privacy Program Plan params: - id: pm-18_odp props: - name: alt-identifier value: pm-18_prm_1 - name: label value: PM-18_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency of updates to the privacy program plan is defined; props: - name: label value: PM-18 class: zero-padded - name: label value: PM-18 - name: label value: PM-18 class: sp800-53a - name: sort-id value: pm-18 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#18e71fec-c6fd-475a-925a-5d8495cf8455' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#pm-8' rel: related - href: '#pm-9' rel: related - href: '#pm-19' rel: related parts: - id: pm-18_smt name: statement parts: - id: pm-18_smt.a name: item props: - name: label value: a. prose: 'Develop and disseminate an organization-wide privacy program plan that provides an overview of the agency’s privacy program, and:' parts: - id: pm-18_smt.a.1 name: item props: - name: label value: "1." prose: Includes a description of the structure of the privacy program and the resources dedicated to the privacy program; - id: pm-18_smt.a.2 name: item props: - name: label value: "2." prose: Provides an overview of the requirements for the privacy program and a description of the privacy program management controls and common controls in place or planned for meeting those requirements; - id: pm-18_smt.a.3 name: item props: - name: label value: "3." prose: Includes the role of the senior agency official for privacy and the identification and assignment of roles of other privacy officials and staff and their responsibilities; - id: pm-18_smt.a.4 name: item props: - name: label value: "4." prose: Describes management commitment, compliance, and the strategic goals and objectives of the privacy program; - id: pm-18_smt.a.5 name: item props: - name: label value: "5." prose: Reflects coordination among organizational entities responsible for the different aspects of privacy; and - id: pm-18_smt.a.6 name: item props: - name: label value: "6." prose: Is approved by a senior official with responsibility and accountability for the privacy risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation; and - id: pm-18_smt.b name: item props: - name: label value: b. prose: 'Update the plan {{ insert: param, pm-18_odp }} and to address changes in federal privacy laws and policy and organizational changes and problems identified during plan implementation or privacy control assessments.' - id: pm-18_gdn name: guidance prose: |- A privacy program plan is a formal document that provides an overview of an organization’s privacy program, including a description of the structure of the privacy program, the resources dedicated to the privacy program, the role of the senior agency official for privacy and other privacy officials and staff, the strategic goals and objectives of the privacy program, and the program management controls and common controls in place or planned for meeting applicable privacy requirements and managing privacy risks. Privacy program plans can be represented in single documents or compilations of documents. The senior agency official for privacy is responsible for designating which privacy controls the organization will treat as program management, common, system-specific, and hybrid controls. Privacy program plans provide sufficient information about the privacy program management and common controls (including the specification of parameters and assignment and selection operations explicitly or by reference) to enable control implementations that are unambiguously compliant with the intent of the plans and a determination of the risk incurred if the plans are implemented as intended. Program management controls are generally implemented at the organization level and are essential for managing the organization’s privacy program. Program management controls are distinct from common, system-specific, and hybrid controls because program management controls are independent of any particular information system. Together, the privacy plans for individual systems and the organization-wide privacy program plan provide complete coverage for the privacy controls employed within the organization. Common controls are documented in an appendix to the organization’s privacy program plan unless the controls are included in a separate privacy plan for a system. The organization-wide privacy program plan indicates which separate privacy plans contain descriptions of privacy controls. - id: pm-18_obj name: assessment-objective props: - name: label value: PM-18 class: sp800-53a parts: - id: pm-18_obj.a name: assessment-objective props: - name: label value: PM-18a. class: sp800-53a parts: - id: pm-18_obj.a-1 name: assessment-objective props: - name: label value: PM-18a.[01] class: sp800-53a prose: an organization-wide privacy program plan that provides an overview of the agency’s privacy program is developed; links: - href: '#pm-18_smt.a' rel: assessment-for - id: pm-18_obj.a.1 name: assessment-objective props: - name: label value: PM-18a.01 class: sp800-53a parts: - id: pm-18_obj.a.1-1 name: assessment-objective props: - name: label value: PM-18a.01[01] class: sp800-53a prose: the privacy program plan includes a description of the structure of the privacy program; links: - href: '#pm-18_smt.a.1' rel: assessment-for - id: pm-18_obj.a.1-2 name: assessment-objective props: - name: label value: PM-18a.01[02] class: sp800-53a prose: the privacy program plan includes a description of the resources dedicated to the privacy program; links: - href: '#pm-18_smt.a.1' rel: assessment-for links: - href: '#pm-18_smt.a.1' rel: assessment-for - id: pm-18_obj.a.2 name: assessment-objective props: - name: label value: PM-18a.02 class: sp800-53a parts: - id: pm-18_obj.a.2-1 name: assessment-objective props: - name: label value: PM-18a.02[01] class: sp800-53a prose: the privacy program plan provides an overview of the requirements for the privacy program; links: - href: '#pm-18_smt.a.2' rel: assessment-for - id: pm-18_obj.a.2-2 name: assessment-objective props: - name: label value: PM-18a.02[02] class: sp800-53a prose: the privacy program plan provides a description of the privacy program management controls in place or planned for meeting the requirements of the privacy program; links: - href: '#pm-18_smt.a.2' rel: assessment-for - id: pm-18_obj.a.2-3 name: assessment-objective props: - name: label value: PM-18a.02[03] class: sp800-53a prose: the privacy program plan provides a description of common controls in place or planned for meeting the requirements of the privacy program; links: - href: '#pm-18_smt.a.2' rel: assessment-for links: - href: '#pm-18_smt.a.2' rel: assessment-for - id: pm-18_obj.a.3 name: assessment-objective props: - name: label value: PM-18a.03 class: sp800-53a parts: - id: pm-18_obj.a.3-1 name: assessment-objective props: - name: label value: PM-18a.03[01] class: sp800-53a prose: the privacy program plan includes the role of the senior agency official for privacy; links: - href: '#pm-18_smt.a.3' rel: assessment-for - id: pm-18_obj.a.3-2 name: assessment-objective props: - name: label value: PM-18a.03[02] class: sp800-53a prose: the privacy program plan includes the identification and assignment of the roles of other privacy officials and staff and their responsibilities; links: - href: '#pm-18_smt.a.3' rel: assessment-for links: - href: '#pm-18_smt.a.3' rel: assessment-for - id: pm-18_obj.a.4 name: assessment-objective props: - name: label value: PM-18a.04 class: sp800-53a parts: - id: pm-18_obj.a.4-1 name: assessment-objective props: - name: label value: PM-18a.04[01] class: sp800-53a prose: the privacy program plan describes management commitment; links: - href: '#pm-18_smt.a.4' rel: assessment-for - id: pm-18_obj.a.4-2 name: assessment-objective props: - name: label value: PM-18a.04[02] class: sp800-53a prose: the privacy program plan describes compliance; links: - href: '#pm-18_smt.a.4' rel: assessment-for - id: pm-18_obj.a.4-3 name: assessment-objective props: - name: label value: PM-18a.04[03] class: sp800-53a prose: the privacy program plan describes the strategic goals and objectives of the privacy program; links: - href: '#pm-18_smt.a.4' rel: assessment-for links: - href: '#pm-18_smt.a.4' rel: assessment-for - id: pm-18_obj.a.5 name: assessment-objective props: - name: label value: PM-18a.05 class: sp800-53a prose: the privacy program plan reflects coordination among organizational entities responsible for the different aspects of privacy; links: - href: '#pm-18_smt.a.5' rel: assessment-for - id: pm-18_obj.a.6 name: assessment-objective props: - name: label value: PM-18a.06 class: sp800-53a prose: the privacy program plan is approved by a senior official with responsibility and accountability for the privacy risk being incurred by organizational operations (including, mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation; links: - href: '#pm-18_smt.a.6' rel: assessment-for - id: pm-18_obj.a-2 name: assessment-objective props: - name: label value: PM-18a.[02] class: sp800-53a prose: the privacy program plan is disseminated; links: - href: '#pm-18_smt.a' rel: assessment-for links: - href: '#pm-18_smt.a' rel: assessment-for - id: pm-18_obj.b name: assessment-objective props: - name: label value: PM-18b. class: sp800-53a parts: - id: pm-18_obj.b-1 name: assessment-objective props: - name: label value: PM-18b.[01] class: sp800-53a prose: 'the privacy program plan is updated {{ insert: param, pm-18_odp }};' links: - href: '#pm-18_smt.b' rel: assessment-for - id: pm-18_obj.b-2 name: assessment-objective props: - name: label value: PM-18b.[02] class: sp800-53a prose: the privacy program plan is updated to address changes in federal privacy laws and policies; links: - href: '#pm-18_smt.b' rel: assessment-for - id: pm-18_obj.b-3 name: assessment-objective props: - name: label value: PM-18b.[03] class: sp800-53a prose: the privacy program plan is updated to address organizational changes; links: - href: '#pm-18_smt.b' rel: assessment-for - id: pm-18_obj.b-4 name: assessment-objective props: - name: label value: PM-18b.[04] class: sp800-53a prose: the privacy program plan is updated to address problems identified during plan implementation or privacy control assessments. links: - href: '#pm-18_smt.b' rel: assessment-for links: - href: '#pm-18_smt.b' rel: assessment-for links: - href: '#pm-18_smt' rel: assessment-for - id: pm-18_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-18-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Privacy program plan procedures addressing program plan development and implementation procedures addressing program plan reviews, updates, and approvals procedures addressing coordination of the program plan with relevant entities records of program plan reviews, updates, and approvals other relevant documents or records - id: pm-18_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-18-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with privacy program planning and plan implementation responsibilities organizational personnel with privacy responsibilities - id: pm-19 class: SP800-53 title: Privacy Program Leadership Role props: - name: label value: PM-19 class: zero-padded - name: label value: PM-19 - name: label value: PM-19 class: sp800-53a - name: sort-id value: pm-19 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#pm-18' rel: related - href: '#pm-20' rel: related - href: '#pm-23' rel: related - href: '#pm-24' rel: related - href: '#pm-27' rel: related parts: - id: pm-19_smt name: statement prose: Appoint a senior agency official for privacy with the authority, mission, accountability, and resources to coordinate, develop, and implement, applicable privacy requirements and manage privacy risks through the organization-wide privacy program. - id: pm-19_gdn name: guidance prose: The privacy officer is an organizational official. For federal agencies—as defined by applicable laws, executive orders, directives, regulations, policies, standards, and guidelines—this official is designated as the senior agency official for privacy. Organizations may also refer to this official as the chief privacy officer. The senior agency official for privacy also has roles on the data management board (see [PM-23](#pm-23) ) and the data integrity board (see [PM-24](#pm-24)). - id: pm-19_obj name: assessment-objective props: - name: label value: PM-19 class: sp800-53a parts: - id: pm-19_obj-1 name: assessment-objective props: - name: label value: PM-19[01] class: sp800-53a prose: a senior agency official for privacy with authority, mission, accountability, and resources is appointed; links: - href: '#pm-19_smt' rel: assessment-for - id: pm-19_obj-2 name: assessment-objective props: - name: label value: PM-19[02] class: sp800-53a prose: the senior agency official for privacy coordinates applicable privacy requirements; links: - href: '#pm-19_smt' rel: assessment-for - id: pm-19_obj-3 name: assessment-objective props: - name: label value: PM-19[03] class: sp800-53a prose: the senior agency official for privacy develops applicable privacy requirements; links: - href: '#pm-19_smt' rel: assessment-for - id: pm-19_obj-4 name: assessment-objective props: - name: label value: PM-19[04] class: sp800-53a prose: the senior agency official for privacy implements applicable privacy requirements; links: - href: '#pm-19_smt' rel: assessment-for - id: pm-19_obj-5 name: assessment-objective props: - name: label value: PM-19[05] class: sp800-53a prose: the senior agency official for privacy manages privacy risks through the organization-wide privacy program. links: - href: '#pm-19_smt' rel: assessment-for links: - href: '#pm-19_smt' rel: assessment-for - id: pm-19_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-19-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Privacy program documents, including policies, procedures, plans, and reports public privacy notices, including Federal Register notices privacy impact assessments privacy risk assessments Privacy Act statements system of records notices computer matching agreements and notices contracts, information sharing agreements, and memoranda of understanding governing requirements, including laws, executive orders, regulations, standards, and guidance other relevant documents or records - id: pm-19_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-19-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with privacy program planning and plan implementation responsibilities organizational personnel with privacy responsibilities senior agency official for privacy privacy officials - id: pm-20 class: SP800-53 title: Dissemination of Privacy Program Information props: - name: label value: PM-20 class: zero-padded - name: label value: PM-20 - name: label value: PM-20 class: sp800-53a - name: sort-id value: pm-20 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#18e71fec-c6fd-475a-925a-5d8495cf8455' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#206a3284-6a7e-423c-8ea9-25b22542541d' rel: reference - href: '#ac-3' rel: related - href: '#pm-19' rel: related - href: '#pt-5' rel: related - href: '#pt-6' rel: related - href: '#pt-7' rel: related - href: '#ra-8' rel: related parts: - id: pm-20_smt name: statement prose: 'Maintain a central resource webpage on the organization’s principal public website that serves as a central source of information about the organization’s privacy program and that:' parts: - id: pm-20_smt.a name: item props: - name: label value: a. prose: Ensures that the public has access to information about organizational privacy activities and can communicate with its senior agency official for privacy; - id: pm-20_smt.b name: item props: - name: label value: b. prose: Ensures that organizational privacy practices and reports are publicly available; and - id: pm-20_smt.c name: item props: - name: label value: c. prose: Employs publicly facing email addresses and/or phone lines to enable the public to provide feedback and/or direct questions to privacy offices regarding privacy practices. - id: pm-20_gdn name: guidance prose: For federal agencies, the webpage is located at www.[agency].gov/privacy. Federal agencies include public privacy impact assessments, system of records notices, computer matching notices and agreements, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) exemption and implementation rules, privacy reports, privacy policies, instructions for individuals making an access or amendment request, email addresses for questions/complaints, blogs, and periodic publications. - id: pm-20_obj name: assessment-objective props: - name: label value: PM-20 class: sp800-53a parts: - id: pm-20_obj-1 name: assessment-objective props: - name: label value: PM-20[01] class: sp800-53a prose: a central resource webpage is maintained on the organization’s principal public website; links: - href: '#pm-20_smt' rel: assessment-for - id: pm-20_obj-2 name: assessment-objective props: - name: label value: PM-20[02] class: sp800-53a prose: the webpage serves as a central source of information about the organization’s privacy program; links: - href: '#pm-20_smt' rel: assessment-for - id: pm-20_obj.a name: assessment-objective props: - name: label value: PM-20a. class: sp800-53a parts: - id: pm-20_obj.a-1 name: assessment-objective props: - name: label value: PM-20a.[01] class: sp800-53a prose: the webpage ensures that the public has access to information about organizational privacy activities; links: - href: '#pm-20_smt.a' rel: assessment-for - id: pm-20_obj.a-2 name: assessment-objective props: - name: label value: PM-20a.[02] class: sp800-53a prose: the webpage ensures that the public can communicate with its senior agency official for privacy; links: - href: '#pm-20_smt.a' rel: assessment-for links: - href: '#pm-20_smt.a' rel: assessment-for - id: pm-20_obj.b name: assessment-objective props: - name: label value: PM-20b. class: sp800-53a parts: - id: pm-20_obj.b-1 name: assessment-objective props: - name: label value: PM-20b.[01] class: sp800-53a prose: the webpage ensures that organizational privacy practices are publicly available; links: - href: '#pm-20_smt.b' rel: assessment-for - id: pm-20_obj.b-2 name: assessment-objective props: - name: label value: PM-20b.[02] class: sp800-53a prose: the webpage ensures that organizational privacy reports are publicly available; links: - href: '#pm-20_smt.b' rel: assessment-for links: - href: '#pm-20_smt.b' rel: assessment-for - id: pm-20_obj.c name: assessment-objective props: - name: label value: PM-20c. class: sp800-53a prose: the webpage employs publicly facing email addresses and/or phone numbers to enable the public to provide feedback and/or direct questions to privacy offices regarding privacy practices. links: - href: '#pm-20_smt.c' rel: assessment-for links: - href: '#pm-20_smt' rel: assessment-for - id: pm-20_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-20-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Public website publicly posted privacy program documents, including policies, procedures, plans, and reports position description of the senior agency official for privacy public privacy notices, including Federal Register notices privacy impact assessments privacy risk assessments Privacy Act statements and system of records notices computer matching agreements and notices other relevant documents or records - id: pm-20_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-20-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with privacy program information dissemination responsibilities organizational personnel with privacy responsibilities - id: pm-20_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-20-Test class: sp800-53a parts: - name: assessment-objects prose: Location, access, availability, and functionality of privacy resource webpage controls: - id: pm-20.1 class: SP800-53-enhancement title: Privacy Policies on Websites, Applications, and Digital Services props: - name: label value: PM-20(01) class: zero-padded - name: label value: PM-20(1) - name: label value: PM-20(01) class: sp800-53a - name: sort-id value: pm-20.01 - 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: '#pm-20' rel: required parts: - id: pm-20.1_smt name: statement prose: 'Develop and post privacy policies on all external-facing websites, mobile applications, and other digital services, that:' parts: - id: pm-20.1_smt.a name: item props: - name: label value: (a) prose: Are written in plain language and organized in a way that is easy to understand and navigate; - id: pm-20.1_smt.b name: item props: - name: label value: (b) prose: Provide information needed by the public to make an informed decision about whether and how to interact with the organization; and - id: pm-20.1_smt.c name: item props: - name: label value: (c) prose: Are updated whenever the organization makes a substantive change to the practices it describes and includes a time/date stamp to inform the public of the date of the most recent changes. - id: pm-20.1_gdn name: guidance prose: Organizations post privacy policies on all external-facing websites, mobile applications, and other digital services. Organizations post a link to the relevant privacy policy on any known, major entry points to the website, application, or digital service. In addition, organizations provide a link to the privacy policy on any webpage that collects personally identifiable information. Organizations may be subject to applicable laws, executive orders, directives, regulations, or policies that require the provision of specific information to the public. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements. - id: pm-20.1_obj name: assessment-objective props: - name: label value: PM-20(01) class: sp800-53a parts: - id: pm-20.1_obj-1 name: assessment-objective props: - name: label value: PM-20(01)[01] class: sp800-53a prose: privacy policies are developed and posted on all external-facing websites; links: - href: '#pm-20.1_smt' rel: assessment-for - id: pm-20.1_obj-2 name: assessment-objective props: - name: label value: PM-20(01)[02] class: sp800-53a prose: privacy policies are developed and posted on all mobile applications; links: - href: '#pm-20.1_smt' rel: assessment-for - id: pm-20.1_obj-3 name: assessment-objective props: - name: label value: PM-20(01)[03] class: sp800-53a prose: privacy policies are developed and posted on all other digital services; links: - href: '#pm-20.1_smt' rel: assessment-for - id: pm-20.1_obj.a name: assessment-objective props: - name: label value: PM-20(01)(a) class: sp800-53a parts: - id: pm-20.1_obj.a-1 name: assessment-objective props: - name: label value: PM-20(01)(a)[01] class: sp800-53a prose: the privacy policies are written in plain language; links: - href: '#pm-20.1_smt.a' rel: assessment-for - id: pm-20.1_obj.a-2 name: assessment-objective props: - name: label value: PM-20(01)(a)[02] class: sp800-53a prose: the privacy policies are organized in a way that is easy to understand and navigate; links: - href: '#pm-20.1_smt.a' rel: assessment-for links: - href: '#pm-20.1_smt.a' rel: assessment-for - id: pm-20.1_obj.b name: assessment-objective props: - name: label value: PM-20(01)(b) class: sp800-53a parts: - id: pm-20.1_obj.b-1 name: assessment-objective props: - name: label value: PM-20(01)(b)[01] class: sp800-53a prose: the privacy policies provide the information needed by the public to make an informed decision about whether to interact with the organization; links: - href: '#pm-20.1_smt.b' rel: assessment-for - id: pm-20.1_obj.b-2 name: assessment-objective props: - name: label value: PM-20(01)(b)[02] class: sp800-53a prose: the privacy policies provide the information needed by the public to make an informed decision about how to interact with the organization; links: - href: '#pm-20.1_smt.b' rel: assessment-for links: - href: '#pm-20.1_smt.b' rel: assessment-for - id: pm-20.1_obj.c name: assessment-objective props: - name: label value: PM-20(01)(c) class: sp800-53a parts: - id: pm-20.1_obj.c-1 name: assessment-objective props: - name: label value: PM-20(01)(c)[01] class: sp800-53a prose: the privacy policies are updated whenever the organization makes a substantive change to the practices it describes; links: - href: '#pm-20.1_smt.c' rel: assessment-for - id: pm-20.1_obj.c-2 name: assessment-objective props: - name: label value: PM-20(01)(c)[02] class: sp800-53a prose: the privacy policies include a time/date stamp to inform the public of the date of the most recent changes. links: - href: '#pm-20.1_smt.c' rel: assessment-for links: - href: '#pm-20.1_smt.c' rel: assessment-for links: - href: '#pm-20.1_smt' rel: assessment-for - id: pm-20.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-20(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Privacy program plan privacy policies on the agency website, mobile applications, and/or other digital services - id: pm-20.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-20(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with privacy program information dissemination responsibilities organizational personnel with privacy responsibilities - id: pm-20.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-20(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational procedures and practices for authorizing, conducting, managing, and reviewing personally identifiable information processing organizational procedures and practices for disseminating privacy program information mechanisms supporting the dissemination of privacy program information - id: pm-21 class: SP800-53 title: Accounting of Disclosures props: - name: label value: PM-21 class: zero-padded - name: label value: PM-21 - name: label value: PM-21 class: sp800-53a - name: sort-id value: pm-21 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#18e71fec-c6fd-475a-925a-5d8495cf8455' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#ac-3' rel: related - href: '#au-2' rel: related - href: '#pt-2' rel: related parts: - id: pm-21_smt name: statement parts: - id: pm-21_smt.a name: item props: - name: label value: a. prose: 'Develop and maintain an accurate accounting of disclosures of personally identifiable information, including:' parts: - id: pm-21_smt.a.1 name: item props: - name: label value: "1." prose: Date, nature, and purpose of each disclosure; and - id: pm-21_smt.a.2 name: item props: - name: label value: "2." prose: Name and address, or other contact information of the individual or organization to which the disclosure was made; - id: pm-21_smt.b name: item props: - name: label value: b. prose: Retain the accounting of disclosures for the length of the time the personally identifiable information is maintained or five years after the disclosure is made, whichever is longer; and - id: pm-21_smt.c name: item props: - name: label value: c. prose: Make the accounting of disclosures available to the individual to whom the personally identifiable information relates upon request. - id: pm-21_gdn name: guidance prose: |- The purpose of accounting of disclosures is to allow individuals to learn to whom their personally identifiable information has been disclosed, to provide a basis for subsequently advising recipients of any corrected or disputed personally identifiable information, and to provide an audit trail for subsequent reviews of organizational compliance with conditions for disclosures. For federal agencies, keeping an accounting of disclosures is required by the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) ; agencies should consult with their senior agency official for privacy and legal counsel on this requirement and be aware of the statutory exceptions and OMB guidance relating to the provision. Organizations can use any system for keeping notations of disclosures, if it can construct from such a system, a document listing of all disclosures along with the required information. Automated mechanisms can be used by organizations to determine when personally identifiable information is disclosed, including commercial services that provide notifications and alerts. Accounting of disclosures may also be used to help organizations verify compliance with applicable privacy statutes and policies governing the disclosure or dissemination of information and dissemination restrictions. - id: pm-21_obj name: assessment-objective props: - name: label value: PM-21 class: sp800-53a parts: - id: pm-21_obj.a name: assessment-objective props: - name: label value: PM-21a. class: sp800-53a prose: an accurate accounting of disclosures of personally identifiable information is developed and maintained; parts: - id: pm-21_obj.a.1 name: assessment-objective props: - name: label value: PM-21a.01 class: sp800-53a parts: - id: pm-21_obj.a.1-1 name: assessment-objective props: - name: label value: PM-21a.01[01] class: sp800-53a prose: the accounting includes the date of each disclosure; links: - href: '#pm-21_smt.a.1' rel: assessment-for - id: pm-21_obj.a.1-2 name: assessment-objective props: - name: label value: PM-21a.01[02] class: sp800-53a prose: the accounting includes the nature of each disclosure; links: - href: '#pm-21_smt.a.1' rel: assessment-for - id: pm-21_obj.a.1-3 name: assessment-objective props: - name: label value: PM-21a.01[03] class: sp800-53a prose: the accounting includes the purpose of each disclosure; links: - href: '#pm-21_smt.a.1' rel: assessment-for links: - href: '#pm-21_smt.a.1' rel: assessment-for - id: pm-21_obj.a.2 name: assessment-objective props: - name: label value: PM-21a.02 class: sp800-53a parts: - id: pm-21_obj.a.2-1 name: assessment-objective props: - name: label value: PM-21a.02[01] class: sp800-53a prose: the accounting includes the name of the individual or organization to whom the disclosure was made; links: - href: '#pm-21_smt.a.2' rel: assessment-for - id: pm-21_obj.a.2-2 name: assessment-objective props: - name: label value: PM-21a.02[02] class: sp800-53a prose: the accounting includes the address or other contact information of the individual or organization to whom the disclosure was made; links: - href: '#pm-21_smt.a.2' rel: assessment-for links: - href: '#pm-21_smt.a.2' rel: assessment-for links: - href: '#pm-21_smt.a' rel: assessment-for - id: pm-21_obj.b name: assessment-objective props: - name: label value: PM-21b. class: sp800-53a prose: the accounting of disclosures is retained for the length of time that the personally identifiable information is maintained or five years after the disclosure is made, whichever is longer; links: - href: '#pm-21_smt.b' rel: assessment-for - id: pm-21_obj.c name: assessment-objective props: - name: label value: PM-21c. class: sp800-53a prose: the accounting of disclosures is made available to the individual to whom the personally identifiable information relates upon request. links: - href: '#pm-21_smt.c' rel: assessment-for links: - href: '#pm-21_smt' rel: assessment-for - id: pm-21_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-21-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Privacy program plan disclosure policies and procedures records of disclosures audit logs Privacy Act policies and procedures system of records notice Privacy Act exemption rules. - id: pm-21_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-21-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with privacy program responsibilities organizational personnel with privacy responsibilities. - id: pm-21_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-21-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for disclosures mechanisms supporting the accounting of disclosures, including commercial services that provide notifications and alerts. - id: pm-22 class: SP800-53 title: Personally Identifiable Information Quality Management props: - name: label value: PM-22 class: zero-padded - name: label value: PM-22 - name: label value: PM-22 class: sp800-53a - name: sort-id value: pm-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: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#227063d4-431e-435f-9e8f-009b6dbc20f4' rel: reference - href: '#c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2' rel: reference - href: '#pm-23' rel: related - href: '#si-18' rel: related parts: - id: pm-22_smt name: statement prose: 'Develop and document organization-wide policies and procedures for:' parts: - id: pm-22_smt.a name: item props: - name: label value: a. prose: Reviewing for the accuracy, relevance, timeliness, and completeness of personally identifiable information across the information life cycle; - id: pm-22_smt.b name: item props: - name: label value: b. prose: Correcting or deleting inaccurate or outdated personally identifiable information; - id: pm-22_smt.c name: item props: - name: label value: c. prose: Disseminating notice of corrected or deleted personally identifiable information to individuals or other appropriate entities; and - id: pm-22_smt.d name: item props: - name: label value: d. prose: Appeals of adverse decisions on correction or deletion requests. - id: pm-22_gdn name: guidance prose: |- Personally identifiable information quality management includes steps that organizations take to confirm the accuracy and relevance of personally identifiable information throughout the information life cycle. The information life cycle includes the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition of personally identifiable information. Organizational policies and procedures for personally identifiable information quality management are important because inaccurate or outdated personally identifiable information maintained by organizations may cause problems for individuals. Organizations consider the quality of personally identifiable information involved in business functions where inaccurate information may result in adverse decisions or the denial of benefits and services, or the disclosure of the information may cause stigmatization. Correct information, in certain circumstances, can cause problems for individuals that outweigh the benefits of organizations maintaining the information. Organizations consider creating policies and procedures for the removal of such information. The senior agency official for privacy ensures that practical means and mechanisms exist and are accessible for individuals or their authorized representatives to seek the correction or deletion of personally identifiable information. Processes for correcting or deleting data are clearly defined and publicly available. Organizations use discretion in determining whether data is to be deleted or corrected based on the scope of requests, the changes sought, and the impact of the changes. Additionally, processes include the provision of responses to individuals of decisions to deny requests for correction or deletion. The responses include the reasons for the decisions, a means to record individual objections to the decisions, and a means of requesting reviews of the initial determinations. Organizations notify individuals or their designated representatives when their personally identifiable information is corrected or deleted to provide transparency and confirm the completed action. Due to the complexity of data flows and storage, other entities may need to be informed of the correction or deletion. Notice supports the consistent correction and deletion of personally identifiable information across the data ecosystem. - id: pm-22_obj name: assessment-objective props: - name: label value: PM-22 class: sp800-53a parts: - id: pm-22_obj-1 name: assessment-objective props: - name: label value: PM-22[01] class: sp800-53a prose: organization-wide policies for personally identifiable information quality management are developed and documented; links: - href: '#pm-22_smt' rel: assessment-for - id: pm-22_obj-2 name: assessment-objective props: - name: label value: PM-22[02] class: sp800-53a prose: organization-wide procedures for personally identifiable information quality management are developed and documented; links: - href: '#pm-22_smt' rel: assessment-for - id: pm-22_obj.a name: assessment-objective props: - name: label value: PM-22a. class: sp800-53a parts: - id: pm-22_obj.a-1 name: assessment-objective props: - name: label value: PM-22a.[01] class: sp800-53a prose: the policies address reviewing the accuracy of personally identifiable information across the information life cycle; links: - href: '#pm-22_smt.a' rel: assessment-for - id: pm-22_obj.a-2 name: assessment-objective props: - name: label value: PM-22a.[02] class: sp800-53a prose: the policies address reviewing the relevance of personally identifiable information across the information life cycle; links: - href: '#pm-22_smt.a' rel: assessment-for - id: pm-22_obj.a-3 name: assessment-objective props: - name: label value: PM-22a.[03] class: sp800-53a prose: the policies address reviewing the timeliness of personally identifiable information across the information life cycle; links: - href: '#pm-22_smt.a' rel: assessment-for - id: pm-22_obj.a-4 name: assessment-objective props: - name: label value: PM-22a.[04] class: sp800-53a prose: the policies address reviewing the completeness of personally identifiable information across the information life cycle; links: - href: '#pm-22_smt.a' rel: assessment-for - id: pm-22_obj.a-5 name: assessment-objective props: - name: label value: PM-22a.[05] class: sp800-53a prose: the procedures address reviewing the accuracy of personally identifiable information across the information life cycle; links: - href: '#pm-22_smt.a' rel: assessment-for - id: pm-22_obj.a-6 name: assessment-objective props: - name: label value: PM-22a.[06] class: sp800-53a prose: the procedures address reviewing the relevance of personally identifiable information across the information life cycle; links: - href: '#pm-22_smt.a' rel: assessment-for - id: pm-22_obj.a-7 name: assessment-objective props: - name: label value: PM-22a.[07] class: sp800-53a prose: the procedures address reviewing the timeliness of personally identifiable information across the information life cycle; links: - href: '#pm-22_smt.a' rel: assessment-for - id: pm-22_obj.a-8 name: assessment-objective props: - name: label value: PM-22a.[08] class: sp800-53a prose: the procedures address reviewing the completeness of personally identifiable information across the information life cycle; links: - href: '#pm-22_smt.a' rel: assessment-for links: - href: '#pm-22_smt.a' rel: assessment-for - id: pm-22_obj.b name: assessment-objective props: - name: label value: PM-22b. class: sp800-53a parts: - id: pm-22_obj.b-1 name: assessment-objective props: - name: label value: PM-22b.[01] class: sp800-53a prose: the policies address correcting or deleting inaccurate or outdated personally identifiable information; links: - href: '#pm-22_smt.b' rel: assessment-for - id: pm-22_obj.b-2 name: assessment-objective props: - name: label value: PM-22b.[02] class: sp800-53a prose: the procedures address correcting or deleting inaccurate or outdated personally identifiable information; links: - href: '#pm-22_smt.b' rel: assessment-for links: - href: '#pm-22_smt.b' rel: assessment-for - id: pm-22_obj.c name: assessment-objective props: - name: label value: PM-22c. class: sp800-53a parts: - id: pm-22_obj.c-1 name: assessment-objective props: - name: label value: PM-22c.[01] class: sp800-53a prose: the policies address disseminating notice of corrected or deleted personally identifiable information to individuals or other appropriate entities; links: - href: '#pm-22_smt.c' rel: assessment-for - id: pm-22_obj.c-2 name: assessment-objective props: - name: label value: PM-22c.[02] class: sp800-53a prose: the procedures address disseminating notice of corrected or deleted personally identifiable information to individuals or other appropriate entities; links: - href: '#pm-22_smt.c' rel: assessment-for links: - href: '#pm-22_smt.c' rel: assessment-for - id: pm-22_obj.d name: assessment-objective props: - name: label value: PM-22d. class: sp800-53a parts: - id: pm-22_obj.d-1 name: assessment-objective props: - name: label value: PM-22d.[01] class: sp800-53a prose: the policies address appeals of adverse decisions on correction or deletion requests; links: - href: '#pm-22_smt.d' rel: assessment-for - id: pm-22_obj.d-2 name: assessment-objective props: - name: label value: PM-22d.[02] class: sp800-53a prose: the procedures address appeals of adverse decisions on correction or deletion requests. links: - href: '#pm-22_smt.d' rel: assessment-for links: - href: '#pm-22_smt.d' rel: assessment-for links: - href: '#pm-22_smt' rel: assessment-for - id: pm-22_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-22-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Privacy program plan policies and procedures addressing personally identifiable information quality management, information life cycle documentation, and sample notices of correction or deletion records of monitoring PII quality management practices documentation of reviews and updates of policies and procedures - id: pm-22_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-22-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with privacy program information dissemination responsibilities organizational personnel with privacy responsibilities - id: pm-22_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-22-Test class: sp800-53a parts: - name: assessment-objects prose: |- [Organizational processes for data quality and personally identifiable information quality management procedures mechanisms supporting and/or implementing quality management requirements - id: pm-23 class: SP800-53 title: Data Governance Body params: - id: pm-23_odp.01 props: - name: alt-identifier value: pm-23_prm_1 - name: label value: PM-23_ODP[01] class: sp800-53a label: roles guidelines: - prose: the roles of a Data Governance Body are defined; - id: pm-23_odp.02 props: - name: alt-identifier value: pm-23_prm_2 - name: label value: PM-23_ODP[02] class: sp800-53a label: responsibilities guidelines: - prose: the responsibilities of a Data Governance Body are defined; props: - name: label value: PM-23 class: zero-padded - name: label value: PM-23 - name: label value: PM-23 class: sp800-53a - name: sort-id value: pm-23 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#511da9ca-604d-43f7-be41-b862085420a9' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#d886c141-c832-4ad7-ac6d-4b94f4b550d3' rel: reference - href: '#c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2' rel: reference - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#pm-19' rel: related - href: '#pm-22' rel: related - href: '#pm-24' rel: related - href: '#pt-7' rel: related - href: '#si-4' rel: related - href: '#si-19' rel: related parts: - id: pm-23_smt name: statement prose: 'Establish a Data Governance Body consisting of {{ insert: param, pm-23_odp.01 }} with {{ insert: param, pm-23_odp.02 }}.' - id: pm-23_gdn name: guidance prose: A Data Governance Body can help ensure that the organization has coherent policies and the ability to balance the utility of data with security and privacy requirements. The Data Governance Body establishes policies, procedures, and standards that facilitate data governance so that data, including personally identifiable information, is effectively managed and maintained in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidance. Responsibilities can include developing and implementing guidelines that support data modeling, quality, integrity, and the de-identification needs of personally identifiable information across the information life cycle as well as reviewing and approving applications to release data outside of the organization, archiving the applications and the released data, and performing post-release monitoring to ensure that the assumptions made as part of the data release continue to be valid. Members include the chief information officer, senior agency information security officer, and senior agency official for privacy. Federal agencies are required to establish a Data Governance Body with specific roles and responsibilities in accordance with the [EVIDACT](#511da9ca-604d-43f7-be41-b862085420a9) and policies set forth under [OMB M-19-23](#d886c141-c832-4ad7-ac6d-4b94f4b550d3). - id: pm-23_obj name: assessment-objective props: - name: label value: PM-23 class: sp800-53a prose: 'a Data Governance Body consisting of {{ insert: param, pm-23_odp.01 }} with {{ insert: param, pm-23_odp.02 }} is established.' links: - href: '#pm-23_smt' rel: assessment-for - id: pm-23_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-23-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Privacy program plan documentation relating to the Data Governance Body, including documents establishing such a body, its charter of operations, and any plans and reports records of board meetings and decisions records of requests to review data policies, procedures, and standards that facilitate data governance - id: pm-23_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-23-Interview class: sp800-53a parts: - name: assessment-objects prose: Officials serving on the Data Governance Body (e.g., chief information officer, senior agency information security officer, and senior agency official for privacy) - id: pm-24 class: SP800-53 title: Data Integrity Board props: - name: label value: PM-24 class: zero-padded - name: label value: PM-24 - name: label value: PM-24 class: sp800-53a - name: sort-id value: pm-24 - 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: '#3671ff20-c17c-44d6-8a88-7de203fa74aa' rel: reference - href: '#ac-4' rel: related - href: '#pm-19' rel: related - href: '#pm-23' rel: related - href: '#pt-2' rel: related - href: '#pt-8' rel: related parts: - id: pm-24_smt name: statement prose: 'Establish a Data Integrity Board to:' parts: - id: pm-24_smt.a name: item props: - name: label value: a. prose: Review proposals to conduct or participate in a matching program; and - id: pm-24_smt.b name: item props: - name: label value: b. prose: Conduct an annual review of all matching programs in which the agency has participated. - id: pm-24_gdn name: guidance prose: A Data Integrity Board is the board of senior officials designated by the head of a federal agency and is responsible for, among other things, reviewing the agency’s proposals to conduct or participate in a matching program and conducting an annual review of all matching programs in which the agency has participated. As a general matter, a matching program is a computerized comparison of records from two or more automated [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) systems of records or an automated system of records and automated records maintained by a non-federal agency (or agent thereof). A matching program either pertains to Federal benefit programs or Federal personnel or payroll records. At a minimum, the Data Integrity Board includes the Inspector General of the agency, if any, and the senior agency official for privacy. - id: pm-24_obj name: assessment-objective props: - name: label value: PM-24 class: sp800-53a prose: a Data Integrity Board is established; parts: - id: pm-24_obj.a name: assessment-objective props: - name: label value: PM-24a. class: sp800-53a prose: the Data Integrity Board reviews proposals to conduct or participate in a matching program; links: - href: '#pm-24_smt.a' rel: assessment-for - id: pm-24_obj.b name: assessment-objective props: - name: label value: PM-24b. class: sp800-53a prose: the Data Integrity Board conducts an annual review of all matching programs in which the agency has participated. links: - href: '#pm-24_smt.b' rel: assessment-for links: - href: '#pm-24_smt' rel: assessment-for - id: pm-24_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-24-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Privacy program plan privacy program documents relating to the Data Integrity Board, including documents establishing the board, its charter of operations, and any plans and reports computer matching agreements and notices information sharing agreements memoranda of understanding records documenting annual reviews governing requirements, including laws, executive orders, regulations, standards, and guidance - id: pm-24_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-24-Interview class: sp800-53a parts: - name: assessment-objects prose: members of the Data Integrity Board (e.g., the chief information officer, senior information security officer, senior agency official for privacy, and agency Inspector General) - id: pm-25 class: SP800-53 title: Minimization of Personally Identifiable Information Used in Testing, Training, and Research params: - id: pm-25_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pm-25_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pm-25_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pm-25_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pm-25_odp.04 label: organization-defined frequency - id: pm-25_odp.01 props: - name: label value: PM-25_ODP[01] class: sp800-53a label: frequency guidelines: - prose: the frequency for reviewing policies that address the use of personally identifiable information for internal testing, training, and research is defined; - id: pm-25_odp.02 props: - name: label value: PM-25_ODP[02] class: sp800-53a label: frequency guidelines: - prose: the frequency for updating policies that address the use of personally identifiable information for internal testing, training, and research is defined; - id: pm-25_odp.03 props: - name: label value: PM-25_ODP[03] class: sp800-53a label: frequency guidelines: - prose: the frequency for reviewing procedures that address the use of personally identifiable information for internal testing, training, and research is defined; - id: pm-25_odp.04 props: - name: label value: PM-25_ODP[04] class: sp800-53a label: frequency guidelines: - prose: the frequency for updating procedures that address the use of personally identifiable information for internal testing, training, and research is defined; props: - name: label value: PM-25 class: zero-padded - name: label value: PM-25 - name: label value: PM-25 class: sp800-53a - name: sort-id value: pm-25 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#pm-23' rel: related - href: '#pt-3' rel: related - href: '#sa-3' rel: related - href: '#sa-8' rel: related - href: '#si-12' rel: related parts: - id: pm-25_smt name: statement parts: - id: pm-25_smt.a name: item props: - name: label value: a. prose: Develop, document, and implement policies and procedures that address the use of personally identifiable information for internal testing, training, and research; - id: pm-25_smt.b name: item props: - name: label value: b. prose: Limit or minimize the amount of personally identifiable information used for internal testing, training, and research purposes; - id: pm-25_smt.c name: item props: - name: label value: c. prose: Authorize the use of personally identifiable information when such information is required for internal testing, training, and research; and - id: pm-25_smt.d name: item props: - name: label value: d. prose: 'Review and update policies and procedures {{ insert: param, pm-25_prm_1 }}.' - id: pm-25_gdn name: guidance prose: The use of personally identifiable information in testing, research, and training increases the risk of unauthorized disclosure or misuse of such information. Organizations consult with the senior agency official for privacy and/or legal counsel to ensure that the use of personally identifiable information in testing, training, and research is compatible with the original purpose for which it was collected. When possible, organizations use placeholder data to avoid exposure of personally identifiable information when conducting testing, training, and research. - id: pm-25_obj name: assessment-objective props: - name: label value: PM-25 class: sp800-53a parts: - id: pm-25_obj.a name: assessment-objective props: - name: label value: PM-25a. class: sp800-53a parts: - id: pm-25_obj.a-1 name: assessment-objective props: - name: label value: PM-25a.[01] class: sp800-53a prose: policies that address the use of personally identifiable information for internal testing are developed and documented; links: - href: '#pm-25_smt.a' rel: assessment-for - id: pm-25_obj.a-2 name: assessment-objective props: - name: label value: PM-25a.[02] class: sp800-53a prose: policies that address the use of personally identifiable information for internal training are developed and documented; links: - href: '#pm-25_smt.a' rel: assessment-for - id: pm-25_obj.a-3 name: assessment-objective props: - name: label value: PM-25a.[03] class: sp800-53a prose: policies that address the use of personally identifiable information for internal research are developed and documented; links: - href: '#pm-25_smt.a' rel: assessment-for - id: pm-25_obj.a-4 name: assessment-objective props: - name: label value: PM-25a.[04] class: sp800-53a prose: procedures that address the use of personally identifiable information for internal testing are developed and documented; links: - href: '#pm-25_smt.a' rel: assessment-for - id: pm-25_obj.a-5 name: assessment-objective props: - name: label value: PM-25a.[05] class: sp800-53a prose: procedures that address the use of personally identifiable information for internal training are developed and documented; links: - href: '#pm-25_smt.a' rel: assessment-for - id: pm-25_obj.a-6 name: assessment-objective props: - name: label value: PM-25a.[06] class: sp800-53a prose: procedures that address the use of personally identifiable information for internal research are developed and documented; links: - href: '#pm-25_smt.a' rel: assessment-for - id: pm-25_obj.a-7 name: assessment-objective props: - name: label value: PM-25a.[07] class: sp800-53a prose: policies that address the use of personally identifiable information for internal testing, are implemented; links: - href: '#pm-25_smt.a' rel: assessment-for - id: pm-25_obj.a-8 name: assessment-objective props: - name: label value: PM-25a.[08] class: sp800-53a prose: policies that address the use of personally identifiable information for training are implemented; links: - href: '#pm-25_smt.a' rel: assessment-for - id: pm-25_obj.a-9 name: assessment-objective props: - name: label value: PM-25a.[09] class: sp800-53a prose: policies that address the use of personally identifiable information for research are implemented; links: - href: '#pm-25_smt.a' rel: assessment-for - id: pm-25_obj.a-10 name: assessment-objective props: - name: label value: PM-25a.[10] class: sp800-53a prose: procedures that address the use of personally identifiable information for internal testing are implemented; links: - href: '#pm-25_smt.a' rel: assessment-for - id: pm-25_obj.a-11 name: assessment-objective props: - name: label value: PM-25a.[11] class: sp800-53a prose: procedures that address the use of personally identifiable information for training are implemented; links: - href: '#pm-25_smt.a' rel: assessment-for - id: pm-25_obj.a-12 name: assessment-objective props: - name: label value: PM-25a.[12] class: sp800-53a prose: procedures that address the use of personally identifiable information for research are implemented; links: - href: '#pm-25_smt.a' rel: assessment-for links: - href: '#pm-25_smt.a' rel: assessment-for - id: pm-25_obj.b name: assessment-objective props: - name: label value: PM-25b. class: sp800-53a parts: - id: pm-25_obj.b-1 name: assessment-objective props: - name: label value: PM-25b.[01] class: sp800-53a prose: the amount of personally identifiable information used for internal testing purposes is limited or minimized; links: - href: '#pm-25_smt.b' rel: assessment-for - id: pm-25_obj.b-2 name: assessment-objective props: - name: label value: PM-25b.[02] class: sp800-53a prose: the amount of personally identifiable information used for internal training purposes is limited or minimized; links: - href: '#pm-25_smt.b' rel: assessment-for - id: pm-25_obj.b-3 name: assessment-objective props: - name: label value: PM-25b.[03] class: sp800-53a prose: the amount of personally identifiable information used for internal research purposes is limited or minimized; links: - href: '#pm-25_smt.b' rel: assessment-for links: - href: '#pm-25_smt.b' rel: assessment-for - id: pm-25_obj.c name: assessment-objective props: - name: label value: PM-25c. class: sp800-53a parts: - id: pm-25_obj.c-1 name: assessment-objective props: - name: label value: PM-25c.[01] class: sp800-53a prose: the required use of personally identifiable information for internal testing is authorized; links: - href: '#pm-25_smt.c' rel: assessment-for - id: pm-25_obj.c-2 name: assessment-objective props: - name: label value: PM-25c.[02] class: sp800-53a prose: the required use of personally identifiable information for internal training is authorized; links: - href: '#pm-25_smt.c' rel: assessment-for - id: pm-25_obj.c-3 name: assessment-objective props: - name: label value: PM-25c.[03] class: sp800-53a prose: the required use of personally identifiable information for internal research is authorized; links: - href: '#pm-25_smt.c' rel: assessment-for links: - href: '#pm-25_smt.c' rel: assessment-for - id: pm-25_obj.d name: assessment-objective props: - name: label value: PM-25d. class: sp800-53a parts: - id: pm-25_obj.d-1 name: assessment-objective props: - name: label value: PM-25d.[01] class: sp800-53a prose: 'policies are reviewed {{ insert: param, pm-25_odp.01 }};' links: - href: '#pm-25_smt.d' rel: assessment-for - id: pm-25_obj.d-2 name: assessment-objective props: - name: label value: PM-25d.[02] class: sp800-53a prose: 'policies are updated {{ insert: param, pm-25_odp.02 }};' links: - href: '#pm-25_smt.d' rel: assessment-for - id: pm-25_obj.d-3 name: assessment-objective props: - name: label value: PM-25d.[03] class: sp800-53a prose: 'procedures are reviewed {{ insert: param, pm-25_odp.03 }};' links: - href: '#pm-25_smt.d' rel: assessment-for - id: pm-25_obj.d-4 name: assessment-objective props: - name: label value: PM-25d.[04] class: sp800-53a prose: 'procedures are updated {{ insert: param, pm-25_odp.04 }}.' links: - href: '#pm-25_smt.d' rel: assessment-for links: - href: '#pm-25_smt.d' rel: assessment-for links: - href: '#pm-25_smt' rel: assessment-for - id: pm-25_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-25-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Privacy program plan policies and procedures for the minimization of personally identifiable information used in testing, training, and research documentation supporting policy implementation (e.g., templates for testing, training, and research privacy threshold analysis privacy risk assessment) data sets used for testing, training, and research - id: pm-25_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-25-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with privacy program responsibilities organizational personnel with privacy responsibilities system developers personnel with IRB responsibilities - id: pm-25_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-25-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for data quality and personally identifiable information management mechanisms supporting data quality management and personally identifiable information management to minimize the use of personally identifiable information - id: pm-26 class: SP800-53 title: Complaint Management params: - id: pm-26_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pm-26_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pm-26_odp.02 label: organization-defined time period - id: pm-26_odp.01 props: - name: label value: PM-26_ODP[01] class: sp800-53a label: time period guidelines: - prose: the time period in which complaints (including concerns or questions) from individuals are to be reviewed is defined; - id: pm-26_odp.02 props: - name: label value: PM-26_ODP[02] class: sp800-53a label: time period guidelines: - prose: the time period in which complaints (including concerns or questions) from individuals are to be addressed is defined; - id: pm-26_odp.03 props: - name: alt-identifier value: pm-26_prm_2 - name: label value: PM-26_ODP[03] class: sp800-53a label: time period guidelines: - prose: the time period for acknowledging the receipt of complaints is defined; - id: pm-26_odp.04 props: - name: alt-identifier value: pm-26_prm_3 - name: label value: PM-26_ODP[04] class: sp800-53a label: time period guidelines: - prose: the time period for responding to complaints is defined; props: - name: label value: PM-26 class: zero-padded - name: label value: PM-26 - name: label value: PM-26 class: sp800-53a - name: sort-id value: pm-26 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#ir-7' rel: related - href: '#ir-9' rel: related - href: '#pm-22' rel: related - href: '#si-18' rel: related parts: - id: pm-26_smt name: statement prose: 'Implement a process for receiving and responding to complaints, concerns, or questions from individuals about the organizational security and privacy practices that includes:' parts: - id: pm-26_smt.a name: item props: - name: label value: a. prose: Mechanisms that are easy to use and readily accessible by the public; - id: pm-26_smt.b name: item props: - name: label value: b. prose: All information necessary for successfully filing complaints; - id: pm-26_smt.c name: item props: - name: label value: c. prose: 'Tracking mechanisms to ensure all complaints received are reviewed and addressed within {{ insert: param, pm-26_prm_1 }};' - id: pm-26_smt.d name: item props: - name: label value: d. prose: 'Acknowledgement of receipt of complaints, concerns, or questions from individuals within {{ insert: param, pm-26_odp.03 }} ; and' - id: pm-26_smt.e name: item props: - name: label value: e. prose: 'Response to complaints, concerns, or questions from individuals within {{ insert: param, pm-26_odp.04 }}.' - id: pm-26_gdn name: guidance prose: Complaints, concerns, and questions from individuals can serve as valuable sources of input to organizations and ultimately improve operational models, uses of technology, data collection practices, and controls. Mechanisms that can be used by the public include telephone hotline, email, or web-based forms. The information necessary for successfully filing complaints includes contact information for the senior agency official for privacy or other official designated to receive complaints. Privacy complaints may also include personally identifiable information which is handled in accordance with relevant policies and processes. - id: pm-26_obj name: assessment-objective props: - name: label value: PM-26 class: sp800-53a parts: - id: pm-26_obj-1 name: assessment-objective props: - name: label value: PM-26[01] class: sp800-53a prose: a process for receiving complaints, concerns, or questions from individuals about organizational security and privacy practices is implemented; links: - href: '#pm-26_smt' rel: assessment-for - id: pm-26_obj-2 name: assessment-objective props: - name: label value: PM-26[02] class: sp800-53a prose: a process for responding to complaints, concerns, or questions from individuals about organizational security and privacy practices is implemented; links: - href: '#pm-26_smt' rel: assessment-for - id: pm-26_obj.a name: assessment-objective props: - name: label value: PM-26a. class: sp800-53a parts: - id: pm-26_obj.a-1 name: assessment-objective props: - name: label value: PM-26a.[01] class: sp800-53a prose: the complaint management process includes mechanisms that are easy to use by the public; links: - href: '#pm-26_smt.a' rel: assessment-for - id: pm-26_obj.a-2 name: assessment-objective props: - name: label value: PM-26a.[02] class: sp800-53a prose: the complaint management process includes mechanisms that are readily accessible by the public; links: - href: '#pm-26_smt.a' rel: assessment-for links: - href: '#pm-26_smt.a' rel: assessment-for - id: pm-26_obj.b name: assessment-objective props: - name: label value: PM-26b. class: sp800-53a prose: the complaint management process includes all information necessary for successfully filing complaints; links: - href: '#pm-26_smt.b' rel: assessment-for - id: pm-26_obj.c name: assessment-objective props: - name: label value: PM-26c. class: sp800-53a parts: - id: pm-26_obj.c-1 name: assessment-objective props: - name: label value: PM-26c.[01] class: sp800-53a prose: 'the complaint management process includes tracking mechanisms to ensure that all complaints are reviewed within {{ insert: param, pm-26_odp.01 }};' links: - href: '#pm-26_smt.c' rel: assessment-for - id: pm-26_obj.c-2 name: assessment-objective props: - name: label value: PM-26c.[02] class: sp800-53a prose: 'the complaint management process includes tracking mechanisms to ensure that all complaints are addressed within {{ insert: param, pm-26_odp.02 }};' links: - href: '#pm-26_smt.c' rel: assessment-for links: - href: '#pm-26_smt.c' rel: assessment-for - id: pm-26_obj.d name: assessment-objective props: - name: label value: PM-26d. class: sp800-53a prose: 'the complaint management process includes acknowledging the receipt of complaints, concerns, or questions from individuals within {{ insert: param, pm-26_odp.03 }};' links: - href: '#pm-26_smt.d' rel: assessment-for - id: pm-26_obj.e name: assessment-objective props: - name: label value: PM-26e. class: sp800-53a prose: 'the complaint management process includes responding to complaints, concerns, or questions from individuals within {{ insert: param, pm-26_odp.04 }}.' links: - href: '#pm-26_smt.e' rel: assessment-for links: - href: '#pm-26_smt' rel: assessment-for - id: pm-26_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-26-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Privacy program plan procedures addressing complaint management complaint documentation procedures addressing the reviews of complaints other relevant documents or records - id: pm-26_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-26-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with privacy program responsibilities organizational personnel with privacy responsibilities - id: pm-26_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-26-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for complaint management mechanisms supporting complaint management tools used by the public to submit complaints, concerns, and questions (e.g., telephone, hotline, email, or web-based forms - id: pm-27 class: SP800-53 title: Privacy Reporting params: - id: pm-27_odp.01 props: - name: alt-identifier value: pm-27_prm_1 - name: label value: PM-27_ODP[01] class: sp800-53a label: privacy reports guidelines: - prose: privacy reports are defined; - id: pm-27_odp.02 props: - name: alt-identifier value: pm-27_prm_2 - name: label value: PM-27_ODP[02] class: sp800-53a label: oversight bodies guidelines: - prose: privacy oversight bodies are defined; - id: pm-27_odp.03 props: - name: alt-identifier value: pm-27_prm_3 - name: label value: PM-27_ODP[03] class: sp800-53a label: officials guidelines: - prose: officials responsible for monitoring privacy program compliance are defined; - id: pm-27_odp.04 props: - name: alt-identifier value: pm-27_prm_4 - name: label value: PM-27_ODP[04] class: sp800-53a label: frequency guidelines: - prose: the frequency for reviewing and updating privacy reports is defined; props: - name: label value: PM-27 class: zero-padded - name: label value: PM-27 - name: label value: PM-27 class: sp800-53a - name: sort-id value: pm-27 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#0c67b2a9-bede-43d2-b86d-5f35b8be36e9' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#3671ff20-c17c-44d6-8a88-7de203fa74aa' rel: reference - href: '#ir-9' rel: related - href: '#pm-19' rel: related parts: - id: pm-27_smt name: statement parts: - id: pm-27_smt.a name: item props: - name: label value: a. prose: 'Develop {{ insert: param, pm-27_odp.01 }} and disseminate to:' parts: - id: pm-27_smt.a.1 name: item props: - name: label value: "1." prose: '{{ insert: param, pm-27_odp.02 }} to demonstrate accountability with statutory, regulatory, and policy privacy mandates; and' - id: pm-27_smt.a.2 name: item props: - name: label value: "2." prose: '{{ insert: param, pm-27_odp.03 }} and other personnel with responsibility for monitoring privacy program compliance; and' - id: pm-27_smt.b name: item props: - name: label value: b. prose: 'Review and update privacy reports {{ insert: param, pm-27_odp.04 }}.' - id: pm-27_gdn name: guidance prose: Through internal and external reporting, organizations promote accountability and transparency in organizational privacy operations. Reporting can also help organizations to determine progress in meeting privacy compliance requirements and privacy controls, compare performance across the federal government, discover vulnerabilities, identify gaps in policy and implementation, and identify models for success. For federal agencies, privacy reports include annual senior agency official for privacy reports to OMB, reports to Congress required by Implementing Regulations of the 9/11 Commission Act, and other public reports required by law, regulation, or policy, including internal policies of organizations. The senior agency official for privacy consults with legal counsel, where appropriate, to ensure that organizations meet all applicable privacy reporting requirements. - id: pm-27_obj name: assessment-objective props: - name: label value: PM-27 class: sp800-53a parts: - id: pm-27_obj.a name: assessment-objective props: - name: label value: PM-27a. class: sp800-53a prose: '{{ insert: param, pm-27_odp.01 }} are developed;' parts: - id: pm-27_obj.a.1 name: assessment-objective props: - name: label value: PM-27a.01 class: sp800-53a prose: 'the privacy reports are disseminated to {{ insert: param, pm-27_odp.02 }} to demonstrate accountability with statutory, regulatory, and policy privacy mandates;' links: - href: '#pm-27_smt.a.1' rel: assessment-for - id: pm-27_obj.a.2 name: assessment-objective props: - name: label value: PM-27a.02 class: sp800-53a parts: - id: pm-27_obj.a.2-1 name: assessment-objective props: - name: label value: PM-27a.02[01] class: sp800-53a prose: 'the privacy reports are disseminated to {{ insert: param, pm-27_odp.03 }};' links: - href: '#pm-27_smt.a.2' rel: assessment-for - id: pm-27_obj.a.2-2 name: assessment-objective props: - name: label value: PM-27a.02[02] class: sp800-53a prose: the privacy reports are disseminated to other personnel responsible for monitoring privacy program compliance; links: - href: '#pm-27_smt.a.2' rel: assessment-for links: - href: '#pm-27_smt.a.2' rel: assessment-for links: - href: '#pm-27_smt.a' rel: assessment-for - id: pm-27_obj.b name: assessment-objective props: - name: label value: PM-27b. class: sp800-53a prose: 'the privacy reports are reviewed and updated {{ insert: param, pm-27_odp.04 }}.' links: - href: '#pm-27_smt.b' rel: assessment-for links: - href: '#pm-27_smt' rel: assessment-for - id: pm-27_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-27-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Privacy program plan internal and external privacy reports privacy program plan annual senior agency official for privacy reports to OMB reports to Congress required by law, regulation, or policy, including internal policies records documenting the dissemination of reports to oversight bodies and officials responsible for monitoring privacy program compliance records of review and updates of privacy reports. - id: pm-27_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-27-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with privacy program responsibilities organizational personnel with privacy responsibilities legal counsel. - id: pm-28 class: SP800-53 title: Risk Framing params: - id: pm-28_odp.01 props: - name: alt-identifier value: pm-28_prm_1 - name: label value: PM-28_ODP[01] class: sp800-53a label: personnel guidelines: - prose: the personnel to receive the results of risk framing activities is/are defined; - id: pm-28_odp.02 props: - name: alt-identifier value: pm-28_prm_2 - name: label value: PM-28_ODP[02] class: sp800-53a label: frequency guidelines: - prose: the frequency for reviewing and updating risk framing considerations is defined; props: - name: label value: PM-28 class: zero-padded - name: label value: PM-28 - name: label value: PM-28 class: sp800-53a - name: sort-id value: pm-28 - 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: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#ca-7' rel: related - href: '#pm-9' rel: related - href: '#ra-3' rel: related - href: '#ra-7' rel: related parts: - id: pm-28_smt name: statement parts: - id: pm-28_smt.a name: item props: - name: label value: a. prose: 'Identify and document:' parts: - id: pm-28_smt.a.1 name: item props: - name: label value: "1." prose: Assumptions affecting risk assessments, risk responses, and risk monitoring; - id: pm-28_smt.a.2 name: item props: - name: label value: "2." prose: Constraints affecting risk assessments, risk responses, and risk monitoring; - id: pm-28_smt.a.3 name: item props: - name: label value: "3." prose: Priorities and trade-offs considered by the organization for managing risk; and - id: pm-28_smt.a.4 name: item props: - name: label value: "4." prose: Organizational risk tolerance; - id: pm-28_smt.b name: item props: - name: label value: b. prose: 'Distribute the results of risk framing activities to {{ insert: param, pm-28_odp.01 }} ; and' - id: pm-28_smt.c name: item props: - name: label value: c. prose: 'Review and update risk framing considerations {{ insert: param, pm-28_odp.02 }}.' - id: pm-28_gdn name: guidance prose: Risk framing is most effective when conducted at the organization level and in consultation with stakeholders throughout the organization including mission, business, and system owners. The assumptions, constraints, risk tolerance, priorities, and trade-offs identified as part of the risk framing process inform the risk management strategy, which in turn informs the conduct of risk assessment, risk response, and risk monitoring activities. Risk framing results are shared with organizational personnel, including mission and business owners, information owners or stewards, system owners, authorizing officials, senior agency information security officer, senior agency official for privacy, and senior accountable official for risk management. - id: pm-28_obj name: assessment-objective props: - name: label value: PM-28 class: sp800-53a parts: - id: pm-28_obj.a name: assessment-objective props: - name: label value: PM-28a. class: sp800-53a parts: - id: pm-28_obj.a.1 name: assessment-objective props: - name: label value: PM-28a.01 class: sp800-53a parts: - id: pm-28_obj.a.1-1 name: assessment-objective props: - name: label value: PM-28a.01[01] class: sp800-53a prose: assumptions affecting risk assessments are identified and documented; links: - href: '#pm-28_smt.a.1' rel: assessment-for - id: pm-28_obj.a.1-2 name: assessment-objective props: - name: label value: PM-28a.01[02] class: sp800-53a prose: assumptions affecting risk responses are identified and documented; links: - href: '#pm-28_smt.a.1' rel: assessment-for - id: pm-28_obj.a.1-3 name: assessment-objective props: - name: label value: PM-28a.01[03] class: sp800-53a prose: assumptions affecting risk monitoring are identified and documented; links: - href: '#pm-28_smt.a.1' rel: assessment-for links: - href: '#pm-28_smt.a.1' rel: assessment-for - id: pm-28_obj.a.2 name: assessment-objective props: - name: label value: PM-28a.02 class: sp800-53a parts: - id: pm-28_obj.a.2-1 name: assessment-objective props: - name: label value: PM-28a.02[01] class: sp800-53a prose: constraints affecting risk assessments are identified and documented; links: - href: '#pm-28_smt.a.2' rel: assessment-for - id: pm-28_obj.a.2-2 name: assessment-objective props: - name: label value: PM-28a.02[02] class: sp800-53a prose: constraints affecting risk responses are identified and documented; links: - href: '#pm-28_smt.a.2' rel: assessment-for - id: pm-28_obj.a.2-3 name: assessment-objective props: - name: label value: PM-28a.02[03] class: sp800-53a prose: constraints affecting risk monitoring are identified and documented; links: - href: '#pm-28_smt.a.2' rel: assessment-for links: - href: '#pm-28_smt.a.2' rel: assessment-for - id: pm-28_obj.a.3 name: assessment-objective props: - name: label value: PM-28a.03 class: sp800-53a parts: - id: pm-28_obj.a.3-1 name: assessment-objective props: - name: label value: PM-28a.03[01] class: sp800-53a prose: priorities considered by the organization for managing risk are identified and documented; links: - href: '#pm-28_smt.a.3' rel: assessment-for - id: pm-28_obj.a.3-2 name: assessment-objective props: - name: label value: PM-28a.03[02] class: sp800-53a prose: trade-offs considered by the organization for managing risk are identified and documented; links: - href: '#pm-28_smt.a.3' rel: assessment-for links: - href: '#pm-28_smt.a.3' rel: assessment-for - id: pm-28_obj.a.4 name: assessment-objective props: - name: label value: PM-28a.04 class: sp800-53a prose: organizational risk tolerance is identified and documented; links: - href: '#pm-28_smt.a.4' rel: assessment-for links: - href: '#pm-28_smt.a' rel: assessment-for - id: pm-28_obj.b name: assessment-objective props: - name: label value: PM-28b. class: sp800-53a prose: 'the results of risk framing activities are distributed to {{ insert: param, pm-28_odp.01 }};' links: - href: '#pm-28_smt.b' rel: assessment-for - id: pm-28_obj.c name: assessment-objective props: - name: label value: PM-28c. class: sp800-53a prose: 'risk framing considerations are reviewed and updated {{ insert: param, pm-28_odp.02 }}.' links: - href: '#pm-28_smt.c' rel: assessment-for links: - href: '#pm-28_smt' rel: assessment-for - id: pm-28_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-28-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan privacy program plan supply chain risk management strategy documentation of risk framing activities policies and procedures for risk framing activities risk management strategy - id: pm-28_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-28-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel (including mission, business, and system owners or stewards authorizing officials senior agency information security officer senior agency official for privacy and senior accountable official for risk management) - id: pm-28_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-28-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational procedures and practices for authorizing, conducting, managing, and reviewing personally identifiable information processing organizational processes for risk framing mechanisms supporting the development, review, update, and approval of risk framing - id: pm-29 class: SP800-53 title: Risk Management Program Leadership Roles props: - name: label value: PM-29 class: zero-padded - name: label value: PM-29 - name: label value: PM-29 class: sp800-53a - name: sort-id value: pm-29 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#276bd50a-7e58-48e5-a405-8c8cb91d7a5f' rel: reference - href: '#pm-2' rel: related - href: '#pm-19' rel: related parts: - id: pm-29_smt name: statement parts: - id: pm-29_smt.a name: item props: - name: label value: a. prose: Appoint a Senior Accountable Official for Risk Management to align organizational information security and privacy management processes with strategic, operational, and budgetary planning processes; and - id: pm-29_smt.b name: item props: - name: label value: b. prose: Establish a Risk Executive (function) to view and analyze risk from an organization-wide perspective and ensure management of risk is consistent across the organization. - id: pm-29_gdn name: guidance prose: The senior accountable official for risk management leads the risk executive (function) in organization-wide risk management activities. - id: pm-29_obj name: assessment-objective props: - name: label value: PM-29 class: sp800-53a parts: - id: pm-29_obj.a name: assessment-objective props: - name: label value: PM-29a. class: sp800-53a parts: - id: pm-29_obj.a-1 name: assessment-objective props: - name: label value: PM-29a.[01] class: sp800-53a prose: a Senior Accountable Official for Risk Management is appointed; links: - href: '#pm-29_smt.a' rel: assessment-for - id: pm-29_obj.a-2 name: assessment-objective props: - name: label value: PM-29a.[02] class: sp800-53a prose: a Senior Accountable Official for Risk Management aligns information security and privacy management processes with strategic, operational, and budgetary planning processes; links: - href: '#pm-29_smt.a' rel: assessment-for links: - href: '#pm-29_smt.a' rel: assessment-for - id: pm-29_obj.b name: assessment-objective props: - name: label value: PM-29b. class: sp800-53a parts: - id: pm-29_obj.b-1 name: assessment-objective props: - name: label value: PM-29b.[01] class: sp800-53a prose: a Risk Executive (function) is established; links: - href: '#pm-29_smt.b' rel: assessment-for - id: pm-29_obj.b-2 name: assessment-objective props: - name: label value: PM-29b.[02] class: sp800-53a prose: a Risk Executive (function) views and analyzes risk from an organization-wide perspective; links: - href: '#pm-29_smt.b' rel: assessment-for - id: pm-29_obj.b-3 name: assessment-objective props: - name: label value: PM-29b.[03] class: sp800-53a prose: a Risk Executive (function) ensures that the management of risk is consistent across the organization. links: - href: '#pm-29_smt.b' rel: assessment-for links: - href: '#pm-29_smt.b' rel: assessment-for links: - href: '#pm-29_smt' rel: assessment-for - id: pm-29_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-29-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan privacy program plan risk management strategy supply chain risk management strategy documentation of appointment, roles, and responsibilities of a Senior Accountable Official for Risk Management documentation of actions taken by the Official documentation of the establishment, policies, and procedures of a Risk Executive (function) - id: pm-29_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-29-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Senior Accountable Official for Risk Management chief information officer senior agency information security officer senior agency official for privacy organizational personnel with information security and privacy program responsibilities - id: pm-30 class: SP800-53 title: Supply Chain Risk Management Strategy params: - id: pm-30_odp props: - name: alt-identifier value: pm-30_prm_1 - name: label value: PM-30_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency for reviewing and updating the supply chain risk management strategy is defined; props: - name: label value: PM-30 class: zero-padded - name: label value: PM-30 - name: label value: PM-30 class: sp800-53a - name: sort-id value: pm-30 - 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: '#4ff10ed3-d8fe-4246-99e3-443045e27482' rel: reference - href: '#21caa535-1154-4369-ba7b-32c309fee0f7' rel: reference - href: '#0f963c17-ab5a-432a-a867-91eac550309b' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#206a3284-6a7e-423c-8ea9-25b22542541d' rel: reference - href: '#031cc4b7-9adf-4835-98f1-f1ca493519cf' rel: reference - href: '#863caf2a-978a-4260-9e8d-4a8929bce40c' rel: reference - href: '#15a95e24-65b6-4686-bc18-90855a10457d' rel: reference - href: '#e8e84963-14fc-4c3a-be05-b412a5d37cd2' rel: reference - href: '#38ff38f0-1366-4f50-a4c9-26a39aacee16' rel: reference - href: '#cm-10' rel: related - href: '#pm-9' rel: related - href: '#sr-1' rel: related - href: '#sr-2' rel: related - href: '#sr-3' rel: related - href: '#sr-4' rel: related - href: '#sr-5' rel: related - href: '#sr-6' rel: related - href: '#sr-7' rel: related - href: '#sr-8' rel: related - href: '#sr-9' rel: related - href: '#sr-11' rel: related parts: - id: pm-30_smt name: statement parts: - id: pm-30_smt.a name: item props: - name: label value: a. prose: Develop an organization-wide strategy for managing supply chain risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services; - id: pm-30_smt.b name: item props: - name: label value: b. prose: Implement the supply chain risk management strategy consistently across the organization; and - id: pm-30_smt.c name: item props: - name: label value: c. prose: 'Review and update the supply chain risk management strategy on {{ insert: param, pm-30_odp }} or as required, to address organizational changes.' - id: pm-30_gdn name: guidance prose: An organization-wide supply chain risk management strategy includes an unambiguous expression of the supply chain risk appetite and tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the supply chain risk management strategy, and the associated roles and responsibilities. Supply chain risk management includes considerations of the security and privacy risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services. The supply chain risk management strategy can be incorporated into the organization’s overarching risk management strategy and can guide and inform supply chain policies and system-level supply chain risk management plans. In addition, the use of a risk executive function can facilitate a consistent, organization-wide application of the supply chain risk management strategy. The supply chain risk management strategy is implemented at the organization and mission/business levels, whereas the supply chain risk management plan (see [SR-2](#sr-2) ) is implemented at the system level. - id: pm-30_obj name: assessment-objective props: - name: label value: PM-30 class: sp800-53a parts: - id: pm-30_obj.a name: assessment-objective props: - name: label value: PM-30a. class: sp800-53a parts: - id: pm-30_obj.a-1 name: assessment-objective props: - name: label value: PM-30a.[01] class: sp800-53a prose: an organization-wide strategy for managing supply chain risks is developed; links: - href: '#pm-30_smt.a' rel: assessment-for - id: pm-30_obj.a-2 name: assessment-objective props: - name: label value: PM-30a.[02] class: sp800-53a prose: the supply chain risk management strategy addresses risks associated with the development of systems; links: - href: '#pm-30_smt.a' rel: assessment-for - id: pm-30_obj.a-3 name: assessment-objective props: - name: label value: PM-30a.[03] class: sp800-53a prose: the supply chain risk management strategy addresses risks associated with the development of system components; links: - href: '#pm-30_smt.a' rel: assessment-for - id: pm-30_obj.a-4 name: assessment-objective props: - name: label value: PM-30a.[04] class: sp800-53a prose: the supply chain risk management strategy addresses risks associated with the development of system services; links: - href: '#pm-30_smt.a' rel: assessment-for - id: pm-30_obj.a-5 name: assessment-objective props: - name: label value: PM-30a.[05] class: sp800-53a prose: the supply chain risk management strategy addresses risks associated with the acquisition of systems; links: - href: '#pm-30_smt.a' rel: assessment-for - id: pm-30_obj.a-6 name: assessment-objective props: - name: label value: PM-30a.[06] class: sp800-53a prose: the supply chain risk management strategy addresses risks associated with the acquisition of system components; links: - href: '#pm-30_smt.a' rel: assessment-for - id: pm-30_obj.a-7 name: assessment-objective props: - name: label value: PM-30a.[07] class: sp800-53a prose: the supply chain risk management strategy addresses risks associated with the acquisition of system services; links: - href: '#pm-30_smt.a' rel: assessment-for - id: pm-30_obj.a-8 name: assessment-objective props: - name: label value: PM-30a.[08] class: sp800-53a prose: the supply chain risk management strategy addresses risks associated with the maintenance of systems; links: - href: '#pm-30_smt.a' rel: assessment-for - id: pm-30_obj.a-9 name: assessment-objective props: - name: label value: PM-30a.[09] class: sp800-53a prose: the supply chain risk management strategy addresses risks associated with the maintenance of system components; links: - href: '#pm-30_smt.a' rel: assessment-for - id: pm-30_obj.a-10 name: assessment-objective props: - name: label value: PM-30a.[10] class: sp800-53a prose: the supply chain risk management strategy addresses risks associated with the maintenance of system services; links: - href: '#pm-30_smt.a' rel: assessment-for - id: pm-30_obj.a-11 name: assessment-objective props: - name: label value: PM-30a.[11] class: sp800-53a prose: the supply chain risk management strategy addresses risks associated with the disposal of systems; links: - href: '#pm-30_smt.a' rel: assessment-for - id: pm-30_obj.a-12 name: assessment-objective props: - name: label value: PM-30a.[12] class: sp800-53a prose: the supply chain risk management strategy addresses risks associated with the disposal of system components; links: - href: '#pm-30_smt.a' rel: assessment-for - id: pm-30_obj.a-13 name: assessment-objective props: - name: label value: PM-30a.[13] class: sp800-53a prose: the supply chain risk management strategy addresses risks associated with the disposal of system services; links: - href: '#pm-30_smt.a' rel: assessment-for links: - href: '#pm-30_smt.a' rel: assessment-for - id: pm-30_obj.b name: assessment-objective props: - name: label value: PM-30b. class: sp800-53a prose: the supply chain risk management strategy is implemented consistently across the organization; links: - href: '#pm-30_smt.b' rel: assessment-for - id: pm-30_obj.c name: assessment-objective props: - name: label value: PM-30c. class: sp800-53a prose: 'the supply chain risk management strategy is reviewed and updated {{ insert: param, pm-30_odp }} or as required to address organizational changes.' links: - href: '#pm-30_smt.c' rel: assessment-for links: - href: '#pm-30_smt' rel: assessment-for - id: pm-30_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-30-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management strategy organizational risk management strategy enterprise risk management documents other relevant documents or records - id: pm-30_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-30-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with supply chain risk management responsibilities organizational personnel with information security responsibilities organizational personnel with acquisition responsibilities organizational personnel with enterprise risk management responsibilities controls: - id: pm-30.1 class: SP800-53-enhancement title: Suppliers of Critical or Mission-essential Items props: - name: label value: PM-30(01) class: zero-padded - name: label value: PM-30(1) - name: label value: PM-30(01) class: sp800-53a - name: sort-id value: pm-30.01 - 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: '#pm-30' rel: required - href: '#ra-3' rel: related - href: '#sr-6' rel: related parts: - id: pm-30.1_smt name: statement prose: Identify, prioritize, and assess suppliers of critical or mission-essential technologies, products, and services. - id: pm-30.1_gdn name: guidance prose: The identification and prioritization of suppliers of critical or mission-essential technologies, products, and services is paramount to the mission/business success of organizations. The assessment of suppliers is conducted using supplier reviews (see [SR-6](#sr-6) ) and supply chain risk assessment processes (see [RA-3(1)](#ra-3.1) ). An analysis of supply chain risk can help an organization identify systems or components for which additional supply chain risk mitigations are required. - id: pm-30.1_obj name: assessment-objective props: - name: label value: PM-30(01) class: sp800-53a parts: - id: pm-30.1_obj-1 name: assessment-objective props: - name: label value: PM-30(01)[01] class: sp800-53a prose: suppliers of critical or mission-essential technologies, products, and services are identified; links: - href: '#pm-30.1_smt' rel: assessment-for - id: pm-30.1_obj-2 name: assessment-objective props: - name: label value: PM-30(01)[02] class: sp800-53a prose: suppliers of critical or mission-essential technologies, products, and services are prioritized; links: - href: '#pm-30.1_smt' rel: assessment-for - id: pm-30.1_obj-3 name: assessment-objective props: - name: label value: PM-30(01)[03] class: sp800-53a prose: suppliers of critical or mission-essential technologies, products, and services are assessed. links: - href: '#pm-30.1_smt' rel: assessment-for links: - href: '#pm-30.1_smt' rel: assessment-for - id: pm-30.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-30(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management strategy organization-wide risk management strategy enterprise risk management documents inventory records or suppliers assessment and prioritization documentation critical or mission-essential technologies, products, and service documents or records other relevant documents or records - id: pm-30.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-30(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with supply chain risk management responsibilities organizational personnel with information security responsibilities organizational personnel with acquisition responsibilities organizational personnel with enterprise risk management responsibilities - id: pm-30.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-30(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for identifying, prioritizing, and assessing critical or mission-essential technologies, products, and services organizational processes for maintaining an inventory of suppliers organizational process for associating suppliers with critical or mission-essential technologies, products, and services - id: pm-31 class: SP800-53 title: Continuous Monitoring Strategy params: - id: pm-31_prm_4 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pm-31_odp.04 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pm-31_odp.05 label: organization-defined personnel or roles - id: pm-31_prm_5 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pm-31_odp.06 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pm-31_odp.07 label: organization-defined frequency - id: pm-31_odp.01 props: - name: alt-identifier value: pm-31_prm_1 - name: label value: PM-31_ODP[01] class: sp800-53a label: metrics guidelines: - prose: the metrics for organization-wide continuous monitoring are defined; - id: pm-31_odp.02 props: - name: alt-identifier value: pm-31_prm_2 - name: alt-label value: frequencies class: sp800-53 - name: label value: PM-31_ODP[02] class: sp800-53a label: monitoring frequencies guidelines: - prose: the frequencies for monitoring are defined; - id: pm-31_odp.03 props: - name: alt-identifier value: pm-31_prm_3 - name: alt-label value: frequencies class: sp800-53 - name: label value: PM-31_ODP[03] class: sp800-53a label: assessment frequencies guidelines: - prose: the frequencies for assessing control effectiveness are defined; - id: pm-31_odp.04 props: - name: label value: PM-31_ODP[04] class: sp800-53a label: personnel or roles guidelines: - prose: the personnel or roles for reporting the security status of organizational systems to is/are defined; - id: pm-31_odp.05 props: - name: label value: PM-31_ODP[05] class: sp800-53a label: personnel or roles guidelines: - prose: the personnel or roles for reporting the privacy status of organizational systems to is/are defined; - id: pm-31_odp.06 props: - name: label value: PM-31_ODP[06] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to report the security status of organizational systems is defined; - id: pm-31_odp.07 props: - name: label value: PM-31_ODP[07] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to report the privacy status of organizational systems is defined; props: - name: label value: PM-31 class: zero-padded - name: label value: PM-31 - name: label value: PM-31 class: sp800-53a - name: sort-id value: pm-31 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#067223d8-1ec7-45c5-b21b-c848da6de8fb' rel: reference - href: '#62ea77ca-e450-4323-b210-e0d75390e785' rel: reference - href: '#ac-2' rel: related - href: '#ac-6' rel: related - href: '#ac-17' rel: related - href: '#at-4' rel: related - href: '#au-6' rel: related - href: '#au-13' rel: related - href: '#ca-2' rel: related - href: '#ca-5' rel: related - href: '#ca-6' rel: related - href: '#ca-7' rel: related - href: '#cm-3' rel: related - href: '#cm-4' rel: related - href: '#cm-6' rel: related - href: '#cm-11' rel: related - href: '#ia-5' rel: related - href: '#ir-5' rel: related - href: '#ma-2' rel: related - href: '#ma-3' rel: related - href: '#ma-4' rel: related - href: '#pe-3' rel: related - href: '#pe-6' rel: related - href: '#pe-14' rel: related - href: '#pe-16' rel: related - href: '#pe-20' rel: related - href: '#pl-2' rel: related - href: '#pm-4' rel: related - href: '#pm-6' rel: related - href: '#pm-9' rel: related - href: '#pm-10' rel: related - href: '#pm-12' rel: related - href: '#pm-14' rel: related - href: '#pm-23' rel: related - href: '#pm-28' rel: related - href: '#ps-7' rel: related - href: '#pt-7' rel: related - href: '#ra-3' rel: related - href: '#ra-5' rel: related - href: '#ra-7' rel: related - href: '#sa-9' rel: related - href: '#sa-11' rel: related - href: '#sc-5' rel: related - href: '#sc-7' rel: related - href: '#sc-18' rel: related - href: '#sc-38' rel: related - href: '#sc-43' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-12' rel: related - href: '#sr-2' rel: related - href: '#sr-4' rel: related parts: - id: pm-31_smt name: statement prose: 'Develop an organization-wide continuous monitoring strategy and implement continuous monitoring programs that include:' parts: - id: pm-31_smt.a name: item props: - name: label value: a. prose: 'Establishing the following organization-wide metrics to be monitored: {{ insert: param, pm-31_odp.01 }};' - id: pm-31_smt.b name: item props: - name: label value: b. prose: 'Establishing {{ insert: param, pm-31_odp.02 }} and {{ insert: param, pm-31_odp.03 }} for control effectiveness;' - id: pm-31_smt.c name: item props: - name: label value: c. prose: Ongoing monitoring of organizationally-defined metrics in accordance with the continuous monitoring strategy; - id: pm-31_smt.d name: item props: - name: label value: d. prose: Correlation and analysis of information generated by control assessments and monitoring; - id: pm-31_smt.e name: item props: - name: label value: e. prose: Response actions to address results of the analysis of control assessment and monitoring information; and - id: pm-31_smt.f name: item props: - name: label value: f. prose: 'Reporting the security and privacy status of organizational systems to {{ insert: param, pm-31_prm_4 }} {{ insert: param, pm-31_prm_5 }}.' - id: pm-31_gdn name: guidance prose: Continuous monitoring at the organization level facilitates ongoing awareness of the security and privacy posture across the organization 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 guide and inform risk response actions by organizations. 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-related information on a continuing basis through reports and dashboards gives organizational officials the capability to make effective, timely, and informed risk management decisions, including ongoing authorization decisions. To further facilitate security and privacy risk management, organizations consider aligning organization-defined monitoring metrics with organizational risk tolerance as defined in the risk management strategy. Monitoring requirements, including the need for monitoring, may be referenced in other controls and control enhancements such as, [AC-2g](#ac-2_smt.g), [AC-2(7)](#ac-2.7), [AC-2(12)(a)](#ac-2.12_smt.a), [AC-2(7)(b)](#ac-2.7_smt.b), [AC-2(7)(c)](#ac-2.7_smt.c), [AC-17(1)](#ac-17.1), [AT-4a](#at-4_smt.a), [AU-13](#au-13), [AU-13(1)](#au-13.1), [AU-13(2)](#au-13.2), [CA-7](#ca-7), [CM-3f](#cm-3_smt.f), [CM-6d](#cm-6_smt.d), [CM-11c](#cm-11_smt.c), [IR-5](#ir-5), [MA-2b](#ma-2_smt.b), [MA-3a](#ma-3_smt.a), [MA-4a](#ma-4_smt.a), [PE-3d](#pe-3_smt.d), [PE-6](#pe-6), [PE-14b](#pe-14_smt.b), [PE-16](#pe-16), [PE-20](#pe-20), [PM-6](#pm-6), [PM-23](#pm-23), [PS-7e](#ps-7_smt.e), [SA-9c](#sa-9_smt.c), [SC-5(3)(b)](#sc-5.3_smt.b), [SC-7a](#sc-7_smt.a), [SC-7(24)(b)](#sc-7.24_smt.b), [SC-18b](#sc-18_smt.b), [SC-43b](#sc-43_smt.b), [SI-4](#si-4). - id: pm-31_obj name: assessment-objective props: - name: label value: PM-31 class: sp800-53a prose: an organization-wide continuous monitoring strategy is developed; parts: - id: pm-31_obj.a name: assessment-objective props: - name: label value: PM-31a. class: sp800-53a prose: 'continuous monitoring programs are implemented that include establishing {{ insert: param, pm-31_odp.01 }} to be monitored;' links: - href: '#pm-31_smt.a' rel: assessment-for - id: pm-31_obj.b name: assessment-objective props: - name: label value: PM-31b. class: sp800-53a parts: - id: pm-31_obj.b-1 name: assessment-objective props: - name: label value: PM-31b.[01] class: sp800-53a prose: 'continuous monitoring programs are implemented that establish {{ insert: param, pm-31_odp.02 }} for monitoring;' links: - href: '#pm-31_smt.b' rel: assessment-for - id: pm-31_obj.b-2 name: assessment-objective props: - name: label value: PM-31b.[02] class: sp800-53a prose: 'continuous monitoring programs are implemented that establish {{ insert: param, pm-31_odp.03 }} for assessment of control effectiveness;' links: - href: '#pm-31_smt.b' rel: assessment-for links: - href: '#pm-31_smt.b' rel: assessment-for - id: pm-31_obj.c name: assessment-objective props: - name: label value: PM-31c. class: sp800-53a prose: 'continuous monitoring programs are implemented that include monitoring {{ insert: param, pm-31_odp.01 }} on an ongoing basis in accordance with the continuous monitoring strategy;' links: - href: '#pm-31_smt.c' rel: assessment-for - id: pm-31_obj.d name: assessment-objective props: - name: label value: PM-31d. class: sp800-53a parts: - id: pm-31_obj.d-1 name: assessment-objective props: - name: label value: PM-31d.[01] class: sp800-53a prose: continuous monitoring programs are implemented that include correlating information generated by control assessments and monitoring; links: - href: '#pm-31_smt.d' rel: assessment-for - id: pm-31_obj.d-2 name: assessment-objective props: - name: label value: PM-31d.[02] class: sp800-53a prose: continuous monitoring programs are implemented that include analyzing information generated by control assessments and monitoring; links: - href: '#pm-31_smt.d' rel: assessment-for links: - href: '#pm-31_smt.d' rel: assessment-for - id: pm-31_obj.e name: assessment-objective props: - name: label value: PM-31e. class: sp800-53a parts: - id: pm-31_obj.e-1 name: assessment-objective props: - name: label value: PM-31e.[01] class: sp800-53a prose: continuous monitoring programs are implemented that include response actions to address the analysis of control assessment information; links: - href: '#pm-31_smt.e' rel: assessment-for - id: pm-31_obj.e-2 name: assessment-objective props: - name: label value: PM-31e.[02] class: sp800-53a prose: continuous monitoring programs are implemented that include response actions to address the analysis of monitoring information; links: - href: '#pm-31_smt.e' rel: assessment-for links: - href: '#pm-31_smt.e' rel: assessment-for - id: pm-31_obj.f name: assessment-objective props: - name: label value: PM-31f. class: sp800-53a parts: - id: pm-31_obj.f-1 name: assessment-objective props: - name: label value: PM-31f.[01] class: sp800-53a prose: 'continuous monitoring programs are implemented that include reporting the security status of organizational systems to {{ insert: param, pm-31_odp.04 }} {{ insert: param, pm-31_odp.06 }};' links: - href: '#pm-31_smt.f' rel: assessment-for - id: pm-31_obj.f-2 name: assessment-objective props: - name: label value: PM-31f.[02] class: sp800-53a prose: 'continuous monitoring programs are implemented that include reporting the privacy status of organizational systems to {{ insert: param, pm-31_odp.05 }} {{ insert: param, pm-31_odp.07 }}.' links: - href: '#pm-31_smt.f' rel: assessment-for links: - href: '#pm-31_smt.f' rel: assessment-for links: - href: '#pm-31_smt' rel: assessment-for - id: pm-31_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-31-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan privacy program plan supply chain risk management plan continuous monitoring strategy risk management strategy information security continuous monitoring program documentation, reporting, metrics, and artifacts information security continuous monitoring program assessment documentation, reporting, metrics, and artifacts assessment and authorization policy procedures addressing the continuous monitoring of controls privacy program continuous monitoring documentation, reporting, metrics, and artifacts continuous monitoring program records, security, and privacy impact analyses status reports risk response documentation other relevant documents or records. - id: pm-31_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-31-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Senior Accountable Official for Risk Management chief information officer senior agency information security officer senior agency official for privacy organizational personnel with information security, privacy, and supply chain risk management program responsibilities - id: pm-31_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PM-31-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational procedures and mechanisms used for information security, privacy, and supply chain continuous monitoring - id: pm-32 class: SP800-53 title: Purposing params: - id: pm-32_odp props: - name: alt-identifier value: pm-32_prm_1 - name: alt-label value: systems or systems components class: sp800-53 - name: label value: PM-32_ODP class: sp800-53a label: systems or system components guidelines: - prose: the systems or system components supporting mission-essential services or functions are defined; props: - name: label value: PM-32 class: zero-padded - name: label value: PM-32 - name: label value: PM-32 class: sp800-53a - name: sort-id value: pm-32 - 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: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference - href: '#ca-7' rel: related - href: '#pl-2' rel: related - href: '#ra-3' rel: related - href: '#ra-9' rel: related parts: - id: pm-32_smt name: statement prose: 'Analyze {{ insert: param, pm-32_odp }} supporting mission essential services or functions to ensure that the information resources are being used consistent with their intended purpose.' - id: pm-32_gdn name: guidance prose: Systems are designed to support a specific mission or business function. However, over time, systems and system components may be used to support services and functions that are outside of the scope of the intended mission or business functions. This can result in exposing information resources to unintended environments and uses that can significantly increase threat exposure. In doing so, the systems are more vulnerable to compromise, which can ultimately impact the services and functions for which they were intended. This is especially impactful for mission-essential services and functions. By analyzing resource use, organizations can identify such potential exposures. - id: pm-32_obj name: assessment-objective props: - name: label value: PM-32 class: sp800-53a prose: '{{ insert: param, pm-32_odp }} supporting mission-essential services or functions are analyzed to ensure that the information resources are being used in a manner that is consistent with their intended purpose.' links: - href: '#pm-32_smt' rel: assessment-for - id: pm-32_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PM-32-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Information security program plan privacy program plan list of essential services and functions organizational analysis of information resources risk management strategy other relevant documents or records. - id: pm-32_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PM-32-Interview class: sp800-53a parts: - name: assessment-objects prose: Organizational personnel with information security, privacy, and supply chain risk management program 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 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 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 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: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 guidelines: - prose: the frequency at which to review and update position risk designations is defined; props: - name: label value: PS-02 class: zero-padded - name: label value: PS-2 - name: label value: PS-02 class: sp800-53a - name: sort-id value: ps-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#a5ef5e56-5c1a-4911-b419-37dddc1b3581' rel: reference - href: '#276bd50a-7e58-48e5-a405-8c8cb91d7a5f' rel: reference - href: '#ac-5' rel: related - href: '#at-3' rel: related - href: '#pe-2' rel: related - href: '#pe-3' rel: related - href: '#pl-2' rel: related - href: '#ps-3' rel: related - href: '#ps-6' rel: related - href: '#sa-5' rel: related - href: '#sa-21' rel: related - href: '#si-12' rel: related parts: - id: ps-2_smt name: statement parts: - id: ps-2_smt.a name: item props: - name: label value: a. prose: Assign a risk designation to all organizational positions; - id: ps-2_smt.b name: item props: - name: label value: b. prose: Establish screening criteria for individuals filling those positions; and - id: ps-2_smt.c name: item props: - 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: 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: 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: 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 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 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: '#pm-12' rel: related - href: '#ps-2' rel: related - href: '#ps-6' rel: related - href: '#ps-7' rel: related - href: '#sa-21' rel: related parts: - id: ps-3_smt name: statement parts: - id: ps-3_smt.a name: item props: - name: label value: a. prose: Screen individuals prior to authorizing access to the system; and - id: ps-3_smt.b name: item props: - 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: 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: label value: PS-03b. class: sp800-53a parts: - id: ps-3_obj.b-1 name: assessment-objective props: - name: label value: PS-03b.[01] class: sp800-53a prose: 'individuals are rescreened in accordance with {{ insert: param, ps-03_odp.01 }};' links: - href: '#ps-3_smt.b' rel: assessment-for - id: ps-3_obj.b-2 name: assessment-objective props: - name: label value: PS-03b.[02] class: sp800-53a prose: 'where rescreening is so indicated, individuals are rescreened {{ insert: param, ps-03_odp.02 }}.' links: - href: '#ps-3_smt.b' rel: assessment-for links: - href: '#ps-3_smt.b' rel: assessment-for links: - href: '#ps-3_smt' rel: assessment-for - id: ps-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-03-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personnel security policy procedures addressing personnel screening records of screened personnel system security plan other relevant documents or records - id: ps-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-03-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personnel security responsibilities organizational personnel with information security responsibilities - id: ps-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-03-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for personnel screening controls: - id: ps-3.1 class: SP800-53-enhancement title: Classified Information props: - name: label value: PS-03(01) class: zero-padded - name: label value: PS-3(1) - name: label value: PS-03(01) class: sp800-53a - name: sort-id value: ps-03.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ps-3' rel: required - href: '#ac-3' rel: related - href: '#ac-4' rel: related parts: - id: ps-3.1_smt name: statement prose: Verify that individuals accessing a system processing, storing, or transmitting classified information are cleared and indoctrinated to the highest classification level of the information to which they have access on the system. - id: ps-3.1_gdn name: guidance prose: Classified information is the most sensitive information that the Federal Government processes, stores, or transmits. It is imperative that individuals have the requisite security clearances and system access authorizations prior to gaining access to such information. Access authorizations are enforced by system access controls (see [AC-3](#ac-3) ) and flow controls (see [AC-4](#ac-4)). - id: ps-3.1_obj name: assessment-objective props: - name: label value: PS-03(01) class: sp800-53a parts: - id: ps-3.1_obj-1 name: assessment-objective props: - name: label value: PS-03(01)[01] class: sp800-53a prose: individuals accessing a system processing, storing, or transmitting classified information are cleared; links: - href: '#ps-3.1_smt' rel: assessment-for - id: ps-3.1_obj-2 name: assessment-objective props: - name: label value: PS-03(01)[02] class: sp800-53a prose: individuals accessing a system processing, storing, or transmitting classified information are indoctrinated to the highest classification level of the information to which they have access on the system. links: - href: '#ps-3.1_smt' rel: assessment-for links: - href: '#ps-3.1_smt' rel: assessment-for - id: ps-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-03(01)-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-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personnel security responsibilities organizational personnel with information security responsibilities - id: ps-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-03(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for clearing and indoctrinating personnel for access to classified information - id: ps-3.2 class: SP800-53-enhancement title: Formal Indoctrination props: - name: label value: PS-03(02) class: zero-padded - name: label value: PS-3(2) - name: label value: PS-03(02) class: sp800-53a - name: sort-id value: ps-03.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ps-3' rel: required - href: '#ac-3' rel: related - href: '#ac-4' rel: related parts: - id: ps-3.2_smt name: statement prose: Verify that individuals accessing a system processing, storing, or transmitting types of classified information that require formal indoctrination, are formally indoctrinated for all the relevant types of information to which they have access on the system. - id: ps-3.2_gdn name: guidance prose: Types of classified information that require formal indoctrination include Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartmented Information (SCI). - id: ps-3.2_obj name: assessment-objective props: - name: label value: PS-03(02) class: sp800-53a prose: individuals accessing a system processing, storing, or transmitting types of classified information that require formal indoctrination are formally indoctrinated for all of the relevant types of information to which they have access on the system. links: - href: '#ps-3.2_smt' rel: assessment-for - id: ps-3.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-03(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personnel security policy procedures addressing personnel screening indoctrination documents records of screened personnel system security plan other relevant documents or records - id: ps-3.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-03(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personnel security responsibilities organizational personnel with information security responsibilities - id: ps-3.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-03(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for formal indoctrination for all relevant types of information to which personnel have access - id: ps-3.3 class: SP800-53-enhancement title: Information Requiring Special Protective Measures params: - id: ps-03.03_odp props: - name: alt-identifier value: ps-3.3_prm_1 - name: label value: PS-03(03)_ODP class: sp800-53a label: additional personnel screening criteria guidelines: - prose: additional personnel screening criteria to be satisfied for individuals accessing a system processing, storing, or transmitting information requiring special protection are defined; props: - name: label value: PS-03(03) class: zero-padded - name: label value: PS-3(3) - name: label value: PS-03(03) class: sp800-53a - name: sort-id value: ps-03.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ps-3' rel: required parts: - id: ps-3.3_smt name: statement prose: 'Verify that individuals accessing a system processing, storing, or transmitting information requiring special protection:' parts: - id: ps-3.3_smt.a name: item props: - name: label value: (a) prose: Have valid access authorizations that are demonstrated by assigned official government duties; and - id: ps-3.3_smt.b name: item props: - name: label value: (b) prose: 'Satisfy {{ insert: param, ps-03.03_odp }}.' - id: ps-3.3_gdn name: guidance prose: Organizational information that requires special protection includes controlled unclassified information. Personnel security criteria include position sensitivity background screening requirements. - id: ps-3.3_obj name: assessment-objective props: - name: label value: PS-03(03) class: sp800-53a parts: - id: ps-3.3_obj.a name: assessment-objective props: - name: label value: PS-03(03)(a) class: sp800-53a prose: individuals accessing a system processing, storing, or transmitting information requiring special protection have valid access authorizations that are demonstrated by assigned official government duties; links: - href: '#ps-3.3_smt.a' rel: assessment-for - id: ps-3.3_obj.b name: assessment-objective props: - name: label value: PS-03(03)(b) class: sp800-53a prose: 'individuals accessing a system processing, storing, or transmitting information requiring special protection satisfy {{ insert: param, ps-03.03_odp }}.' links: - href: '#ps-3.3_smt.b' rel: assessment-for links: - href: '#ps-3.3_smt' rel: assessment-for - id: ps-3.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-03(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personnel security policy access control policy, procedures addressing personnel screening records of screened personnel screening criteria records of access authorizations system security plan other relevant documents or records - id: ps-3.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-03(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personnel security responsibilities organizational personnel with information security responsibilities - id: ps-3.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-03(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for ensuring valid access authorizations for information requiring special protection organizational process for additional personnel screening for information requiring special protection - id: ps-3.4 class: SP800-53-enhancement title: Citizenship Requirements params: - id: ps-03.04_odp.01 props: - name: alt-identifier value: ps-3.4_prm_1 - name: label value: PS-03(04)_ODP[01] class: sp800-53a label: information types guidelines: - prose: 'information types that are processed, stored, or transmitted by a system that require individuals accessing the system to meet {{ insert: param, ps-03.04_odp.02 }} are defined;' - id: ps-03.04_odp.02 props: - name: alt-identifier value: ps-3.4_prm_2 - name: label value: PS-03(04)_ODP[02] class: sp800-53a label: citizenship requirements guidelines: - prose: citizenship requirements to be met by individuals to access a system processing, storing, or transmitting information are defined; props: - name: label value: PS-03(04) class: zero-padded - name: label value: PS-3(4) - name: label value: PS-03(04) class: sp800-53a - name: sort-id value: ps-03.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ps-3' rel: required parts: - id: ps-3.4_smt name: statement prose: 'Verify that individuals accessing a system processing, storing, or transmitting {{ insert: param, ps-03.04_odp.01 }} meet {{ insert: param, ps-03.04_odp.02 }}.' - id: ps-3.4_gdn name: guidance prose: None. - id: ps-3.4_obj name: assessment-objective props: - name: label value: PS-03(04) class: sp800-53a prose: 'individuals accessing a system processing, storing, or transmitting {{ insert: param, ps-03.04_odp.01 }} meet {{ insert: param, ps-03.04_odp.02 }}.' links: - href: '#ps-3.4_smt' rel: assessment-for - id: ps-3.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-03(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personnel security policy access control policy, procedures addressing personnel screening records of screened personnel screening criteria records of access authorizations system security plan other relevant documents or records - id: ps-3.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-03(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personnel security responsibilities organizational personnel with information security responsibilities - id: ps-3.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-03(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for ensuring valid access authorizations for information requiring citizenship organizational process for additional personnel screening for information requiring citizenship - 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 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: '#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: label value: a. prose: 'Disable system access within {{ insert: param, ps-04_odp.01 }};' - id: ps-4_smt.b name: item props: - 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: 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: label value: d. prose: Retrieve all security-related organizational system-related property; and - id: ps-4_smt.e name: item props: - 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: 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: 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: 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: 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: label value: PS-04e. class: sp800-53a prose: upon termination of individual employment, access to organizational information and systems formerly controlled by the terminated individual are retained. links: - href: '#ps-4_smt.e' rel: assessment-for links: - href: '#ps-4_smt' rel: assessment-for - id: ps-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-04-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personnel security policy procedures addressing personnel termination records of personnel termination actions list of system accounts records of terminated or revoked authenticators/credentials records of exit interviews system security plan other relevant documents or records - id: ps-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-04-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personnel security responsibilities organizational personnel with account management responsibilities system/network administrators organizational personnel with information security responsibilities - id: ps-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-04-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for personnel termination mechanisms supporting and/or implementing personnel termination notifications mechanisms for disabling system access/revoking authenticators controls: - id: ps-4.1 class: SP800-53-enhancement title: Post-employment Requirements props: - name: label value: PS-04(01) class: zero-padded - name: label value: PS-4(1) - name: label value: PS-04(01) class: sp800-53a - name: sort-id value: ps-04.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ps-4' rel: required parts: - id: ps-4.1_smt name: statement parts: - id: ps-4.1_smt.a name: item props: - name: label value: (a) prose: Notify terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and - id: ps-4.1_smt.b name: item props: - name: label value: (b) prose: Require terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination process. - id: ps-4.1_gdn name: guidance prose: Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals. - id: ps-4.1_obj name: assessment-objective props: - name: label value: PS-04(01) class: sp800-53a parts: - id: ps-4.1_obj.a name: assessment-objective props: - name: label value: PS-04(01)(a) class: sp800-53a prose: terminated individuals are notified of applicable, legally binding post-employment requirements for the protection of organizational information; links: - href: '#ps-4.1_smt.a' rel: assessment-for - id: ps-4.1_obj.b name: assessment-objective props: - name: label value: PS-04(01)(b) class: sp800-53a prose: terminated individuals are required to sign an acknowledgement of post-employment requirements as part of the organizational termination process. links: - href: '#ps-4.1_smt.b' rel: assessment-for links: - href: '#ps-4.1_smt' rel: assessment-for - id: ps-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personnel security policy procedures addressing personnel termination signed post-employment acknowledgement forms list of applicable, legally binding post-employment requirements system security plan other relevant documents or records - id: ps-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personnel security responsibilities organizational personnel with information security responsibilities - id: ps-4.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-04(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for post-employment requirements - id: ps-4.2 class: SP800-53-enhancement title: Automated Actions params: - id: ps-04.02_odp.01 props: - name: alt-identifier value: ps-4.2_prm_1 - name: label value: PS-04(02)_ODP[01] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms to notify personnel or roles of individual termination actions and/or to disable access to system resources are defined; - id: ps-04.02_odp.02 props: - name: alt-identifier value: ps-4.2_prm_2 - name: label value: PS-04(02)_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - 'notify {{ insert: param, ps-04.02_odp.03 }} of individual termination actions' - disable access to system resources - id: ps-04.02_odp.03 props: - name: alt-identifier value: ps-4.2_prm_3 - name: label value: PS-04(02)_ODP[03] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be notified upon termination of an individual is/are defined (if selected); props: - name: label value: PS-04(02) class: zero-padded - name: label value: PS-4(2) - name: label value: PS-04(02) class: sp800-53a - name: sort-id value: ps-04.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ps-4' rel: required parts: - id: ps-4.2_smt name: statement prose: 'Use {{ insert: param, ps-04.02_odp.01 }} to {{ insert: param, ps-04.02_odp.02 }}.' - id: ps-4.2_gdn name: guidance prose: In organizations with many employees, not all personnel who need to know about termination actions receive the appropriate notifications, or if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to organizational personnel or roles when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including via telephone, electronic mail, text message, or websites. Automated mechanisms can also be employed to quickly and thoroughly disable access to system resources after an employee is terminated. - id: ps-4.2_obj name: assessment-objective props: - name: label value: PS-04(02) class: sp800-53a prose: '{{ insert: param, ps-04.02_odp.01 }} are used to {{ insert: param, ps-04.02_odp.02 }}.' links: - href: '#ps-4.2_smt' rel: assessment-for - id: ps-4.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-04(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personnel security policy procedures addressing personnel termination system design documentation system configuration settings and associated documentation records of personnel termination actions automated notifications of employee terminations system security plan other relevant documents or records - id: ps-4.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-04(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personnel security responsibilities organizational personnel with information security responsibilities - id: ps-4.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-04(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for personnel termination automated mechanisms supporting and/or implementing personnel termination notifications - id: ps-5 class: SP800-53 title: Personnel Transfer params: - id: ps-05_odp.01 props: - name: alt-identifier value: ps-5_prm_1 - name: label value: PS-05_ODP[01] class: sp800-53a label: transfer or reassignment actions guidelines: - prose: transfer or reassignment actions to be initiated following transfer or reassignment are defined; - id: ps-05_odp.02 props: - name: alt-identifier value: ps-5_prm_2 - name: label value: PS-05_ODP[02] class: sp800-53a label: time period following the formal transfer action 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 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: '#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: 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: 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: 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: 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: 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: 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: 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: 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 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 guidelines: - prose: the frequency at which to re-sign access agreements to maintain access to organizational information is defined; props: - name: label value: PS-06 class: zero-padded - name: label value: PS-6 - name: label value: PS-06 class: sp800-53a - name: sort-id value: ps-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ac-17' rel: related - href: '#pe-2' rel: related - href: '#pl-4' rel: related - href: '#ps-2' rel: related - href: '#ps-3' rel: related - href: '#ps-6' rel: related - href: '#ps-7' rel: related - href: '#ps-8' rel: related - href: '#sa-21' rel: related - href: '#si-12' rel: related parts: - id: ps-6_smt name: statement parts: - id: ps-6_smt.a name: item props: - name: label value: a. prose: Develop and document access agreements for organizational systems; - id: ps-6_smt.b name: item props: - 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: 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: 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: 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: 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: 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 controls: - id: ps-6.1 class: SP800-53-enhancement title: Information Requiring Special Protection props: - name: label value: PS-06(01) class: zero-padded - name: label value: PS-6(1) - name: label value: PS-06(01) class: sp800-53a - name: sort-id value: ps-06.01 - name: status value: withdrawn links: - href: '#ps-3' rel: incorporated-into - id: ps-6.2 class: SP800-53-enhancement title: Classified Information Requiring Special Protection props: - name: label value: PS-06(02) class: zero-padded - name: label value: PS-6(2) - name: label value: PS-06(02) class: sp800-53a - name: sort-id value: ps-06.02 - 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: '#ps-6' rel: required parts: - id: ps-6.2_smt name: statement prose: 'Verify that access to classified information requiring special protection is granted only to individuals who:' parts: - id: ps-6.2_smt.a name: item props: - name: label value: (a) prose: Have a valid access authorization that is demonstrated by assigned official government duties; - id: ps-6.2_smt.b name: item props: - name: label value: (b) prose: Satisfy associated personnel security criteria; and - id: ps-6.2_smt.c name: item props: - name: label value: (c) prose: Have read, understood, and signed a nondisclosure agreement. - id: ps-6.2_gdn name: guidance prose: Classified information that requires special protection includes collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. - id: ps-6.2_obj name: assessment-objective props: - name: label value: PS-06(02) class: sp800-53a parts: - id: ps-6.2_obj.a name: assessment-objective props: - name: label value: PS-06(02)(a) class: sp800-53a prose: access to classified information requiring special protection is granted only to individuals who have a valid access authorization that is demonstrated by assigned official government duties; links: - href: '#ps-6.2_smt.a' rel: assessment-for - id: ps-6.2_obj.b name: assessment-objective props: - name: label value: PS-06(02)(b) class: sp800-53a prose: access to classified information requiring special protection is granted only to individuals who satisfy associated personnel security criteria; links: - href: '#ps-6.2_smt.b' rel: assessment-for - id: ps-6.2_obj.c name: assessment-objective props: - name: label value: PS-06(02)(c) class: sp800-53a prose: access to classified information requiring special protection is granted only to individuals who have read, understood, and signed a non-disclosure agreement. links: - href: '#ps-6.2_smt.c' rel: assessment-for links: - href: '#ps-6.2_smt' rel: assessment-for - id: ps-6.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-06(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personnel security policy procedures addressing access agreements for organizational information and systems access agreements access authorizations personnel security criteria signed non-disclosure agreements system security plan other relevant documents or records - id: ps-6.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-06(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personnel security responsibilities organizational personnel who have signed non-disclosure agreements organizational personnel with information security responsibilities - id: ps-6.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-06(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for access to classified information requiring special protection - id: ps-6.3 class: SP800-53-enhancement title: Post-employment Requirements props: - name: label value: PS-06(03) class: zero-padded - name: label value: PS-6(3) - name: label value: PS-06(03) class: sp800-53a - name: sort-id value: ps-06.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ps-6' rel: required - href: '#ps-4' rel: related parts: - id: ps-6.3_smt name: statement parts: - id: ps-6.3_smt.a name: item props: - name: label value: (a) prose: Notify individuals of applicable, legally binding post-employment requirements for protection of organizational information; and - id: ps-6.3_smt.b name: item props: - name: label value: (b) prose: Require individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered information. - id: ps-6.3_gdn name: guidance prose: Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals. - id: ps-6.3_obj name: assessment-objective props: - name: label value: PS-06(03) class: sp800-53a parts: - id: ps-6.3_obj.a name: assessment-objective props: - name: label value: PS-06(03)(a) class: sp800-53a prose: individuals are notified of applicable, legally binding post-employment requirements for the protection of organizational information; links: - href: '#ps-6.3_smt.a' rel: assessment-for - id: ps-6.3_obj.b name: assessment-objective props: - name: label value: PS-06(03)(b) class: sp800-53a prose: individuals are required to sign an acknowledgement of applicable, legally binding post-employment requirements as part of being granted initial access to covered information. links: - href: '#ps-6.3_smt.b' rel: assessment-for links: - href: '#ps-6.3_smt' rel: assessment-for - id: ps-6.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PS-06(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personnel security policy procedures addressing access agreements for organizational information and systems signed post-employment acknowledgement forms access agreements list of applicable, legally binding post-employment requirements system security plan other relevant documents or records - id: ps-6.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PS-06(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personnel security responsibilities organizational personnel who have signed access agreements that include post-employment requirements organizational personnel with information security responsibilities - id: ps-6.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PS-06(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for post-employment requirements mechanisms supporting notifications and individual acknowledgements of post-employment requirements - 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 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 guidelines: - prose: time period within which third-party providers are required to notify organization-defined personnel or roles of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges or who have system privileges is defined; props: - name: label value: PS-07 class: zero-padded - name: label value: PS-7 - name: label value: PS-07 class: sp800-53a - name: sort-id value: ps-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#77faf0bc-c394-44ad-9154-bbac3b79c8ad' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#ma-5' rel: related - href: '#pe-3' rel: related - href: '#ps-2' rel: related - href: '#ps-3' rel: related - href: '#ps-4' rel: related - href: '#ps-5' rel: related - href: '#ps-6' rel: related - href: '#sa-5' rel: related - href: '#sa-9' rel: related - href: '#sa-21' rel: related parts: - id: ps-7_smt name: statement parts: - id: ps-7_smt.a name: item props: - name: 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: 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: label value: c. prose: Document personnel security requirements; - id: ps-7_smt.d name: item props: - 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: 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: 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: 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: 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: 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: 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 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: '#pm-12' rel: related - href: '#ps-6' rel: related - href: '#pt-1' rel: related parts: - id: ps-8_smt name: statement parts: - id: ps-8_smt.a name: item props: - 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: 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: 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: 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 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: 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: pt class: family title: Personally Identifiable Information Processing and Transparency controls: - id: pt-1 class: SP800-53 title: Policy and Procedures params: - id: pt-1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pt-01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: pt-01_odp.02 label: organization-defined personnel or roles - id: pt-01_odp.01 props: - name: label value: PT-01_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the personally identifiable information processing and transparency policy is to be disseminated is/are defined; - id: pt-01_odp.02 props: - name: label value: PT-01_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the personally identifiable information processing and transparency procedures are to be disseminated is/are defined; - id: pt-01_odp.03 props: - name: alt-identifier value: pt-1_prm_2 - name: label value: PT-01_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - organization-level - mission/business process-level - system-level - id: pt-01_odp.04 props: - name: alt-identifier value: pt-1_prm_3 - name: label value: PT-01_ODP[04] class: sp800-53a label: official guidelines: - prose: an official to manage the personally identifiable information processing and transparency policy and procedures is defined; - id: pt-01_odp.05 props: - name: alt-identifier value: pt-1_prm_4 - name: label value: PT-01_ODP[05] class: sp800-53a label: frequency guidelines: - prose: the frequency at which the current personally identifiable information processing and transparency policy is reviewed and updated is defined; - id: pt-01_odp.06 props: - name: alt-identifier value: pt-1_prm_5 - name: label value: PT-01_ODP[06] class: sp800-53a label: events guidelines: - prose: events that would require the current personally identifiable information processing and transparency policy to be reviewed and updated are defined; - id: pt-01_odp.07 props: - name: alt-identifier value: pt-1_prm_6 - name: label value: PT-01_ODP[07] class: sp800-53a label: frequency guidelines: - prose: the frequency at which the current personally identifiable information processing and transparency procedures are reviewed and updated is defined; - id: pt-01_odp.08 props: - name: alt-identifier value: pt-1_prm_7 - name: label value: PT-01_ODP[08] class: sp800-53a label: events guidelines: - prose: events that would require the personally identifiable information processing and transparency procedures to be reviewed and updated are defined; props: - name: label value: PT-01 class: zero-padded - name: label value: PT-1 - name: label value: PT-01 class: sp800-53a - name: sort-id value: pt-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 parts: - id: pt-1_smt name: statement parts: - id: pt-1_smt.a name: item props: - name: label value: a. prose: 'Develop, document, and disseminate to {{ insert: param, pt-1_prm_1 }}:' parts: - id: pt-1_smt.a.1 name: item props: - name: label value: "1." prose: '{{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy that:' parts: - id: pt-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: pt-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: pt-1_smt.a.2 name: item props: - name: label value: "2." prose: Procedures to facilitate the implementation of the personally identifiable information processing and transparency policy and the associated personally identifiable information processing and transparency controls; - id: pt-1_smt.b name: item props: - name: label value: b. prose: 'Designate an {{ insert: param, pt-01_odp.04 }} to manage the development, documentation, and dissemination of the personally identifiable information processing and transparency policy and procedures; and' - id: pt-1_smt.c name: item props: - name: label value: c. prose: 'Review and update the current personally identifiable information processing and transparency:' parts: - id: pt-1_smt.c.1 name: item props: - name: label value: "1." prose: 'Policy {{ insert: param, pt-01_odp.05 }} and following {{ insert: param, pt-01_odp.06 }} ; and' - id: pt-1_smt.c.2 name: item props: - name: label value: "2." prose: 'Procedures {{ insert: param, pt-01_odp.07 }} and following {{ insert: param, pt-01_odp.08 }}.' - id: pt-1_gdn name: guidance prose: Personally identifiable information processing and transparency policy and procedures address the controls in the PT 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 personally identifiable information processing and transparency 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 personally identifiable information processing and transparency policy and procedures include assessment or audit findings, 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: pt-1_obj name: assessment-objective props: - name: label value: PT-01 class: sp800-53a parts: - id: pt-1_obj.a name: assessment-objective props: - name: label value: PT-01a. class: sp800-53a parts: - id: pt-1_obj.a-1 name: assessment-objective props: - name: label value: PT-01a.[01] class: sp800-53a prose: a personally identifiable information processing and transparency policy is developed and documented; links: - href: '#pt-1_smt.a' rel: assessment-for - id: pt-1_obj.a-2 name: assessment-objective props: - name: label value: PT-01a.[02] class: sp800-53a prose: 'the personally identifiable information processing and transparency policy is disseminated to {{ insert: param, pt-01_odp.01 }};' links: - href: '#pt-1_smt.a' rel: assessment-for - id: pt-1_obj.a-3 name: assessment-objective props: - name: label value: PT-01a.[03] class: sp800-53a prose: personally identifiable information processing and transparency procedures to facilitate the implementation of the personally identifiable information processing and transparency policy and associated personally identifiable information processing and transparency controls are developed and documented; links: - href: '#pt-1_smt.a' rel: assessment-for - id: pt-1_obj.a-4 name: assessment-objective props: - name: label value: PT-01a.[04] class: sp800-53a prose: 'the personally identifiable information processing and transparency procedures are disseminated to {{ insert: param, pt-01_odp.02 }};' links: - href: '#pt-1_smt.a' rel: assessment-for - id: pt-1_obj.a.1 name: assessment-objective props: - name: label value: PT-01a.01 class: sp800-53a parts: - id: pt-1_obj.a.1.a name: assessment-objective props: - name: label value: PT-01a.01(a) class: sp800-53a parts: - id: pt-1_obj.a.1.a-1 name: assessment-objective props: - name: label value: PT-01a.01(a)[01] class: sp800-53a prose: 'the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses purpose;' links: - href: '#pt-1_smt.a.1.a' rel: assessment-for - id: pt-1_obj.a.1.a-2 name: assessment-objective props: - name: label value: PT-01a.01(a)[02] class: sp800-53a prose: 'the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses scope;' links: - href: '#pt-1_smt.a.1.a' rel: assessment-for - id: pt-1_obj.a.1.a-3 name: assessment-objective props: - name: label value: PT-01a.01(a)[03] class: sp800-53a prose: 'the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses roles;' links: - href: '#pt-1_smt.a.1.a' rel: assessment-for - id: pt-1_obj.a.1.a-4 name: assessment-objective props: - name: label value: PT-01a.01(a)[04] class: sp800-53a prose: 'the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses responsibilities;' links: - href: '#pt-1_smt.a.1.a' rel: assessment-for - id: pt-1_obj.a.1.a-5 name: assessment-objective props: - name: label value: PT-01a.01(a)[05] class: sp800-53a prose: 'the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses management commitment;' links: - href: '#pt-1_smt.a.1.a' rel: assessment-for - id: pt-1_obj.a.1.a-6 name: assessment-objective props: - name: label value: PT-01a.01(a)[06] class: sp800-53a prose: 'the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses coordination among organizational entities;' links: - href: '#pt-1_smt.a.1.a' rel: assessment-for - id: pt-1_obj.a.1.a-7 name: assessment-objective props: - name: label value: PT-01a.01(a)[07] class: sp800-53a prose: 'the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses compliance;' links: - href: '#pt-1_smt.a.1.a' rel: assessment-for links: - href: '#pt-1_smt.a.1.a' rel: assessment-for - id: pt-1_obj.a.1.b name: assessment-objective props: - name: label value: PT-01a.01(b) class: sp800-53a prose: 'the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;' links: - href: '#pt-1_smt.a.1.b' rel: assessment-for links: - href: '#pt-1_smt.a.1' rel: assessment-for links: - href: '#pt-1_smt.a' rel: assessment-for - id: pt-1_obj.b name: assessment-objective props: - name: label value: PT-01b. class: sp800-53a prose: 'the {{ insert: param, pt-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the personally identifiable information processing and transparency policy and procedures;' links: - href: '#pt-1_smt.b' rel: assessment-for - id: pt-1_obj.c name: assessment-objective props: - name: label value: PT-01c. class: sp800-53a parts: - id: pt-1_obj.c.1 name: assessment-objective props: - name: label value: PT-01c.01 class: sp800-53a parts: - id: pt-1_obj.c.1-1 name: assessment-objective props: - name: label value: PT-01c.01[01] class: sp800-53a prose: 'the current personally identifiable information processing and transparency policy is reviewed and updated {{ insert: param, pt-01_odp.05 }};' links: - href: '#pt-1_smt.c.1' rel: assessment-for - id: pt-1_obj.c.1-2 name: assessment-objective props: - name: label value: PT-01c.01[02] class: sp800-53a prose: 'the current personally identifiable information processing and transparency policy is reviewed and updated following {{ insert: param, pt-01_odp.06 }};' links: - href: '#pt-1_smt.c.1' rel: assessment-for links: - href: '#pt-1_smt.c.1' rel: assessment-for - id: pt-1_obj.c.2 name: assessment-objective props: - name: label value: PT-01c.02 class: sp800-53a parts: - id: pt-1_obj.c.2-1 name: assessment-objective props: - name: label value: PT-01c.02[01] class: sp800-53a prose: 'the current personally identifiable information processing and transparency procedures are reviewed and updated {{ insert: param, pt-01_odp.07 }};' links: - href: '#pt-1_smt.c.2' rel: assessment-for - id: pt-1_obj.c.2-2 name: assessment-objective props: - name: label value: PT-01c.02[02] class: sp800-53a prose: 'the current personally identifiable information processing and transparency procedures are reviewed and updated following {{ insert: param, pt-01_odp.08 }}.' links: - href: '#pt-1_smt.c.2' rel: assessment-for links: - href: '#pt-1_smt.c.2' rel: assessment-for links: - href: '#pt-1_smt.c' rel: assessment-for links: - href: '#pt-1_smt' rel: assessment-for - id: pt-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-01-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures privacy plan privacy program plan other relevant documents or records - id: pt-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-01-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with information security and privacy responsibilities - id: pt-2 class: SP800-53 title: Authority to Process Personally Identifiable Information params: - id: pt-02_odp.01 props: - name: alt-identifier value: pt-2_prm_1 - name: label value: PT-02_ODP[01] class: sp800-53a label: authority guidelines: - prose: the authority to permit the processing (defined in PT-02_ODP[02]) of personally identifiable information is defined; - id: pt-02_odp.02 props: - name: alt-identifier value: pt-2_prm_2 - name: label value: PT-02_ODP[02] class: sp800-53a label: processing guidelines: - prose: the type of processing of personally identifiable information is defined; - id: pt-02_odp.03 props: - name: alt-identifier value: pt-2_prm_3 - name: label value: PT-02_ODP[03] class: sp800-53a label: processing guidelines: - prose: the type of processing of personally identifiable information to be restricted is defined; props: - name: label value: PT-02 class: zero-padded - name: label value: PT-2 - name: label value: PT-02 class: sp800-53a - name: sort-id value: pt-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: '#18e71fec-c6fd-475a-925a-5d8495cf8455' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#a2590922-82f3-4277-83c0-ca5bee06dba4' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#cm-13' rel: related - href: '#ir-9' rel: related - href: '#pm-9' rel: related - href: '#pm-24' rel: related - href: '#pt-1' rel: related - href: '#pt-3' rel: related - href: '#pt-5' rel: related - href: '#pt-6' rel: related - href: '#ra-3' rel: related - href: '#ra-8' rel: related - href: '#si-12' rel: related - href: '#si-18' rel: related parts: - id: pt-2_smt name: statement parts: - id: pt-2_smt.a name: item props: - name: label value: a. prose: 'Determine and document the {{ insert: param, pt-02_odp.01 }} that permits the {{ insert: param, pt-02_odp.02 }} of personally identifiable information; and' - id: pt-2_smt.b name: item props: - name: label value: b. prose: 'Restrict the {{ insert: param, pt-02_odp.03 }} of personally identifiable information to only that which is authorized.' - id: pt-2_gdn name: guidance prose: |- The processing of personally identifiable information is an operation or set of operations that the information system or organization performs with respect to personally identifiable information across the information life cycle. Processing includes but is not limited to creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal. Processing operations also include logging, generation, and transformation, as well as analysis techniques, such as data mining. Organizations may be subject to laws, executive orders, directives, regulations, or policies that establish the organization’s authority and thereby limit certain types of processing of personally identifiable information or establish other requirements related to the processing. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such authority, particularly if the organization is subject to multiple jurisdictions or sources of authority. For organizations whose processing is not determined according to legal authorities, the organization’s policies and determinations govern how they process personally identifiable information. While processing of personally identifiable information may be legally permissible, privacy risks may still arise. Privacy risk assessments can identify the privacy risks associated with the authorized processing of personally identifiable information and support solutions to manage such risks. Organizations consider applicable requirements and organizational policies to determine how to document this authority. For federal agencies, the authority to process personally identifiable information is documented in privacy policies and notices, system of records notices, privacy impact assessments, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statements, computer matching agreements and notices, contracts, information sharing agreements, memoranda of understanding, and other documentation. Organizations take steps to ensure that personally identifiable information is only processed for authorized purposes, including training organizational personnel on the authorized processing of personally identifiable information and monitoring and auditing organizational use of personally identifiable information. - id: pt-2_obj name: assessment-objective props: - name: label value: PT-02 class: sp800-53a parts: - id: pt-2_obj.a name: assessment-objective props: - name: label value: PT-02a. class: sp800-53a prose: 'the {{ insert: param, pt-02_odp.01 }} that permits the {{ insert: param, pt-02_odp.02 }} of personally identifiable information is determined and documented;' links: - href: '#pt-2_smt.a' rel: assessment-for - id: pt-2_obj.b name: assessment-objective props: - name: label value: PT-02b. class: sp800-53a prose: 'the {{ insert: param, pt-02_odp.03 }} of personally identifiable information is restricted to only that which is authorized.' links: - href: '#pt-2_smt.b' rel: assessment-for links: - href: '#pt-2_smt' rel: assessment-for - id: pt-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-02-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures privacy plan other relevant documents or records - id: pt-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-02-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with information security and privacy responsibilities - id: pt-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-02-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for authorizing the processing of personally identifiable information mechanisms supporting and/or implementing the restriction of personally identifiable information processing controls: - id: pt-2.1 class: SP800-53-enhancement title: Data Tagging params: - id: pt-02.01_odp.01 props: - name: alt-identifier value: pt-2.1_prm_1 - name: label value: PT-02(01)_ODP[01] class: sp800-53a label: authorized processing guidelines: - prose: the authorized processing of personally identifiable information is defined; - id: pt-02.01_odp.02 props: - name: alt-identifier value: pt-2.1_prm_2 - name: label value: PT-02(01)_ODP[02] class: sp800-53a label: elements of personally identifiable information guidelines: - prose: elements of personally identifiable information to be tagged are defined; props: - name: label value: PT-02(01) class: zero-padded - name: label value: PT-2(1) - name: label value: PT-02(01) class: sp800-53a - name: sort-id value: pt-02.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#pt-2' rel: required - href: '#ac-16' rel: related - href: '#ca-6' rel: related - href: '#cm-12' rel: related - href: '#pm-5' rel: related - href: '#pm-22' rel: related - href: '#pt-4' rel: related - href: '#sc-16' rel: related - href: '#sc-43' rel: related - href: '#si-10' rel: related - href: '#si-15' rel: related - href: '#si-19' rel: related parts: - id: pt-2.1_smt name: statement prose: 'Attach data tags containing {{ insert: param, pt-02.01_odp.01 }} to {{ insert: param, pt-02.01_odp.02 }}.' - id: pt-2.1_gdn name: guidance prose: Data tags support the tracking and enforcement of authorized processing by conveying the types of processing that are authorized along with the relevant elements of personally identifiable information throughout the system. Data tags may also support the use of automated tools. - id: pt-2.1_obj name: assessment-objective props: - name: label value: PT-02(01) class: sp800-53a prose: 'data tags containing {{ insert: param, pt-02.01_odp.01 }} are attached to {{ insert: param, pt-02.01_odp.02 }}.' links: - href: '#pt-2.1_smt' rel: assessment-for - id: pt-2.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-02(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures including procedures addressing data tagging data tag definitions documented requirements for use and monitoring of data tagging data extracts with corresponding data tags privacy plan other relevant documents or records - id: pt-2.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-02(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with information security and privacy responsibilities - id: pt-2.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-02(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for authorizing the processing of personally identifiable information organizational processes for data tagging mechanisms for applying and monitoring data tagging mechanisms supporting and/or implementing the restriction of personally identifiable information processing - id: pt-2.2 class: SP800-53-enhancement title: Automation params: - id: pt-02.02_odp props: - name: alt-identifier value: pt-2.2_prm_1 - name: label value: PT-02(02)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to manage enforcement of the authorized processing of personally identifiable information are defined; props: - name: label value: PT-02(02) class: zero-padded - name: label value: PT-2(2) - name: label value: PT-02(02) class: sp800-53a - name: sort-id value: pt-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: '#pt-2' rel: required - href: '#ca-6' rel: related - href: '#cm-12' rel: related - href: '#pm-5' rel: related - href: '#pm-22' rel: related - href: '#pt-4' rel: related - href: '#sc-16' rel: related - href: '#sc-43' rel: related - href: '#si-10' rel: related - href: '#si-15' rel: related - href: '#si-19' rel: related parts: - id: pt-2.2_smt name: statement prose: 'Manage enforcement of the authorized processing of personally identifiable information using {{ insert: param, pt-02.02_odp }}.' - id: pt-2.2_gdn name: guidance prose: Automated mechanisms augment verification that only authorized processing is occurring. - id: pt-2.2_obj name: assessment-objective props: - name: label value: PT-02(02) class: sp800-53a prose: 'enforcement of the authorized processing of personally identifiable information is managed using {{ insert: param, pt-02.02_odp }}.' links: - href: '#pt-2.2_smt' rel: assessment-for - id: pt-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures privacy plan other relevant documents or records - id: pt-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with information security and privacy responsibilities - id: pt-2.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-02(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for authorizing the processing of personally identifiable information automated mechanisms supporting and/or implementing the management of authorized personally identifiable information processing - id: pt-3 class: SP800-53 title: Personally Identifiable Information Processing Purposes params: - id: pt-03_odp.01 props: - name: alt-identifier value: pt-3_prm_1 - name: label value: PT-03_ODP[01] class: sp800-53a label: purpose(s) guidelines: - prose: the purpose(s) for processing personally identifiable information is/are defined; - id: pt-03_odp.02 props: - name: alt-identifier value: pt-3_prm_2 - name: label value: PT-03_ODP[02] class: sp800-53a label: processing guidelines: - prose: the processing of personally identifiable information to be restricted is defined; - id: pt-03_odp.03 props: - name: alt-identifier value: pt-3_prm_3 - name: label value: PT-03_ODP[03] class: sp800-53a label: mechanisms guidelines: - prose: mechanisms to be implemented for ensuring any changes in the processing of personally identifiable information are made in accordance with requirements are defined; - id: pt-03_odp.04 props: - name: alt-identifier value: pt-3_prm_4 - name: label value: PT-03_ODP[04] class: sp800-53a label: requirements guidelines: - prose: requirements for changing the processing of personally identifiable information are defined; props: - name: label value: PT-03 class: zero-padded - name: label value: PT-3 - name: label value: PT-03 class: sp800-53a - name: sort-id value: pt-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#18e71fec-c6fd-475a-925a-5d8495cf8455' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#a2590922-82f3-4277-83c0-ca5bee06dba4' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#at-3' rel: related - href: '#cm-13' rel: related - href: '#ir-9' rel: related - href: '#pm-9' rel: related - href: '#pm-25' rel: related - href: '#pt-2' rel: related - href: '#pt-5' rel: related - href: '#pt-6' rel: related - href: '#pt-7' rel: related - href: '#ra-8' rel: related - href: '#sc-43' rel: related - href: '#si-12' rel: related - href: '#si-18' rel: related parts: - id: pt-3_smt name: statement parts: - id: pt-3_smt.a name: item props: - name: label value: a. prose: 'Identify and document the {{ insert: param, pt-03_odp.01 }} for processing personally identifiable information;' - id: pt-3_smt.b name: item props: - name: label value: b. prose: Describe the purpose(s) in the public privacy notices and policies of the organization; - id: pt-3_smt.c name: item props: - name: label value: c. prose: 'Restrict the {{ insert: param, pt-03_odp.02 }} of personally identifiable information to only that which is compatible with the identified purpose(s); and' - id: pt-3_smt.d name: item props: - name: label value: d. prose: 'Monitor changes in processing personally identifiable information and implement {{ insert: param, pt-03_odp.03 }} to ensure that any changes are made in accordance with {{ insert: param, pt-03_odp.04 }}.' - id: pt-3_gdn name: guidance prose: |- Identifying and documenting the purpose for processing provides organizations with a basis for understanding why personally identifiable information may be processed. The term "process" includes every step of the information life cycle, including creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal. Identifying and documenting the purpose of processing is a prerequisite to enabling owners and operators of the system and individuals whose information is processed by the system to understand how the information will be processed. This enables individuals to make informed decisions about their engagement with information systems and organizations and to manage their privacy interests. Once the specific processing purpose has been identified, the purpose is described in the organization’s privacy notices, policies, and any related privacy compliance documentation, including privacy impact assessments, system of records notices, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statements, computer matching notices, and other applicable Federal Register notices. Organizations take steps to help ensure that personally identifiable information is processed only for identified purposes, including training organizational personnel and monitoring and auditing organizational processing of personally identifiable information. Organizations monitor for changes in personally identifiable information processing. Organizational personnel consult with the senior agency official for privacy and legal counsel to ensure that any new purposes that arise from changes in processing are compatible with the purpose for which the information was collected, or if the new purpose is not compatible, implement mechanisms in accordance with defined requirements to allow for the new processing, if appropriate. Mechanisms may include obtaining consent from individuals, revising privacy policies, or other measures to manage privacy risks that arise from changes in personally identifiable information processing purposes. - id: pt-3_obj name: assessment-objective props: - name: label value: PT-03 class: sp800-53a parts: - id: pt-3_obj.a name: assessment-objective props: - name: label value: PT-03a. class: sp800-53a prose: 'the {{ insert: param, pt-03_odp.01 }} for processing personally identifiable information is/are identified and documented;' links: - href: '#pt-3_smt.a' rel: assessment-for - id: pt-3_obj.b name: assessment-objective props: - name: label value: PT-03b. class: sp800-53a parts: - id: pt-3_obj.b-1 name: assessment-objective props: - name: label value: PT-03b.[01] class: sp800-53a prose: the purpose(s) is/are described in the public privacy notices of the organization; links: - href: '#pt-3_smt.b' rel: assessment-for - id: pt-3_obj.b-2 name: assessment-objective props: - name: label value: PT-03b.[02] class: sp800-53a prose: the purpose(s) is/are described in the policies of the organization; links: - href: '#pt-3_smt.b' rel: assessment-for links: - href: '#pt-3_smt.b' rel: assessment-for - id: pt-3_obj.c name: assessment-objective props: - name: label value: PT-03c. class: sp800-53a prose: 'the {{ insert: param, pt-03_odp.02 }} of personally identifiable information are restricted to only that which is compatible with the identified purpose(s);' links: - href: '#pt-3_smt.c' rel: assessment-for - id: pt-3_obj.d name: assessment-objective props: - name: label value: PT-03d. class: sp800-53a parts: - id: pt-3_obj.d-1 name: assessment-objective props: - name: label value: PT-03d.[01] class: sp800-53a prose: changes in the processing of personally identifiable information are monitored; links: - href: '#pt-3_smt.d' rel: assessment-for - id: pt-3_obj.d-2 name: assessment-objective props: - name: label value: PT-03d.[02] class: sp800-53a prose: '{{ insert: param, pt-03_odp.03 }} are implemented to ensure that any changes are made in accordance with {{ insert: param, pt-03_odp.04 }}.' links: - href: '#pt-3_smt.d' rel: assessment-for links: - href: '#pt-3_smt.d' rel: assessment-for links: - href: '#pt-3_smt' rel: assessment-for - id: pt-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-03-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures configuration management plan organizational privacy notices organizational policies Privacy Act statements computer matching notices applicable Federal Register notices documented requirements for enforcing and monitoring the processing of personally identifiable information privacy plan other relevant documents or records - id: pt-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-03-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with information security and privacy responsibilities - id: pt-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-03-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for authorizing the processing of personally identifiable information mechanisms supporting and/or implementing the management of authorized personally identifiable information processing organizational processes for monitoring changes in processing personally identifiable information controls: - id: pt-3.1 class: SP800-53-enhancement title: Data Tagging params: - id: pt-03.01_odp.01 props: - name: alt-identifier value: pt-3.1_prm_2 - name: label value: PT-03(01)_ODP[01] class: sp800-53a label: processing purposes guidelines: - prose: processing purposes to be contained in data tags are defined; - id: pt-03.01_odp.02 props: - name: alt-identifier value: pt-3.1_prm_1 - name: label value: PT-03(01)_ODP[02] class: sp800-53a label: elements of personally identifiable information guidelines: - prose: elements of personally identifiable information to be tagged are defined; props: - name: label value: PT-03(01) class: zero-padded - name: label value: PT-3(1) - name: label value: PT-03(01) class: sp800-53a - name: sort-id value: pt-03.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#pt-3' rel: required - href: '#ca-6' rel: related - href: '#cm-12' rel: related - href: '#pm-5' rel: related - href: '#pm-22' rel: related - href: '#sc-16' rel: related - href: '#sc-43' rel: related - href: '#si-10' rel: related - href: '#si-15' rel: related - href: '#si-19' rel: related parts: - id: pt-3.1_smt name: statement prose: 'Attach data tags containing the following purposes to {{ insert: param, pt-03.01_odp.02 }}: {{ insert: param, pt-03.01_odp.01 }}.' - id: pt-3.1_gdn name: guidance prose: Data tags support the tracking of processing purposes by conveying the purposes along with the relevant elements of personally identifiable information throughout the system. By conveying the processing purposes in a data tag along with the personally identifiable information as the information transits a system, a system owner or operator can identify whether a change in processing would be compatible with the identified and documented purposes. Data tags may also support the use of automated tools. - id: pt-3.1_obj name: assessment-objective props: - name: label value: PT-03(01) class: sp800-53a prose: 'data tags containing {{ insert: param, pt-03.01_odp.01 }} are attached to {{ insert: param, pt-03.01_odp.02 }}.' links: - href: '#pt-3.1_smt' rel: assessment-for - id: pt-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures documented description of how data tags are used to identify personally identifiable information data elements and their authorized uses data tag schema data extracts with corresponding data tags privacy plan other relevant documents or records - id: pt-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with data tagging responsibilities organizational personnel with information security and privacy responsibilities - id: pt-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-03(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for authorizing the processing of personally identifiable information mechanisms supporting and/or implementing data tagging - id: pt-3.2 class: SP800-53-enhancement title: Automation params: - id: pt-03.02_odp props: - name: alt-identifier value: pt-3.2_prm_1 - name: label value: PT-03(02)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms for tracking the processing purposes of personally identifiable information are defined; props: - name: label value: PT-03(02) class: zero-padded - name: label value: PT-3(2) - name: label value: PT-03(02) class: sp800-53a - name: sort-id value: pt-03.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#pt-3' rel: required - href: '#ca-6' rel: related - href: '#cm-12' rel: related - href: '#pm-5' rel: related - href: '#pm-22' rel: related - href: '#sc-16' rel: related - href: '#sc-43' rel: related - href: '#si-10' rel: related - href: '#si-15' rel: related - href: '#si-19' rel: related parts: - id: pt-3.2_smt name: statement prose: 'Track processing purposes of personally identifiable information using {{ insert: param, pt-03.02_odp }}.' - id: pt-3.2_gdn name: guidance prose: Automated mechanisms augment tracking of the processing purposes. - id: pt-3.2_obj name: assessment-objective props: - name: label value: PT-03(02) class: sp800-53a prose: 'the processing purposes of personally identifiable information are tracked using {{ insert: param, pt-03.02_odp }}.' links: - href: '#pt-3.2_smt' rel: assessment-for - id: pt-3.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-03(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures data extracts with corresponding data tags privacy plan other relevant documents or records - id: pt-3.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-03(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with information security and privacy responsibilities - id: pt-3.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-03(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing the enforcement of authorized processing of personally identifiable information automated tracking mechanisms - id: pt-4 class: SP800-53 title: Consent params: - id: pt-04_odp props: - name: alt-identifier value: pt-4_prm_1 - name: label value: PT-04_ODP class: sp800-53a label: tools or mechanisms guidelines: - prose: the tools or mechanisms to be implemented for individuals to consent to the processing of their personally identifiable information are defined; props: - name: label value: PT-04 class: zero-padded - name: label value: PT-4 - name: label value: PT-04 class: sp800-53a - name: sort-id value: pt-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#18e71fec-c6fd-475a-925a-5d8495cf8455' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#ac-16' rel: related - href: '#pt-2' rel: related - href: '#pt-5' rel: related parts: - id: pt-4_smt name: statement prose: 'Implement {{ insert: param, pt-04_odp }} for individuals to consent to the processing of their personally identifiable information prior to its collection that facilitate individuals’ informed decision-making.' - id: pt-4_gdn name: guidance prose: Consent allows individuals to participate in making decisions about the processing of their information and transfers some of the risk that arises from the processing of personally identifiable information from the organization to an individual. Consent may be required by applicable laws, executive orders, directives, regulations, policies, standards, or guidelines. Otherwise, when selecting consent as a control, organizations consider whether individuals can be reasonably expected to understand and accept the privacy risks that arise from their authorization. Organizations consider whether other controls may more effectively mitigate privacy risk either alone or in conjunction with consent. Organizations also consider any demographic or contextual factors that may influence the understanding or behavior of individuals with respect to the processing carried out by the system or organization. When soliciting consent from individuals, organizations consider the appropriate mechanism for obtaining consent, including the type of consent (e.g., opt-in, opt-out), how to properly authenticate and identity proof individuals and how to obtain consent through electronic means. In addition, organizations consider providing a mechanism for individuals to revoke consent once it has been provided, as appropriate. Finally, organizations consider usability factors to help individuals understand the risks being accepted when providing consent, including the use of plain language and avoiding technical jargon. - id: pt-4_obj name: assessment-objective props: - name: label value: PT-04 class: sp800-53a prose: 'the {{ insert: param, pt-04_odp }} are implemented for individuals to consent to the processing of their personally identifiable information prior to its collection that facilitate individuals’ informed decision-making.' links: - href: '#pt-4_smt' rel: assessment-for - id: pt-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-04-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures consent policies and procedures consent tools and mechanisms consent presentation or display (user interface) evidence of individuals’ consent privacy plan other relevant documents or records - id: pt-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-04-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with information security and privacy responsibilities - id: pt-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-04-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for the collection of personally identifiable information consent tools or mechanisms for users to authorize the processing of their personally identifiable information mechanisms implementing consent controls: - id: pt-4.1 class: SP800-53-enhancement title: Tailored Consent params: - id: pt-04.01_odp props: - name: alt-identifier value: pt-4.1_prm_1 - name: label value: PT-04(01)_ODP class: sp800-53a label: mechanisms guidelines: - prose: tailoring mechanisms for processing selected elements of personally identifiable information permissions are defined; props: - name: label value: PT-04(01) class: zero-padded - name: label value: PT-4(1) - name: label value: PT-04(01) class: sp800-53a - name: sort-id value: pt-04.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pt-4' rel: required - href: '#pt-2' rel: related parts: - id: pt-4.1_smt name: statement prose: 'Provide {{ insert: param, pt-04.01_odp }} to allow individuals to tailor processing permissions to selected elements of personally identifiable information.' - id: pt-4.1_gdn name: guidance prose: While some processing may be necessary for the basic functionality of the product or service, other processing may not. In these circumstances, organizations allow individuals to select how specific personally identifiable information elements may be processed. More tailored consent may help reduce privacy risk, increase individual satisfaction, and avoid adverse behaviors, such as abandonment of the product or service. - id: pt-4.1_obj name: assessment-objective props: - name: label value: PT-04(01) class: sp800-53a prose: '{{ insert: param, pt-04.01_odp }} are provided to allow individuals to tailor processing permissions to selected elements of personally identifiable information.' links: - href: '#pt-4.1_smt' rel: assessment-for - id: pt-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures consent policies and procedures consent tools and mechanisms consent presentation or display (user interface) privacy plan other relevant documents or records - id: pt-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with user interface or user experience responsibilities organizational personnel with information security and privacy responsibilities - id: pt-4.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-04(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for consenting to the processing of personally identifiable information consent tools or mechanisms mechanisms implementing consent - id: pt-4.2 class: SP800-53-enhancement title: Just-in-time Consent params: - id: pt-04.02_odp.01 props: - name: alt-identifier value: pt-4.2_prm_1 - name: label value: PT-04(02)_ODP[01] class: sp800-53a label: consent mechanisms guidelines: - prose: consent mechanisms to be presented to individuals are defined; - id: pt-04.02_odp.02 props: - name: alt-identifier value: pt-4.2_prm_2 - name: label value: PT-04(02)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to present consent mechanisms to individuals is defined; - id: pt-04.02_odp.03 props: - name: alt-identifier value: pt-4.2_prm_3 - name: label value: PT-04(02)_ODP[03] class: sp800-53a label: personally identifiable information processing guidelines: - prose: personally identifiable information processing to be presented in conjunction with organization-defined consent mechanisms is defined; props: - name: label value: PT-04(02) class: zero-padded - name: label value: PT-4(2) - name: label value: PT-04(02) class: sp800-53a - name: sort-id value: pt-04.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pt-4' rel: required - href: '#pt-2' rel: related parts: - id: pt-4.2_smt name: statement prose: 'Present {{ insert: param, pt-04.02_odp.01 }} to individuals at {{ insert: param, pt-04.02_odp.02 }} and in conjunction with {{ insert: param, pt-04.02_odp.03 }}.' - id: pt-4.2_gdn name: guidance prose: Just-in-time consent enables individuals to participate in how their personally identifiable information is being processed at the time or in conjunction with specific types of data processing when such participation may be most useful to the individual. Individual assumptions about how personally identifiable information is being processed might not be accurate or reliable if time has passed since the individual last gave consent or the type of processing creates significant privacy risk. Organizations use discretion to determine when to use just-in-time consent and may use supporting information on demographics, focus groups, or surveys to learn more about individuals’ privacy interests and concerns. - id: pt-4.2_obj name: assessment-objective props: - name: label value: PT-04(02) class: sp800-53a prose: '{{ insert: param, pt-04.02_odp.01 }} are presented to individuals {{ insert: param, pt-04.02_odp.02 }} and in conjunction with {{ insert: param, pt-04.02_odp.03 }}.' links: - href: '#pt-4.2_smt' rel: assessment-for - id: pt-4.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-04(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures consent policies and procedures privacy plan other relevant documents or records - id: pt-4.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-04(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with user interface or user experience responsibilities organizational personnel with information security and privacy responsibilities - id: pt-4.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-04(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for the collection of personally identifiable information mechanisms for obtaining just-in-time consent from users for the processing of their personally identifiable information mechanisms implementing just-in-time consent - id: pt-4.3 class: SP800-53-enhancement title: Revocation params: - id: pt-04.03_odp props: - name: alt-identifier value: pt-4.3_prm_1 - name: label value: PT-04(03)_ODP class: sp800-53a label: tools or mechanisms guidelines: - prose: the tools or mechanisms to be implemented for revoking consent to the processing of personally identifiable information are defined; props: - name: label value: PT-04(03) class: zero-padded - name: label value: PT-4(3) - name: label value: PT-04(03) class: sp800-53a - name: sort-id value: pt-04.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pt-4' rel: required - href: '#pt-2' rel: related parts: - id: pt-4.3_smt name: statement prose: 'Implement {{ insert: param, pt-04.03_odp }} for individuals to revoke consent to the processing of their personally identifiable information.' - id: pt-4.3_gdn name: guidance prose: Revocation of consent enables individuals to exercise control over their initial consent decision when circumstances change. Organizations consider usability factors in enabling easy-to-use revocation capabilities. - id: pt-4.3_obj name: assessment-objective props: - name: label value: PT-04(03) class: sp800-53a prose: 'the {{ insert: param, pt-04.03_odp }} are implemented for individuals to revoke consent to the processing of their personally identifiable information.' links: - href: '#pt-4.3_smt' rel: assessment-for - id: pt-4.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-04(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures consent revocation policies and procedures consent revocation user interface or user experience privacy plan other relevant documents or records - id: pt-4.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-04(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with user interface or user experience responsibilities organizational personnel with information security and privacy responsibilities - id: pt-4.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-04(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for consenting to the processing of personally identifiable information tools or mechanisms for implementing consent revocation - id: pt-5 class: SP800-53 title: Privacy Notice params: - id: pt-05_odp.01 props: - name: alt-identifier value: pt-5_prm_1 - name: label value: PT-05_ODP[01] class: sp800-53a label: frequency guidelines: - prose: the frequency at which a notice is provided to individuals after initial interaction with an organization is defined; - id: pt-05_odp.02 props: - name: alt-identifier value: pt-5_prm_2 - name: label value: PT-05_ODP[02] class: sp800-53a label: information guidelines: - prose: information to be included with the notice about the processing of personally identifiable information is defined; props: - name: label value: PT-05 class: zero-padded - name: label value: PT-5 - name: label value: PT-05 class: sp800-53a - name: sort-id value: pt-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#18e71fec-c6fd-475a-925a-5d8495cf8455' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#3671ff20-c17c-44d6-8a88-7de203fa74aa' rel: reference - href: '#pm-20' rel: related - href: '#pm-22' rel: related - href: '#pt-2' rel: related - href: '#pt-3' rel: related - href: '#pt-4' rel: related - href: '#pt-7' rel: related - href: '#ra-3' rel: related - href: '#sc-42' rel: related - href: '#si-18' rel: related parts: - id: pt-5_smt name: statement prose: 'Provide notice to individuals about the processing of personally identifiable information that:' parts: - id: pt-5_smt.a name: item props: - name: label value: a. prose: 'Is available to individuals upon first interacting with an organization, and subsequently at {{ insert: param, pt-05_odp.01 }};' - id: pt-5_smt.b name: item props: - name: label value: b. prose: Is clear and easy-to-understand, expressing information about personally identifiable information processing in plain language; - id: pt-5_smt.c name: item props: - name: label value: c. prose: Identifies the authority that authorizes the processing of personally identifiable information; - id: pt-5_smt.d name: item props: - name: label value: d. prose: Identifies the purposes for which personally identifiable information is to be processed; and - id: pt-5_smt.e name: item props: - name: label value: e. prose: 'Includes {{ insert: param, pt-05_odp.02 }}.' - id: pt-5_gdn name: guidance prose: |- Privacy notices help inform individuals about how their personally identifiable information is being processed by the system or organization. Organizations use privacy notices to inform individuals about how, under what authority, and for what purpose their personally identifiable information is processed, as well as other information such as choices individuals might have with respect to that processing and other parties with whom information is shared. Laws, executive orders, directives, regulations, or policies may require that privacy notices include specific elements or be provided in specific formats. Federal agency personnel consult with the senior agency official for privacy and legal counsel regarding when and where to provide privacy notices, as well as elements to include in privacy notices and required formats. In circumstances where laws or government-wide policies do not require privacy notices, organizational policies and determinations may require privacy notices and may serve as a source of the elements to include in privacy notices. Privacy risk assessments identify the privacy risks associated with the processing of personally identifiable information and may help organizations determine appropriate elements to include in a privacy notice to manage such risks. To help individuals understand how their information is being processed, organizations write materials in plain language and avoid technical jargon. - id: pt-5_obj name: assessment-objective props: - name: label value: PT-05 class: sp800-53a parts: - id: pt-5_obj.a name: assessment-objective props: - name: label value: PT-05a. class: sp800-53a parts: - id: pt-5_obj.a-1 name: assessment-objective props: - name: label value: PT-05a.[01] class: sp800-53a prose: a notice to individuals about the processing of personally identifiable information is provided such that the notice is available to individuals upon first interacting with an organization; links: - href: '#pt-5_smt.a' rel: assessment-for - id: pt-5_obj.a-2 name: assessment-objective props: - name: label value: PT-05a.[02] class: sp800-53a prose: 'a notice to individuals about the processing of personally identifiable information is provided such that the notice is subsequently available to individuals {{ insert: param, pt-05_odp.01 }};' links: - href: '#pt-5_smt.a' rel: assessment-for links: - href: '#pt-5_smt.a' rel: assessment-for - id: pt-5_obj.b name: assessment-objective props: - name: label value: PT-05b. class: sp800-53a prose: a notice to individuals about the processing of personally identifiable information is provided that is clear, easy-to-understand, and expresses information about personally identifiable information processing in plain language; links: - href: '#pt-5_smt.b' rel: assessment-for - id: pt-5_obj.c name: assessment-objective props: - name: label value: PT-05c. class: sp800-53a prose: a notice to individuals about the processing of personally identifiable information that identifies the authority that authorizes the processing of personally identifiable information is provided; links: - href: '#pt-5_smt.c' rel: assessment-for - id: pt-5_obj.d name: assessment-objective props: - name: label value: PT-05d. class: sp800-53a prose: a notice to individuals about the processing of personally identifiable information that identifies the purpose for which personally identifiable information is to be processed is provided; links: - href: '#pt-5_smt.d' rel: assessment-for - id: pt-5_obj.e name: assessment-objective props: - name: label value: PT-05e. class: sp800-53a prose: 'a notice to individuals about the processing of personally identifiable information which includes {{ insert: param, pt-05_odp.02 }} is provided.' links: - href: '#pt-5_smt.e' rel: assessment-for links: - href: '#pt-5_smt' rel: assessment-for - id: pt-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-05-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures privacy notice Privacy Act statements privacy plan other relevant documents or records - id: pt-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-05-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with user interface or user experience responsibilities organizational personnel with information security and privacy responsibilities - id: pt-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-05-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes and implementation support or mechanisms for providing notice to individuals regarding the processing of their personally identifiable information controls: - id: pt-5.1 class: SP800-53-enhancement title: Just-in-time Notice params: - id: pt-05.01_odp props: - name: alt-identifier value: pt-5.1_prm_1 - name: label value: PT-05(01)_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency at which to present a notice of personally identifiable information processing is defined; props: - name: label value: PT-05(01) class: zero-padded - name: label value: PT-5(1) - name: label value: PT-05(01) class: sp800-53a - name: sort-id value: pt-05.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pt-5' rel: required - href: '#pm-21' rel: related parts: - id: pt-5.1_smt name: statement prose: 'Present notice of personally identifiable information processing to individuals at a time and location where the individual provides personally identifiable information or in conjunction with a data action, or {{ insert: param, pt-05.01_odp }}.' - id: pt-5.1_gdn name: guidance prose: Just-in-time notices inform individuals of how organizations process their personally identifiable information at a time when such notices may be most useful to the individuals. Individual assumptions about how personally identifiable information will be processed might not be accurate or reliable if time has passed since the organization last presented notice or the circumstances under which the individual was last provided notice have changed. A just-in-time notice can explain data actions that organizations have identified as potentially giving rise to greater privacy risk for individuals. Organizations can use a just-in-time notice to update or remind individuals about specific data actions as they occur or highlight specific changes that occurred since last presenting notice. A just-in-time notice can be used in conjunction with just-in-time consent to explain what will occur if consent is declined. Organizations use discretion to determine when to use a just-in-time notice and may use supporting information on user demographics, focus groups, or surveys to learn about users’ privacy interests and concerns. - id: pt-5.1_obj name: assessment-objective props: - name: label value: PT-05(01) class: sp800-53a prose: 'a notice of personally identifiable information processing is presented to individuals at a time and location where the individual provides personally identifiable information, in conjunction with a data action, or {{ insert: param, pt-05.01_odp }}.' links: - href: '#pt-5.1_smt' rel: assessment-for - id: pt-5.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-05(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures privacy notice privacy plan other relevant documents or records - id: pt-5.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-05(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with user interface or user experience responsibilities organizational personnel with information security and privacy responsibilities - id: pt-5.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-05(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes and implementation support or mechanisms for providing notice to individuals regarding the processing of their personally identifiable information - id: pt-5.2 class: SP800-53-enhancement title: Privacy Act Statements props: - name: label value: PT-05(02) class: zero-padded - name: label value: PT-5(2) - name: label value: PT-05(02) class: sp800-53a - name: sort-id value: pt-05.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pt-5' rel: required - href: '#pt-6' rel: related parts: - id: pt-5.2_smt name: statement prose: Include Privacy Act statements on forms that collect information that will be maintained in a Privacy Act system of records, or provide Privacy Act statements on separate forms that can be retained by individuals. - id: pt-5.2_gdn name: guidance prose: |- If a federal agency asks individuals to supply information that will become part of a system of records, the agency is required to provide a [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statement on the form used to collect the information or on a separate form that can be retained by the individual. The agency provides a [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statement in such circumstances regardless of whether the information will be collected on a paper or electronic form, on a website, on a mobile application, over the telephone, or through some other medium. This requirement ensures that the individual is provided with sufficient information about the request for information to make an informed decision on whether or not to respond. [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statements provide formal notice to individuals of the authority that authorizes the solicitation of the information; whether providing the information is mandatory or voluntary; the principal purpose(s) for which the information is to be used; the published routine uses to which the information is subject; the effects on the individual, if any, of not providing all or any part of the information requested; and an appropriate citation and link to the relevant system of records notice. Federal agency personnel consult with the senior agency official for privacy and legal counsel regarding the notice provisions of the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455). - id: pt-5.2_obj name: assessment-objective props: - name: label value: PT-05(02) class: sp800-53a prose: Privacy Act statements are included on forms that collect information that will be maintained in a Privacy Act system of records, or Privacy Act statements are provided on separate forms that can be retained by individuals. links: - href: '#pt-5.2_smt' rel: assessment-for - id: pt-5.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-05(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures privacy notice Privacy Act system of records forms that include Privacy Act statements privacy plan other relevant documents or records - id: pt-5.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-05(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with information security and privacy responsibilities - id: pt-5.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-05(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for including Privacy Act statements on forms that collect information or on separate forms that can be retained by individuals - id: pt-6 class: SP800-53 title: System of Records Notice props: - name: label value: PT-06 class: zero-padded - name: label value: PT-6 - name: label value: PT-06 class: sp800-53a - name: sort-id value: pt-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#18e71fec-c6fd-475a-925a-5d8495cf8455' rel: reference - href: '#3671ff20-c17c-44d6-8a88-7de203fa74aa' rel: reference - href: '#ac-3' rel: related - href: '#pm-20' rel: related - href: '#pt-2' rel: related - href: '#pt-3' rel: related - href: '#pt-5' rel: related parts: - id: pt-6_smt name: statement prose: 'For systems that process information that will be maintained in a Privacy Act system of records:' parts: - id: pt-6_smt.a name: item props: - name: label value: a. prose: Draft system of records notices in accordance with OMB guidance and submit new and significantly modified system of records notices to the OMB and appropriate congressional committees for advance review; - id: pt-6_smt.b name: item props: - name: label value: b. prose: Publish system of records notices in the Federal Register; and - id: pt-6_smt.c name: item props: - name: label value: c. prose: Keep system of records notices accurate, up-to-date, and scoped in accordance with policy. - id: pt-6_gdn name: guidance prose: The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) requires that federal agencies publish a system of records notice in the Federal Register upon the establishment and/or modification of a [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) system of records. As a general matter, a system of records notice is required when an agency maintains a group of any records under the control of the agency from which information is retrieved by the name of an individual or by some identifying number, symbol, or other identifier. The notice describes the existence and character of the system and identifies the system of records, the purpose(s) of the system, the authority for maintenance of the records, the categories of records maintained in the system, the categories of individuals about whom records are maintained, the routine uses to which the records are subject, and additional details about the system as described in [OMB A-108](#3671ff20-c17c-44d6-8a88-7de203fa74aa). - id: pt-6_obj name: assessment-objective props: - name: label value: PT-06 class: sp800-53a parts: - id: pt-6_obj.a name: assessment-objective props: - name: label value: PT-06a. class: sp800-53a parts: - id: pt-6_obj.a-1 name: assessment-objective props: - name: label value: PT-06a.[01] class: sp800-53a prose: system of records notices are drafted in accordance with OMB guidance for systems that process information that will be maintained in a Privacy Act system of records; links: - href: '#pt-6_smt.a' rel: assessment-for - id: pt-6_obj.a-2 name: assessment-objective props: - name: label value: PT-06a.[02] class: sp800-53a prose: new and significantly modified system of records notices are submitted to the OMB and appropriate congressional committees for advance review for systems that process information that will be maintained in a Privacy Act system of records; links: - href: '#pt-6_smt.a' rel: assessment-for links: - href: '#pt-6_smt.a' rel: assessment-for - id: pt-6_obj.b name: assessment-objective props: - name: label value: PT-06b. class: sp800-53a prose: system of records notices are published in the Federal Register for systems that process information that will be maintained in a Privacy Act system of records; links: - href: '#pt-6_smt.b' rel: assessment-for - id: pt-6_obj.c name: assessment-objective props: - name: label value: PT-06c. class: sp800-53a prose: system of records notices are kept accurate, up-to-date, and scoped in accordance with policy for systems that process information that will be maintained in a Privacy Act system of records. links: - href: '#pt-6_smt.c' rel: assessment-for links: - href: '#pt-6_smt' rel: assessment-for - id: pt-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-06-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures privacy notice Privacy Act system of records Federal Register notices privacy plan other relevant documents or records - id: pt-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-06-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with information security and privacy responsibilities - id: pt-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-06-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for Privacy Act system of records maintenance controls: - id: pt-6.1 class: SP800-53-enhancement title: Routine Uses params: - id: pt-06.01_odp props: - name: alt-identifier value: pt-6.1_prm_1 - name: label value: PT-06(01)_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency at which to review all routine uses published in the system of records notice is defined; props: - name: label value: PT-06(01) class: zero-padded - name: label value: PT-6(1) - name: label value: PT-06(01) class: sp800-53a - name: sort-id value: pt-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pt-6' rel: required parts: - id: pt-6.1_smt name: statement prose: 'Review all routine uses published in the system of records notice at {{ insert: param, pt-06.01_odp }} to ensure continued accuracy, and to ensure that routine uses continue to be compatible with the purpose for which the information was collected.' - id: pt-6.1_gdn name: guidance prose: A [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) routine use is a particular kind of disclosure of a record outside of the federal agency maintaining the system of records. A routine use is an exception to the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) prohibition on the disclosure of a record in a system of records without the prior written consent of the individual to whom the record pertains. To qualify as a routine use, the disclosure must be for a purpose that is compatible with the purpose for which the information was originally collected. The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) requires agencies to describe each routine use of the records maintained in the system of records, including the categories of users of the records and the purpose of the use. Agencies may only establish routine uses by explicitly publishing them in the relevant system of records notice. - id: pt-6.1_obj name: assessment-objective props: - name: label value: PT-06(01) class: sp800-53a prose: 'all routine uses published in the system of records notice are reviewed {{ insert: param, pt-06.01_odp }} to ensure continued accuracy, and to ensure that routine uses continue to be compatible with the purpose for which the information was collected.' links: - href: '#pt-6.1_smt' rel: assessment-for - id: pt-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-06(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures privacy notice Privacy Act system of records privacy plan other relevant documents or records - id: pt-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-06(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with information security and privacy responsibilities - id: pt-6.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-06(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for reviewing system of records notices - id: pt-6.2 class: SP800-53-enhancement title: Exemption Rules params: - id: pt-06.02_odp props: - name: alt-identifier value: pt-6.2_prm_1 - name: label value: PT-06(02)_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency at which to review all Privacy Act exemptions claimed for the system of records is defined; props: - name: label value: PT-06(02) class: zero-padded - name: label value: PT-6(2) - name: label value: PT-06(02) class: sp800-53a - name: sort-id value: pt-06.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pt-6' rel: required parts: - id: pt-6.2_smt name: statement prose: 'Review all Privacy Act exemptions claimed for the system of records at {{ insert: param, pt-06.02_odp }} to ensure they remain appropriate and necessary in accordance with law, that they have been promulgated as regulations, and that they are accurately described in the system of records notice.' - id: pt-6.2_gdn name: guidance prose: The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) includes two sets of provisions that allow federal agencies to claim exemptions from certain requirements in the statute. In certain circumstances, these provisions allow agencies to promulgate regulations to exempt a system of records from select provisions of the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) . At a minimum, organizations’ [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) exemption regulations include the specific name(s) of any system(s) of records that will be exempt, the specific provisions of the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) from which the system(s) of records is to be exempted, the reasons for the exemption, and an explanation for why the exemption is both necessary and appropriate. - id: pt-6.2_obj name: assessment-objective props: - name: label value: PT-06(02) class: sp800-53a parts: - id: pt-6.2_obj-1 name: assessment-objective props: - name: label value: PT-06(02)[01] class: sp800-53a prose: 'all Privacy Act exemptions claimed for the system of records are reviewed {{ insert: param, pt-06.02_odp }} to ensure that they remain appropriate and necessary in accordance with law;' links: - href: '#pt-6.2_smt' rel: assessment-for - id: pt-6.2_obj-2 name: assessment-objective props: - name: label value: PT-06(02)[02] class: sp800-53a prose: 'all Privacy Act exemptions claimed for the system of records are reviewed {{ insert: param, pt-06.02_odp }} to ensure that they have been promulgated as regulations;' links: - href: '#pt-6.2_smt' rel: assessment-for - id: pt-6.2_obj-3 name: assessment-objective props: - name: label value: PT-06(02)[03] class: sp800-53a prose: 'all Privacy Act exemptions claimed for the system of records are reviewed {{ insert: param, pt-06.02_odp }} to ensure that they are accurately described in the system of records notice.' links: - href: '#pt-6.2_smt' rel: assessment-for links: - href: '#pt-6.2_smt' rel: assessment-for - id: pt-6.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-06(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures privacy notice Privacy Act system of records Privacy Act exemptions privacy plan other relevant documents or records - id: pt-6.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-06(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with information security and privacy responsibilities - id: pt-6.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-06(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for Privacy Act system of records maintenance - id: pt-7 class: SP800-53 title: Specific Categories of Personally Identifiable Information params: - id: pt-07_odp props: - name: alt-identifier value: pt-7_prm_1 - name: label value: PT-07_ODP class: sp800-53a label: processing conditions guidelines: - prose: processing conditions to be applied for specific categories of personally identifiable information are defined; props: - name: label value: PT-07 class: zero-padded - name: label value: PT-7 - name: label value: PT-07 class: sp800-53a - name: sort-id value: pt-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#18e71fec-c6fd-475a-925a-5d8495cf8455' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#3671ff20-c17c-44d6-8a88-7de203fa74aa' rel: reference - href: '#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94' rel: reference - href: '#ir-9' rel: related - href: '#pt-2' rel: related - href: '#pt-3' rel: related - href: '#ra-3' rel: related parts: - id: pt-7_smt name: statement prose: 'Apply {{ insert: param, pt-07_odp }} for specific categories of personally identifiable information.' - id: pt-7_gdn name: guidance prose: Organizations apply any conditions or protections that may be necessary for specific categories of personally identifiable information. These conditions may be required by laws, executive orders, directives, regulations, policies, standards, or guidelines. The requirements may also come from the results of privacy risk assessments that factor in contextual changes that may result in an organizational determination that a particular category of personally identifiable information is particularly sensitive or raises particular privacy risks. Organizations consult with the senior agency official for privacy and legal counsel regarding any protections that may be necessary. - id: pt-7_obj name: assessment-objective props: - name: label value: PT-07 class: sp800-53a prose: '{{ insert: param, pt-07_odp }} are applied for specific categories of personally identifiable information.' links: - href: '#pt-7_smt' rel: assessment-for - id: pt-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-07-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures privacy notice Privacy Act system of records computer matching agreements and notices contracts privacy information sharing agreements memoranda of understanding governing requirements privacy plan other relevant documents or records - id: pt-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-07-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with information security and privacy responsibilities - id: pt-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-07-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for supporting and/or implementing personally identifiable information processing controls: - id: pt-7.1 class: SP800-53-enhancement title: Social Security Numbers props: - name: label value: PT-07(01) class: zero-padded - name: label value: PT-7(1) - name: label value: PT-07(01) class: sp800-53a - name: sort-id value: pt-07.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pt-7' rel: required - href: '#ia-4' rel: related parts: - id: pt-7.1_smt name: statement prose: 'When a system processes Social Security numbers:' parts: - id: pt-7.1_smt.a name: item props: - name: label value: (a) prose: Eliminate unnecessary collection, maintenance, and use of Social Security numbers, and explore alternatives to their use as a personal identifier; - id: pt-7.1_smt.b name: item props: - name: label value: (b) prose: Do not deny any individual any right, benefit, or privilege provided by law because of such individual’s refusal to disclose his or her Social Security number; and - id: pt-7.1_smt.c name: item props: - name: label value: (c) prose: Inform any individual who is asked to disclose his or her Social Security number whether that disclosure is mandatory or voluntary, by what statutory or other authority such number is solicited, and what uses will be made of it. - id: pt-7.1_gdn name: guidance prose: Federal law and policy establish specific requirements for organizations’ processing of Social Security numbers. Organizations take steps to eliminate unnecessary uses of Social Security numbers and other sensitive information and observe any particular requirements that apply. - id: pt-7.1_obj name: assessment-objective props: - name: label value: PT-07(01) class: sp800-53a parts: - id: pt-7.1_obj.a name: assessment-objective props: - name: label value: PT-07(01)(a) class: sp800-53a parts: - id: pt-7.1_obj.a-1 name: assessment-objective props: - name: label value: PT-07(01)(a)[01] class: sp800-53a prose: when a system processes Social Security numbers, the unnecessary collection, maintenance, and use of Social Security numbers are eliminated; links: - href: '#pt-7.1_smt.a' rel: assessment-for - id: pt-7.1_obj.a-2 name: assessment-objective props: - name: label value: PT-07(01)(a)[02] class: sp800-53a prose: when a system processes Social Security numbers, alternatives to the use of Social Security Numbers as a personal identifier are explored; links: - href: '#pt-7.1_smt.a' rel: assessment-for links: - href: '#pt-7.1_smt.a' rel: assessment-for - id: pt-7.1_obj.b name: assessment-objective props: - name: label value: PT-07(01)(b) class: sp800-53a prose: when a system processes Social Security numbers, individual rights, benefits, or privileges provided by law are not denied because of an individual’s refusal to disclose their Social Security number; links: - href: '#pt-7.1_smt.b' rel: assessment-for - id: pt-7.1_obj.c name: assessment-objective props: - name: label value: PT-07(01)(c) class: sp800-53a parts: - id: pt-7.1_obj.c-1 name: assessment-objective props: - name: label value: PT-07(01)(c)[01] class: sp800-53a prose: when a system processes Social Security numbers, any individual who is asked to disclose their Social Security number is informed whether that disclosure is mandatory or voluntary, by what statutory or other authority such number is solicited, and what uses will be made of it; links: - href: '#pt-7.1_smt.c' rel: assessment-for - id: pt-7.1_obj.c-2 name: assessment-objective props: - name: label value: PT-07(01)(c)[02] class: sp800-53a prose: when a system processes Social Security numbers, any individual who is asked to disclose their Social Security number is informed by what statutory or other authority the number is solicited; links: - href: '#pt-7.1_smt.c' rel: assessment-for - id: pt-7.1_obj.c-3 name: assessment-objective props: - name: label value: PT-07(01)(c)[03] class: sp800-53a prose: when a system processes Social Security numbers, any individual who is asked to disclose their Social Security number is informed what uses will be made of it. links: - href: '#pt-7.1_smt.c' rel: assessment-for links: - href: '#pt-7.1_smt.c' rel: assessment-for links: - href: '#pt-7.1_smt' rel: assessment-for - id: pt-7.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-07(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures privacy notice Privacy Act system of records privacy notice separate notice regarding the use of Social Security numbers privacy plan other relevant documents or records - id: pt-7.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-07(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with information security and privacy responsibilities - id: pt-7.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-07(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for identifying, reviewing, and taking action to control the unnecessary use of Social Security numbers implementation of an alternative to Social Security numbers as identifiers - id: pt-7.2 class: SP800-53-enhancement title: First Amendment Information props: - name: label value: PT-07(02) class: zero-padded - name: label value: PT-7(2) - name: label value: PT-07(02) class: sp800-53a - name: sort-id value: pt-07.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#pt-7' rel: required parts: - id: pt-7.2_smt name: statement prose: Prohibit the processing of information describing how any individual exercises rights guaranteed by the First Amendment unless expressly authorized by statute or by the individual or unless pertinent to and within the scope of an authorized law enforcement activity. - id: pt-7.2_gdn name: guidance prose: The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) limits agencies’ ability to process information that describes how individuals exercise rights guaranteed by the First Amendment. Organizations consult with the senior agency official for privacy and legal counsel regarding these requirements. - id: pt-7.2_obj name: assessment-objective props: - name: label value: PT-07(02) class: sp800-53a prose: the processing of information describing how any individual exercises rights guaranteed by the First Amendment is prohibited unless expressly authorized by statute or by the individual or unless pertinent to and within the scope of an authorized law enforcement activity. links: - href: '#pt-7.2_smt' rel: assessment-for - id: pt-7.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-07(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures privacy notice Privacy Act system of records privacy plan other relevant documents or records - id: pt-7.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-07(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with information security and privacy responsibilities - id: pt-7.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-07(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for supporting and/or implementing personally identifiable information processing - id: pt-8 class: SP800-53 title: Computer Matching Requirements props: - name: label value: PT-08 class: zero-padded - name: label value: PT-8 - name: label value: PT-08 class: sp800-53a - name: sort-id value: pt-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#18e71fec-c6fd-475a-925a-5d8495cf8455' rel: reference - href: '#94c64e1a-456c-457f-86da-83ac0dfc85ac' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#3671ff20-c17c-44d6-8a88-7de203fa74aa' rel: reference - href: '#pm-24' rel: related parts: - id: pt-8_smt name: statement prose: 'When a system or organization processes information for the purpose of conducting a matching program:' parts: - id: pt-8_smt.a name: item props: - name: label value: a. prose: Obtain approval from the Data Integrity Board to conduct the matching program; - id: pt-8_smt.b name: item props: - name: label value: b. prose: Develop and enter into a computer matching agreement; - id: pt-8_smt.c name: item props: - name: label value: c. prose: Publish a matching notice in the Federal Register; - id: pt-8_smt.d name: item props: - name: label value: d. prose: Independently verify the information produced by the matching program before taking adverse action against an individual, if required; and - id: pt-8_smt.e name: item props: - name: label value: e. prose: Provide individuals with notice and an opportunity to contest the findings before taking adverse action against an individual. - id: pt-8_gdn name: guidance prose: The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) establishes requirements for federal and non-federal agencies if they engage in a matching program. In general, a matching program is a computerized comparison of records from two or more automated [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) systems of records or an automated system of records and automated records maintained by a non-federal agency (or agent thereof). A matching program either pertains to federal benefit programs or federal personnel or payroll records. A federal benefit match is performed to determine or verify eligibility for payments under federal benefit programs or to recoup payments or delinquent debts under federal benefit programs. A matching program involves not just the matching activity itself but also the investigative follow-up and ultimate action, if any. - id: pt-8_obj name: assessment-objective props: - name: label value: PT-08 class: sp800-53a parts: - id: pt-8_obj.a name: assessment-objective props: - name: label value: PT-08a. class: sp800-53a prose: approval to conduct the matching program is obtained from the Data Integrity Board when a system or organization processes information for the purpose of conducting a matching program; links: - href: '#pt-8_smt.a' rel: assessment-for - id: pt-8_obj.b name: assessment-objective props: - name: label value: PT-08b. class: sp800-53a parts: - id: pt-8_obj.b-1 name: assessment-objective props: - name: label value: PT-08b.[01] class: sp800-53a prose: a computer matching agreement is developed when a system or organization processes information for the purpose of conducting a matching program; links: - href: '#pt-8_smt.b' rel: assessment-for - id: pt-8_obj.b-2 name: assessment-objective props: - name: label value: PT-08b.[02] class: sp800-53a prose: a computer matching agreement is entered into when a system or organization processes information for the purpose of conducting a matching program; links: - href: '#pt-8_smt.b' rel: assessment-for links: - href: '#pt-8_smt.b' rel: assessment-for - id: pt-8_obj.c name: assessment-objective props: - name: label value: PT-08c. class: sp800-53a prose: a matching notice is published in the Federal Register when a system or organization processes information for the purpose of conducting a matching program; links: - href: '#pt-8_smt.c' rel: assessment-for - id: pt-8_obj.d name: assessment-objective props: - name: label value: PT-08d. class: sp800-53a prose: the information produced by the matching program is independently verified before taking adverse action against an individual, if required, when a system or organization processes information for the purpose of conducting a matching program; links: - href: '#pt-8_smt.d' rel: assessment-for - id: pt-8_obj.e name: assessment-objective props: - name: label value: PT-08e. class: sp800-53a parts: - id: pt-8_obj.e-1 name: assessment-objective props: - name: label value: PT-08e.[01] class: sp800-53a prose: individuals are provided with notice when a system or organization processes information for the purpose of conducting a matching program; links: - href: '#pt-8_smt.e' rel: assessment-for - id: pt-8_obj.e-2 name: assessment-objective props: - name: label value: PT-08e.[02] class: sp800-53a prose: individuals are provided with an opportunity to contest the findings before adverse action is taken against them when a system or organization processes information for the purpose of conducting a matching program. links: - href: '#pt-8_smt.e' rel: assessment-for links: - href: '#pt-8_smt.e' rel: assessment-for links: - href: '#pt-8_smt' rel: assessment-for - id: pt-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: PT-08-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Personally identifiable information processing and transparency policy and procedures privacy notice Privacy Act system of records Federal Register notices Data Integrity Board determinations contracts information sharing agreements memoranda of understanding governing requirements privacy plan other relevant documents or records - id: pt-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: PT-08-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with personally identifiable information processing and transparency responsibilities organizational personnel with information security and privacy responsibilities - id: pt-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: PT-08-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for supporting and/or implementing personally identifiable information processing matching program - 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 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 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 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: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: label value: RA-01c.02 class: sp800-53a parts: - id: ra-1_obj.c.2-1 name: assessment-objective props: - name: label value: RA-01c.02[01] class: sp800-53a prose: 'the current risk assessment procedures are reviewed and updated {{ insert: param, ra-01_odp.07 }};' links: - href: '#ra-1_smt.c.2' rel: assessment-for - id: ra-1_obj.c.2-2 name: assessment-objective props: - name: label value: RA-01c.02[02] class: sp800-53a prose: 'the current risk assessment procedures are reviewed and updated following {{ insert: param, ra-01_odp.08 }}.' links: - href: '#ra-1_smt.c.2' rel: assessment-for links: - href: '#ra-1_smt.c.2' rel: assessment-for links: - href: '#ra-1_smt.c' rel: assessment-for links: - href: '#ra-1_smt' rel: assessment-for - id: ra-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-01-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Risk assessment policy and procedures system security plan privacy plan other relevant documents or records - id: ra-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-01-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with risk assessment responsibilities organizational personnel with security and privacy responsibilities - id: ra-2 class: SP800-53 title: Security Categorization props: - name: label value: RA-02 class: zero-padded - name: label value: RA-2 - name: label value: RA-02 class: sp800-53a - name: sort-id value: ra-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#599fb53d-5041-444e-a7fe-640d6d30ad05' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a' rel: reference - href: '#9be5d661-421f-41ad-854e-86f98b811891' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#4e4fbc93-333d-45e6-a875-de36b878b6b9' rel: reference - href: '#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94' rel: reference - href: '#cm-8' rel: related - href: '#mp-4' rel: related - href: '#pl-2' rel: related - href: '#pl-10' rel: related - href: '#pl-11' rel: related - href: '#pm-7' rel: related - href: '#ra-3' rel: related - href: '#ra-5' rel: related - href: '#ra-7' rel: related - href: '#ra-8' rel: related - href: '#sa-8' rel: related - href: '#sc-7' rel: related - href: '#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: label value: a. prose: Categorize the system and information it processes, stores, and transmits; - id: ra-2_smt.b name: item props: - 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: 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: 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: 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: 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 controls: - id: ra-2.1 class: SP800-53-enhancement title: Impact-level Prioritization props: - name: label value: RA-02(01) class: zero-padded - name: label value: RA-2(1) - name: label value: RA-02(01) class: sp800-53a - name: sort-id value: ra-02.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#ra-2' rel: required parts: - id: ra-2.1_smt name: statement prose: Conduct an impact-level prioritization of organizational systems to obtain additional granularity on system impact levels. - id: ra-2.1_gdn name: guidance prose: 'Organizations apply the "high-water mark" concept to each system categorized in accordance with [FIPS 199](#628d22a1-6a11-4784-bc59-5cd9497b5445) , resulting in systems designated as low impact, moderate impact, or high impact. Organizations that desire additional granularity in the system impact designations for risk-based decision-making, can further partition the systems into sub-categories of the initial system categorization. For example, an impact-level prioritization on a moderate-impact system can produce three new sub-categories: low-moderate systems, moderate-moderate systems, and high-moderate systems. Impact-level prioritization and the resulting sub-categories of the system give organizations an opportunity to focus their investments related to security control selection and the tailoring of control baselines in responding to identified risks. Impact-level prioritization can also be used to determine those systems that may be of heightened interest or value to adversaries or represent a critical loss to the federal enterprise, sometimes described as high value assets. For such high value assets, organizations may be more focused on complexity, aggregation, and information exchanges. Systems with high value assets can be prioritized by partitioning high-impact systems into low-high systems, moderate-high systems, and high-high systems. Alternatively, organizations can apply the guidance in [CNSSI 1253](#4e4fbc93-333d-45e6-a875-de36b878b6b9) for security objective-related categorization.' - id: ra-2.1_obj name: assessment-objective props: - name: label value: RA-02(01) class: sp800-53a prose: an impact-level prioritization of organizational systems is conducted to obtain additional granularity on system impact levels. links: - href: '#ra-2.1_smt' rel: assessment-for - id: ra-2.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-02(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Risk assessment policy security and privacy 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-2.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-02(01)-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-2.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-02(01)-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 select: choice: - security and privacy plans - risk assessment report - '{{ insert: param, ra-03_odp.02 }} ' - 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 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 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: '#cm-13' rel: related - href: '#cp-6' rel: related - href: '#cp-7' rel: related - href: '#ia-8' rel: related - href: '#ma-5' rel: related - href: '#pe-3' rel: related - href: '#pe-8' rel: related - href: '#pe-18' rel: related - href: '#pl-2' rel: related - href: '#pl-10' rel: related - href: '#pl-11' rel: related - href: '#pm-8' rel: related - href: '#pm-9' rel: related - href: '#pm-28' rel: related - href: '#pt-2' rel: related - href: '#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: '#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: 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: 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: label value: c. prose: 'Document risk assessment results in {{ insert: param, ra-03_odp.01 }};' - id: ra-3_smt.d name: item props: - name: label value: d. prose: 'Review risk assessment results {{ insert: param, ra-03_odp.03 }};' - id: ra-3_smt.e name: item props: - 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: 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_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: 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: 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: 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: 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: 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: 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: 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: label value: RA-03f. class: sp800-53a prose: 'the risk assessment is updated {{ insert: param, ra-03_odp.05 }} or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system.' links: - href: '#ra-3_smt.f' rel: assessment-for links: - href: '#ra-3_smt' rel: assessment-for - id: ra-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-03-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Risk assessment policy risk assessment procedures security and privacy planning policy and procedures procedures addressing organizational assessments of risk risk assessment risk assessment results risk assessment reviews risk assessment updates system security plan privacy plan other relevant documents or records - id: ra-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-03-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with risk assessment responsibilities organizational personnel with security and privacy responsibilities - id: ra-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-03-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for risk assessment mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the risk assessment controls: - id: ra-3.1 class: SP800-53-enhancement title: Supply Chain Risk Assessment params: - id: ra-03.01_odp.01 props: - name: alt-identifier value: ra-3.1_prm_1 - name: label value: RA-03(01)_ODP[01] class: sp800-53a label: systems, system components, and system services guidelines: - prose: systems, system components, and system services to assess supply chain risks are defined; - id: ra-03.01_odp.02 props: - name: alt-identifier value: ra-3.1_prm_2 - name: label value: RA-03(01)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to update the supply chain risk assessment is defined; props: - name: label value: RA-03(01) class: zero-padded - name: label value: RA-3(1) - name: label value: RA-03(01) class: sp800-53a - name: sort-id value: ra-03.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ra-3' rel: required - href: '#ra-2' rel: related - href: '#ra-9' rel: related - href: '#pm-17' rel: related - href: '#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: 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: 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: 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: 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-3.2 class: SP800-53-enhancement title: Use of All-source Intelligence props: - name: label value: RA-03(02) class: zero-padded - name: label value: RA-3(2) - name: label value: RA-03(02) class: sp800-53a - name: sort-id value: ra-03.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ra-3' rel: required parts: - id: ra-3.2_smt name: statement prose: Use all-source intelligence to assist in the analysis of risk. - id: ra-3.2_gdn name: guidance prose: Organizations employ all-source intelligence to inform engineering, acquisition, and risk management decisions. All-source intelligence consists of information derived from all available sources, including publicly available or open-source information, measurement and signature intelligence, human intelligence, signals intelligence, and imagery intelligence. All-source intelligence is used to analyze the risk of vulnerabilities (both intentional and unintentional) from development, manufacturing, and delivery processes, people, and the environment. The risk analysis may be performed on suppliers at multiple tiers in the supply chain sufficient to manage risks. Organizations may develop agreements to share all-source intelligence information or resulting decisions with other organizations, as appropriate. - id: ra-3.2_obj name: assessment-objective props: - name: label value: RA-03(02) class: sp800-53a prose: all-source intelligence is used to assist in the analysis of risk. links: - href: '#ra-3.2_smt' rel: assessment-for - id: ra-3.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-03(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Risk assessment policy security planning policy and procedures procedures addressing organizational assessments of risk risk assessment risk assessment results risk assessment reviews risk assessment updates risk intelligence reports system security plan other relevant documents or records - id: ra-3.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-03(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with risk assessment responsibilities organizational personnel with security responsibilities - id: ra-3.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-03(02)-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 - id: ra-3.3 class: SP800-53-enhancement title: Dynamic Threat Awareness params: - id: ra-03.03_odp props: - name: alt-identifier value: ra-3.3_prm_1 - name: label value: RA-03(03)_ODP class: sp800-53a label: means guidelines: - prose: means to determine the current cyber threat environment on an ongoing basis; props: - name: label value: RA-03(03) class: zero-padded - name: label value: RA-3(3) - name: label value: RA-03(03) class: sp800-53a - name: sort-id value: ra-03.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ra-3' rel: required - href: '#at-2' rel: related parts: - id: ra-3.3_smt name: statement prose: 'Determine the current cyber threat environment on an ongoing basis using {{ insert: param, ra-03.03_odp }}.' - id: ra-3.3_gdn name: guidance prose: The threat awareness information that is gathered feeds into the organization’s information security operations to ensure that procedures are updated in response to the changing threat environment. For example, at higher threat levels, organizations may change the privilege or authentication thresholds required to perform certain operations. - id: ra-3.3_obj name: assessment-objective props: - name: label value: RA-03(03) class: sp800-53a prose: 'the current cyber threat environment is determined on an ongoing basis using {{ insert: param, ra-03.03_odp }}.' links: - href: '#ra-3.3_smt' rel: assessment-for - id: ra-3.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-03(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Risk assessment policy security planning policy and procedures procedures addressing organizational assessments of risk risk assessment risk assessment results risk assessment reviews risk assessment updates risk reports system security plan other relevant documents or records - id: ra-3.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-03(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with risk assessment responsibilities organizational personnel with security responsibilities - id: ra-3.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-03(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 - id: ra-3.4 class: SP800-53-enhancement title: Predictive Cyber Analytics params: - id: ra-3.4_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ra-03.04_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: ra-03.04_odp.03 label: organization-defined advanced automation and analytics capabilities - id: ra-03.04_odp.01 props: - name: label value: RA-03(04)_ODP[01] class: sp800-53a label: advanced automation capabilities guidelines: - prose: advanced automation capabilities to predict and identify risks are defined; - id: ra-03.04_odp.02 props: - name: alt-identifier value: ra-3.4_prm_1 - name: label value: RA-03(04)_ODP[02] class: sp800-53a label: systems or system components guidelines: - prose: systems or system components where advanced automation and analytics capabilities are to be employed are defined; - id: ra-03.04_odp.03 props: - name: label value: RA-03(04)_ODP[03] class: sp800-53a label: advanced analytics capabilities guidelines: - prose: advanced analytics capabilities to predict and identify risks are defined; props: - name: label value: RA-03(04) class: zero-padded - name: label value: RA-3(4) - name: label value: RA-03(04) class: sp800-53a - name: sort-id value: ra-03.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ra-3' rel: required parts: - id: ra-3.4_smt name: statement prose: 'Employ the following advanced automation and analytics capabilities to predict and identify risks to {{ insert: param, ra-03.04_odp.02 }}: {{ insert: param, ra-3.4_prm_2 }}.' - id: ra-3.4_gdn name: guidance prose: A properly resourced Security Operations Center (SOC) or Computer Incident Response Team (CIRT) may be overwhelmed by the volume of information generated by the proliferation of security tools and appliances unless it employs advanced automation and analytics to analyze the data. Advanced automation and analytics capabilities are typically supported by artificial intelligence concepts, including machine learning. Examples include Automated Threat Discovery and Response (which includes broad-based collection, context-based analysis, and adaptive response capabilities), automated workflow operations, and machine assisted decision tools. Note, however, that sophisticated adversaries may be able to extract information related to analytic parameters and retrain the machine learning to classify malicious activity as benign. Accordingly, machine learning is augmented by human monitoring to ensure that sophisticated adversaries are not able to conceal their activities. - id: ra-3.4_obj name: assessment-objective props: - name: label value: RA-03(04) class: sp800-53a parts: - id: ra-3.4_obj-1 name: assessment-objective props: - name: label value: RA-03(04)[01] class: sp800-53a prose: '{{ insert: param, ra-03.04_odp.01 }} are employed to predict and identify risks to {{ insert: param, ra-03.04_odp.02 }};' links: - href: '#ra-3.4_smt' rel: assessment-for - id: ra-3.4_obj-2 name: assessment-objective props: - name: label value: RA-03(04)[02] class: sp800-53a prose: '{{ insert: param, ra-03.04_odp.03 }} are employed to predict and identify risks to {{ insert: param, ra-03.04_odp.02 }}.' links: - href: '#ra-3.4_smt' rel: assessment-for links: - href: '#ra-3.4_smt' rel: assessment-for - id: ra-3.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-03(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Risk assessment policy security planning policy and procedures procedures addressing organizational assessments of risk risk assessment risk assessment results risk assessment reviews risk assessment updates risk reports system security plan other relevant documents or records - id: ra-3.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-03(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with risk assessment responsibilities organizational personnel with security responsibilities - id: ra-3.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-03(04)-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 - id: ra-4 class: SP800-53 title: Risk Assessment Update props: - name: label value: RA-04 class: zero-padded - name: label value: RA-4 - name: label value: RA-04 class: sp800-53a - name: sort-id value: ra-04 - name: status value: withdrawn links: - href: '#ra-3' rel: incorporated-into - 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 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 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 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: label value: RA-05 class: zero-padded - name: label value: RA-5 - name: label value: RA-05 class: sp800-53a - name: sort-id value: ra-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#8df72805-2e5c-4731-a73e-81db0f0318d0' rel: reference - href: '#155f941a-cba9-4afd-9ca6-5d040d697ba9' rel: reference - href: '#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d' rel: reference - href: '#4895b4cd-34c5-4667-bf8a-27d443c12047' rel: reference - href: '#122177fa-c4ed-485d-8345-3082c0fb9a06' rel: reference - href: '#8016d2ed-d30f-4416-9c45-0f42c7aa3232' rel: reference - href: '#aa5d04e0-6090-4e17-84d4-b9963d55fc2c' rel: reference - href: '#d2ebec9b-f868-4ee1-a2bd-0b2282aed248' rel: reference - href: '#4c501da5-9d79-4cb6-ba80-97260e1ce327' rel: reference - href: '#ca-2' rel: related - href: '#ca-7' rel: related - href: '#ca-8' rel: related - href: '#cm-2' rel: related - href: '#cm-4' rel: related - href: '#cm-6' rel: related - href: '#cm-8' rel: related - href: '#ra-2' rel: related - href: '#ra-3' rel: related - href: '#sa-11' rel: related - href: '#sa-15' rel: related - href: '#sc-38' rel: related - href: '#si-2' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related - href: '#sr-11' rel: related parts: - id: ra-5_smt name: statement parts: - id: ra-5_smt.a name: item props: - name: 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: 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: label value: c. prose: Analyze vulnerability scan reports and results from vulnerability monitoring; - id: ra-5_smt.d name: item props: - 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: 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: 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_obj name: assessment-objective props: - name: label value: RA-05 class: sp800-53a parts: - id: ra-5_obj.a name: assessment-objective props: - 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: 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: 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: 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: 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: 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: 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: 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: 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-5.1 class: SP800-53-enhancement title: Update Tool Capability props: - name: label value: RA-05(01) class: zero-padded - name: label value: RA-5(1) - name: label value: RA-05(01) class: sp800-53a - name: sort-id value: ra-05.01 - name: status value: withdrawn links: - href: '#ra-5' rel: incorporated-into - 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 select: how-many: one-or-more choice: - '{{ insert: param, ra-05.02_odp.02 }} ' - prior to a new scan - when new vulnerabilities are identified and reported - 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: 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 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: label value: RA-05(02) class: sp800-53a prose: 'the system vulnerabilities to be scanned are updated {{ insert: param, ra-05.02_odp.01 }}.' links: - href: '#ra-5.2_smt' rel: assessment-for - id: ra-5.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-05(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Procedures addressing vulnerability scanning assessment report vulnerability scanning tools and associated configuration documentation vulnerability scanning results patch and vulnerability management records system security plan other relevant documents or records - id: ra-5.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-05(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with vulnerability scanning responsibilities organizational personnel with vulnerability scan analysis responsibilities organizational personnel with security responsibilities system/network administrators - id: ra-5.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-05(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for vulnerability scanning mechanisms/tools supporting and/or implementing vulnerability scanning - id: ra-5.3 class: SP800-53-enhancement title: Breadth and Depth of Coverage props: - name: label value: RA-05(03) class: zero-padded - name: label value: RA-5(3) - name: label value: RA-05(03) class: sp800-53a - name: sort-id value: ra-05.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ra-5' rel: required parts: - id: ra-5.3_smt name: statement prose: Define the breadth and depth of vulnerability scanning coverage. - id: ra-5.3_gdn name: guidance prose: The breadth of vulnerability scanning coverage can be expressed as a percentage of components within the system, by the particular types of systems, by the criticality of systems, or by the number of vulnerabilities to be checked. Conversely, the depth of vulnerability scanning coverage can be expressed as the level of the system design that the organization intends to monitor (e.g., component, module, subsystem, element). Organizations can determine the sufficiency of vulnerability scanning coverage with regard to its risk tolerance and other factors. Scanning tools and how the tools are configured may affect the depth and coverage. Multiple scanning tools may be needed to achieve the desired depth and coverage. [SP 800-53A](#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d) provides additional information on the breadth and depth of coverage. - id: ra-5.3_obj name: assessment-objective props: - name: label value: RA-05(03) class: sp800-53a prose: the breadth and depth of vulnerability scanning coverage are defined. links: - href: '#ra-5.3_smt' rel: assessment-for - id: ra-5.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-05(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Procedures addressing vulnerability scanning assessment report vulnerability scanning tools and associated configuration documentation vulnerability scanning results patch and vulnerability management records system security plan other relevant documents or records - id: ra-5.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-05(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with vulnerability scanning responsibilities organizational personnel with vulnerability scan analysis responsibilities organizational personnel with security responsibilities - id: ra-5.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-05(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for vulnerability scanning mechanisms/tools supporting and/or implementing vulnerability scanning - id: ra-5.4 class: SP800-53-enhancement title: Discoverable Information params: - id: ra-05.04_odp props: - name: alt-identifier value: ra-5.4_prm_1 - name: label value: RA-05(04)_ODP class: sp800-53a label: corrective actions guidelines: - prose: corrective actions to be taken if information about the system is discoverable are defined; props: - name: label value: RA-05(04) class: zero-padded - name: label value: RA-5(4) - name: label value: RA-05(04) class: sp800-53a - name: sort-id value: ra-05.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ra-5' rel: required - href: '#au-13' rel: related - href: '#sc-26' rel: related parts: - id: ra-5.4_smt name: statement prose: 'Determine information about the system that is discoverable and take {{ insert: param, ra-05.04_odp }}.' - id: ra-5.4_gdn name: guidance prose: Discoverable information includes information that adversaries could obtain without compromising or breaching the system, such as by collecting information that the system is exposing or by conducting extensive web searches. Corrective actions include notifying appropriate organizational personnel, removing designated information, or changing the system to make the designated information less relevant or attractive to adversaries. This enhancement excludes intentionally discoverable information that may be part of a decoy capability (e.g., honeypots, honeynets, or deception nets) deployed by the organization. - id: ra-5.4_obj name: assessment-objective props: - name: label value: RA-05(04) class: sp800-53a parts: - id: ra-5.4_obj-1 name: assessment-objective props: - name: label value: RA-05(04)[01] class: sp800-53a prose: information about the system is discoverable; links: - href: '#ra-5.4_smt' rel: assessment-for - id: ra-5.4_obj-2 name: assessment-objective props: - name: label value: RA-05(04)[02] class: sp800-53a prose: '{{ insert: param, ra-05.04_odp }} are taken when information about the system is confirmed as discoverable.' links: - href: '#ra-5.4_smt' rel: assessment-for links: - href: '#ra-5.4_smt' rel: assessment-for - id: ra-5.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-05(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Procedures addressing vulnerability scanning assessment report penetration test results vulnerability scanning results risk assessment report records of corrective actions taken incident response records audit records system security plan other relevant documents or records - id: ra-5.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-05(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with vulnerability scanning and/or penetration testing responsibilities organizational personnel with vulnerability scan analysis responsibilities organizational personnel responsible for risk response organizational personnel responsible for incident management and response organizational personnel with security responsibilities - id: ra-5.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-05(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for vulnerability scanning organizational processes for risk response organizational processes for incident management and response mechanisms/tools supporting and/or implementing vulnerability scanning mechanisms supporting and/or implementing risk response mechanisms supporting and/or implementing incident management and response - id: ra-5.5 class: SP800-53-enhancement title: Privileged Access params: - id: ra-05.05_odp.01 props: - name: alt-identifier value: ra-5.5_prm_1 - name: label value: RA-05(05)_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components to which privileged access is authorized for selected vulnerability scanning activities are defined; - id: ra-05.05_odp.02 props: - name: alt-identifier value: ra-5.5_prm_2 - name: label value: RA-05(05)_ODP[02] class: sp800-53a label: vulnerability scanning activities guidelines: - prose: vulnerability scanning activities selected for privileged access authorization to system components are defined; props: - name: label value: RA-05(05) class: zero-padded - name: label value: RA-5(5) - name: label value: RA-05(05) class: sp800-53a - name: sort-id value: ra-05.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ra-5' rel: required parts: - id: ra-5.5_smt name: statement prose: 'Implement privileged access authorization to {{ insert: param, ra-05.05_odp.01 }} for {{ insert: param, ra-05.05_odp.02 }}.' - id: ra-5.5_gdn name: guidance prose: In certain situations, the nature of the vulnerability scanning may be more intrusive, or the system component that is the subject of the scanning may contain classified or controlled unclassified information, such as personally identifiable information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and protects the sensitive nature of such scanning. - id: ra-5.5_obj name: assessment-objective props: - name: label value: RA-05(05) class: sp800-53a prose: 'privileged access authorization is implemented to {{ insert: param, ra-05.05_odp.01 }} for {{ insert: param, ra-05.05_odp.02 }}.' links: - href: '#ra-5.5_smt' rel: assessment-for - id: ra-5.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-05(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Risk assessment policy procedures addressing vulnerability scanning system design documentation system configuration settings and associated documentation list of system components for vulnerability scanning personnel access authorization list authorization credentials access authorization records system security plan other relevant documents or records - id: ra-5.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-05(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with vulnerability scanning responsibilities system/network administrators organizational personnel responsible for access control to the system organizational personnel responsible for configuration management of the system system developers organizational personnel with security responsibilities - id: ra-5.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-05(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for vulnerability scanning organizational processes for access control mechanisms supporting and/or implementing access control mechanisms/tools supporting and/or implementing vulnerability scanning - id: ra-5.6 class: SP800-53-enhancement title: Automated Trend Analyses params: - id: ra-05.06_odp props: - name: alt-identifier value: ra-5.6_prm_1 - name: label value: RA-05(06)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms to compare the results of multiple vulnerability scans are defined; props: - name: label value: RA-05(06) class: zero-padded - name: label value: RA-5(6) - name: label value: RA-05(06) class: sp800-53a - name: sort-id value: ra-05.06 - 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: '#ra-5' rel: required parts: - id: ra-5.6_smt name: statement prose: 'Compare the results of multiple vulnerability scans using {{ insert: param, ra-05.06_odp }}.' - id: ra-5.6_gdn name: guidance prose: Using automated mechanisms to analyze multiple vulnerability scans over time can help determine trends in system vulnerabilities and identify patterns of attack. - id: ra-5.6_obj name: assessment-objective props: - name: label value: RA-05(06) class: sp800-53a prose: 'the results of multiple vulnerability scans are compared using {{ insert: param, ra-05.06_odp }}.' links: - href: '#ra-5.6_smt' rel: assessment-for - id: ra-5.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-05(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Risk assessment policy procedures addressing vulnerability scanning system design documentation vulnerability scanning tools and techniques documentation vulnerability scanning results system security plan other relevant documents or records - id: ra-5.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-05(06)-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-5.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-05(06)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for vulnerability scanning automated mechanisms/tools supporting and/or implementing vulnerability scanning automated mechanisms supporting and/or implementing trend analysis of vulnerability scan results - id: ra-5.7 class: SP800-53-enhancement title: Automated Detection and Notification of Unauthorized Components props: - name: label value: RA-05(07) class: zero-padded - name: label value: RA-5(7) - name: label value: RA-05(07) class: sp800-53a - name: sort-id value: ra-05.07 - name: status value: withdrawn links: - href: '#cm-8' rel: incorporated-into - id: ra-5.8 class: SP800-53-enhancement title: Review Historic Audit Logs params: - id: ra-05.08_odp.01 props: - name: alt-identifier value: ra-5.8_prm_1 - name: label value: RA-05(08)_ODP[01] class: sp800-53a label: system guidelines: - prose: a system whose historic audit logs are to be reviewed is defined; - id: ra-05.08_odp.02 props: - name: alt-identifier value: ra-5.8_prm_2 - name: label value: RA-05(08)_ODP[02] class: sp800-53a label: time period guidelines: - prose: a time period for a potential previous exploit of a system is defined; props: - name: label value: RA-05(08) class: zero-padded - name: label value: RA-5(8) - name: label value: RA-05(08) class: sp800-53a - name: sort-id value: ra-05.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ra-5' rel: required - href: '#au-6' rel: related - href: '#au-11' rel: related parts: - id: ra-5.8_smt name: statement prose: 'Review historic audit logs to determine if a vulnerability identified in a {{ insert: param, ra-05.08_odp.01 }} has been previously exploited within an {{ insert: param, ra-05.08_odp.02 }}.' - id: ra-5.8_gdn name: guidance prose: Reviewing historic audit logs to determine if a recently detected vulnerability in a system has been previously exploited by an adversary can provide important information for forensic analyses. Such analyses can help identify, for example, the extent of a previous intrusion, the trade craft employed during the attack, organizational information exfiltrated or modified, mission or business capabilities affected, and the duration of the attack. - id: ra-5.8_obj name: assessment-objective props: - name: label value: RA-05(08) class: sp800-53a prose: 'historic audit logs are reviewed to determine if a vulnerability identified in a {{ insert: param, ra-05.08_odp.01 }} has been previously exploited within {{ insert: param, ra-05.08_odp.02 }}.' links: - href: '#ra-5.8_smt' rel: assessment-for - id: ra-5.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-05(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Risk assessment policy procedures addressing vulnerability scanning audit logs records of audit log reviews vulnerability scanning results patch and vulnerability management records system security plan other relevant documents or records - id: ra-5.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-05(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with vulnerability scanning responsibilities organizational personnel with vulnerability scan analysis responsibilities organizational personnel with audit record review responsibilities system/network administrators organizational personnel with security responsibilities - id: ra-5.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-05(08)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for vulnerability scanning organizational process for audit record review and response mechanisms/tools supporting and/or implementing vulnerability scanning mechanisms supporting and/or implementing audit record review - id: ra-5.9 class: SP800-53-enhancement title: Penetration Testing and Analyses props: - name: label value: RA-05(09) class: zero-padded - name: label value: RA-5(9) - name: label value: RA-05(09) class: sp800-53a - name: sort-id value: ra-05.09 - name: status value: withdrawn links: - href: '#ca-8' rel: incorporated-into - id: ra-5.10 class: SP800-53-enhancement title: Correlate Scanning Information props: - name: label value: RA-05(10) class: zero-padded - name: label value: RA-5(10) - name: label value: RA-05(10) class: sp800-53a - name: sort-id value: ra-05.10 - 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: '#ra-5' rel: required parts: - id: ra-5.10_smt name: statement prose: Correlate the output from vulnerability scanning tools to determine the presence of multi-vulnerability and multi-hop attack vectors. - id: ra-5.10_gdn name: guidance prose: An attack vector is a path or means by which an adversary can gain access to a system in order to deliver malicious code or exfiltrate information. Organizations can use attack trees to show how hostile activities by adversaries interact and combine to produce adverse impacts or negative consequences to systems and organizations. Such information, together with correlated data from vulnerability scanning tools, can provide greater clarity regarding multi-vulnerability and multi-hop attack vectors. The correlation of vulnerability scanning information is especially important when organizations are transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). During such transitions, some system components may inadvertently be unmanaged and create opportunities for adversary exploitation. - id: ra-5.10_obj name: assessment-objective props: - name: label value: RA-05(10) class: sp800-53a prose: the output from vulnerability scanning tools is correlated to determine the presence of multi-vulnerability and multi-hop attack vectors. links: - href: '#ra-5.10_smt' rel: assessment-for - id: ra-5.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-05(10)-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 event/vulnerability correlation logs system security plan other relevant documents or records - id: ra-5.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-05(10)-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-5.10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-05(10)-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 correlation of vulnerability scan results - 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 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: 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-6 class: SP800-53 title: Technical Surveillance Countermeasures Survey params: - id: ra-06_odp.01 props: - name: alt-identifier value: ra-6_prm_1 - name: label value: RA-06_ODP[01] class: sp800-53a label: locations guidelines: - prose: locations to employ technical surveillance countermeasure surveys are defined; - id: ra-06_odp.02 props: - name: alt-identifier value: ra-6_prm_2 - name: label value: RA-06_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - '{{ insert: param, ra-06_odp.03 }} ' - 'when {{ insert: param, ra-06_odp.04 }} ' - id: ra-06_odp.03 props: - name: alt-identifier value: ra-6_prm_3 - name: label value: RA-06_ODP[03] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to employ technical surveillance countermeasure surveys is defined (if selected); - id: ra-06_odp.04 props: - name: alt-identifier value: ra-6_prm_4 - name: label value: RA-06_ODP[04] class: sp800-53a label: events or indicators guidelines: - prose: events or indicators which, if they occur, trigger a technical surveillance countermeasures survey are defined (if selected); props: - name: label value: RA-06 class: zero-padded - name: label value: RA-6 - name: label value: RA-06 class: sp800-53a - name: sort-id value: ra-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" parts: - id: ra-6_smt name: statement prose: 'Employ a technical surveillance countermeasures survey at {{ insert: param, ra-06_odp.01 }} {{ insert: param, ra-06_odp.02 }}.' - id: ra-6_gdn name: guidance prose: A technical surveillance countermeasures survey is a service provided by qualified personnel to detect the presence of technical surveillance devices and hazards and to identify technical security weaknesses that could be used in the conduct of a technical penetration of the surveyed facility. Technical surveillance countermeasures surveys also provide evaluations of the technical security posture of organizations and facilities and include visual, electronic, and physical examinations of surveyed facilities, internally and externally. The surveys also provide useful input for risk assessments and information regarding organizational exposure to potential adversaries. - id: ra-6_obj name: assessment-objective props: - name: label value: RA-06 class: sp800-53a prose: 'a technical surveillance countermeasures survey is employed at {{ insert: param, ra-06_odp.01 }} {{ insert: param, ra-06_odp.02 }}.' links: - href: '#ra-6_smt' rel: assessment-for - id: ra-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-06-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Risk assessment policy procedures addressing technical surveillance countermeasures surveys audit records/event logs system security plan other relevant documents or records - id: ra-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-06-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with technical surveillance countermeasures surveys responsibilities system/network administrators organizational personnel with security responsibilities - id: ra-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-06-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for technical surveillance countermeasures surveys mechanisms/tools supporting and/or implementing technical surveillance countermeasure surveys - id: ra-7 class: SP800-53 title: Risk Response props: - name: label value: RA-07 class: zero-padded - name: label value: RA-7 - name: label value: RA-07 class: sp800-53a - name: sort-id value: ra-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#599fb53d-5041-444e-a7fe-640d6d30ad05' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#ca-5' rel: related - href: '#ir-9' rel: related - href: '#pm-4' rel: related - href: '#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 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: label value: RA-07 class: sp800-53a parts: - id: ra-7_obj-1 name: assessment-objective props: - name: label value: RA-07[01] class: sp800-53a prose: findings from security assessments are responded to in accordance with organizational risk tolerance; links: - href: '#ra-7_smt' rel: assessment-for - id: ra-7_obj-2 name: assessment-objective props: - name: label value: RA-07[02] class: sp800-53a prose: findings from privacy assessments are responded to in accordance with organizational risk tolerance; links: - href: '#ra-7_smt' rel: assessment-for - id: ra-7_obj-3 name: assessment-objective props: - name: label value: RA-07[03] class: sp800-53a prose: findings from monitoring are responded to in accordance with organizational risk tolerance; links: - href: '#ra-7_smt' rel: assessment-for - id: ra-7_obj-4 name: assessment-objective props: - name: label value: RA-07[04] class: sp800-53a prose: findings from audits are responded to in accordance with organizational risk tolerance. links: - href: '#ra-7_smt' rel: assessment-for links: - href: '#ra-7_smt' rel: assessment-for - id: ra-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-07-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Risk assessment policy assessment reports audit records/event logs system security plan privacy plan other relevant documents or records - id: ra-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-07-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with assessment and auditing responsibilities system/network administrators organizational personnel with security and privacy responsibilities - id: ra-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-07-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for assessments and audits mechanisms/tools supporting and/or implementing assessments and auditing - id: ra-8 class: SP800-53 title: Privacy Impact Assessments props: - name: label value: RA-08 class: zero-padded - name: label value: RA-8 - name: label value: RA-08 class: sp800-53a - name: sort-id value: ra-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: '#7b0b9634-741a-4335-b6fa-161228c3a76e' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#d229ae60-51dd-4d7b-a8bf-1f7195cc7561' rel: reference - href: '#cm-4' rel: related - href: '#cm-9' rel: related - href: '#cm-13' rel: related - href: '#pt-2' rel: related - href: '#pt-3' rel: related - href: '#pt-5' rel: related - href: '#ra-1' rel: related - href: '#ra-2' rel: related - href: '#ra-3' rel: related - href: '#ra-7' rel: related parts: - id: ra-8_smt name: statement prose: 'Conduct privacy impact assessments for systems, programs, or other activities before:' parts: - id: ra-8_smt.a name: item props: - name: label value: a. prose: Developing or procuring information technology that processes personally identifiable information; and - id: ra-8_smt.b name: item props: - name: label value: b. prose: 'Initiating a new collection of personally identifiable information that:' parts: - id: ra-8_smt.b.1 name: item props: - name: label value: "1." prose: Will be processed using information technology; and - id: ra-8_smt.b.2 name: item props: - name: label value: "2." prose: Includes personally identifiable information permitting the physical or virtual (online) contacting of a specific individual, if identical questions have been posed to, or identical reporting requirements imposed on, ten or more individuals, other than agencies, instrumentalities, or employees of the federal government. - id: ra-8_gdn name: guidance prose: |- A privacy impact assessment is an analysis of how personally identifiable information is handled to ensure that handling conforms to applicable privacy requirements, determine the privacy risks associated with an information system or activity, and evaluate ways to mitigate privacy risks. A privacy impact assessment is both an analysis and a formal document that details the process and the outcome of the analysis. Organizations conduct and develop a privacy impact assessment with sufficient clarity and specificity to demonstrate that the organization fully considered privacy and incorporated appropriate privacy protections from the earliest stages of the organization’s activity and throughout the information life cycle. In order to conduct a meaningful privacy impact assessment, the organization’s senior agency official for privacy works closely with program managers, system owners, information technology experts, security officials, counsel, and other relevant organization personnel. Moreover, a privacy impact assessment is not a time-restricted activity that is limited to a particular milestone or stage of the information system or personally identifiable information life cycles. Rather, the privacy analysis continues throughout the system and personally identifiable information life cycles. Accordingly, a privacy impact assessment is a living document that organizations update whenever changes to the information technology, changes to the organization’s practices, or other factors alter the privacy risks associated with the use of such information technology. To conduct the privacy impact assessment, organizations can use security and privacy risk assessments. Organizations may also use other related processes that may have different names, including privacy threshold analyses. A privacy impact assessment can also serve as notice to the public regarding the organization’s practices with respect to privacy. Although conducting and publishing privacy impact assessments may be required by law, organizations may develop such policies in the absence of applicable laws. For federal agencies, privacy impact assessments may be required by [EGOV](#7b0b9634-741a-4335-b6fa-161228c3a76e) ; agencies should consult with their senior agency official for privacy and legal counsel on this requirement and be aware of the statutory exceptions and OMB guidance relating to the provision. - id: ra-8_obj name: assessment-objective props: - name: label value: RA-08 class: sp800-53a parts: - id: ra-8_obj.a name: assessment-objective props: - name: label value: RA-08a. class: sp800-53a prose: privacy impact assessments are conducted for systems, programs, or other activities before developing or procuring information technology that processes personally identifiable information; links: - href: '#ra-8_smt.a' rel: assessment-for - id: ra-8_obj.b name: assessment-objective props: - name: label value: RA-08b. class: sp800-53a parts: - id: ra-8_obj.b-1 name: assessment-objective props: - name: label value: RA-08b.[01] class: sp800-53a prose: privacy impact assessments are conducted for systems, programs, or other activities before initiating a collection of personally identifiable information that will be processed using information technology; links: - href: '#ra-8_smt.b' rel: assessment-for - id: ra-8_obj.b-2 name: assessment-objective props: - name: label value: RA-08b.[02] class: sp800-53a prose: privacy impact assessments are conducted for systems, programs, or other activities before initiating a collection of personally identifiable information that includes personally identifiable information permitting the physical or virtual (online) contacting of a specific individual, if identical questions have been posed to, or identical reporting requirements imposed on, ten or more individuals, other than agencies, instrumentalities, or employees of the federal government. links: - href: '#ra-8_smt.b' rel: assessment-for links: - href: '#ra-8_smt.b' rel: assessment-for links: - href: '#ra-8_smt' rel: assessment-for - id: ra-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-08-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Risk assessment policy security and privacy risk assessment reports acquisitions documents system security plan privacy plan other relevant documents or records - id: ra-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-08-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with assessment and auditing responsibilities system/network administrators system developers program managers legal counsel organizational personnel with security and privacy responsibilities - id: ra-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-08-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for assessments and audits mechanisms/tools supporting and/or implementing assessments and auditing - id: ra-9 class: SP800-53 title: Criticality Analysis params: - id: ra-09_odp.01 props: - name: alt-identifier value: ra-9_prm_1 - name: label value: RA-09_ODP[01] class: sp800-53a label: systems, system components, or system services guidelines: - prose: systems, system components, or system services to be analyzed for criticality are defined; - id: ra-09_odp.02 props: - name: alt-identifier value: ra-9_prm_2 - name: label value: RA-09_ODP[02] class: sp800-53a label: decision points in the system development life cycle guidelines: - prose: decision points in the system development life cycle when a criticality analysis is to be performed are defined; props: - name: label value: RA-09 class: zero-padded - name: label value: RA-9 - name: label value: RA-09 class: sp800-53a - name: sort-id value: ra-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#d4296805-2dca-4c63-a95f-eeccaa826aec' rel: reference - href: '#cp-2' rel: related - href: '#pl-2' rel: related - href: '#pl-8' rel: related - href: '#pl-11' rel: related - href: '#pm-1' rel: related - href: '#pm-11' rel: related - href: '#ra-2' rel: related - href: '#sa-8' rel: related - href: '#sa-15' rel: related - href: '#sa-20' rel: related - href: '#sr-5' rel: related parts: - id: ra-9_smt name: statement prose: 'Identify critical system components and functions by performing a criticality analysis for {{ insert: param, ra-09_odp.01 }} at {{ insert: param, ra-09_odp.02 }}.' - id: ra-9_gdn name: guidance prose: |- Not all system components, functions, or services necessarily require significant protections. For example, criticality analysis is a key tenet of supply chain risk management and informs the prioritization of protection activities. The identification of critical system components and functions considers applicable laws, executive orders, regulations, directives, policies, standards, system functionality requirements, system and component interfaces, and system and component dependencies. Systems engineers conduct a functional decomposition of a system to identify mission-critical functions and components. The functional decomposition includes the identification of organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and external to the system. The operational environment of a system or a system component may impact the criticality, including the connections to and dependencies on cyber-physical systems, devices, system-of-systems, and outsourced IT services. System components that allow unmediated access to critical system components or functions are considered critical due to the inherent vulnerabilities that such components create. Component and function criticality are assessed in terms of the impact of a component or function failure on the organizational missions that are supported by the system that contains the components and functions. Criticality analysis is performed when an architecture or design is being developed, modified, or upgraded. If such analysis is performed early in the system development life cycle, organizations may be able to modify the system design to reduce the critical nature of these components and functions, such as by adding redundancy or alternate paths into the system design. Criticality analysis can also influence the protection measures required by development contractors. In addition to criticality analysis for systems, system components, and system services, criticality analysis of information is an important consideration. Such analysis is conducted as part of security categorization in [RA-2](#ra-2). - id: ra-9_obj name: assessment-objective props: - name: label value: RA-09 class: sp800-53a prose: 'critical system components and functions are identified by performing a criticality analysis for {{ insert: param, ra-09_odp.01 }} at {{ insert: param, ra-09_odp.02 }}.' links: - href: '#ra-9_smt' rel: assessment-for - id: ra-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-09-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Risk assessment policy assessment reports criticality analysis/finalized criticality for each component/subcomponent audit records/event logs analysis reports system security plan other relevant documents or records - id: ra-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-09-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with assessment and auditing responsibilities organizational personnel with criticality analysis responsibilities system/network administrators organizational personnel with security responsibilities - id: ra-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-09-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for assessments and audits mechanisms/tools supporting and/or implementing assessments and auditing - id: ra-10 class: SP800-53 title: Threat Hunting params: - id: ra-10_odp props: - name: alt-identifier value: ra-10_prm_1 - name: label value: RA-10_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency at which to employ the threat hunting capability is defined; props: - name: label value: RA-10 class: zero-padded - name: label value: RA-10 - name: label value: RA-10 class: sp800-53a - name: sort-id value: ra-10 - 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: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#ca-2' rel: related - href: '#ca-7' rel: related - href: '#ca-8' rel: related - href: '#ra-3' rel: related - href: '#ra-5' rel: related - href: '#ra-6' rel: related - href: '#si-4' rel: related parts: - id: ra-10_smt name: statement parts: - id: ra-10_smt.a name: item props: - name: label value: a. prose: 'Establish and maintain a cyber threat hunting capability to:' parts: - id: ra-10_smt.a.1 name: item props: - name: label value: "1." prose: Search for indicators of compromise in organizational systems; and - id: ra-10_smt.a.2 name: item props: - name: label value: "2." prose: Detect, track, and disrupt threats that evade existing controls; and - id: ra-10_smt.b name: item props: - name: label value: b. prose: 'Employ the threat hunting capability {{ insert: param, ra-10_odp }}.' - id: ra-10_gdn name: guidance prose: Threat hunting is an active means of cyber defense in contrast to traditional protection measures, such as firewalls, intrusion detection and prevention systems, quarantining malicious code in sandboxes, and Security Information and Event Management technologies and systems. Cyber threat hunting involves proactively searching organizational systems, networks, and infrastructure for advanced threats. The objective is to track and disrupt cyber adversaries as early as possible in the attack sequence and to measurably improve the speed and accuracy of organizational responses. Indications of compromise include unusual network traffic, unusual file changes, and the presence of malicious code. Threat hunting teams leverage existing threat intelligence and may create new threat intelligence, which is shared with peer organizations, Information Sharing and Analysis Organizations (ISAO), Information Sharing and Analysis Centers (ISAC), and relevant government departments and agencies. - id: ra-10_obj name: assessment-objective props: - name: label value: RA-10 class: sp800-53a parts: - id: ra-10_obj.a name: assessment-objective props: - name: label value: RA-10a. class: sp800-53a parts: - id: ra-10_obj.a.1 name: assessment-objective props: - name: label value: RA-10a.01 class: sp800-53a prose: a cyber threat capability is established and maintained to search for indicators of compromise in organizational systems; links: - href: '#ra-10_smt.a.1' rel: assessment-for - id: ra-10_obj.a.2 name: assessment-objective props: - name: label value: RA-10a.02 class: sp800-53a prose: a cyber threat capability is established and maintained to detect, track, and disrupt threats that evade existing controls; links: - href: '#ra-10_smt.a.2' rel: assessment-for links: - href: '#ra-10_smt.a' rel: assessment-for - id: ra-10_obj.b name: assessment-objective props: - name: label value: RA-10b. class: sp800-53a prose: 'the threat hunting capability is employed {{ insert: param, ra-10_odp }}.' links: - href: '#ra-10_smt.b' rel: assessment-for links: - href: '#ra-10_smt' rel: assessment-for - id: ra-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: RA-10-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Risk assessment policy assessment reports audit records/event logs threat hunting capability system security plan other relevant documents or records - id: ra-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: RA-10-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with threat hunting responsibilities system/network administrators organizational personnel with security responsibilities - id: ra-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: RA-10-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for assessments and audits mechanisms/tools supporting and/or implementing threat hunting capabilities - 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 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 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 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: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: '#pl-7' rel: related - href: '#pm-3' rel: related - href: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: '#pm-7' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-11' rel: related - href: '#sa-15' rel: related - href: '#sa-17' rel: related - href: '#sa-22' rel: related - href: '#sr-3' rel: related - href: '#sr-4' rel: related - href: '#sr-5' rel: related - href: '#sr-9' rel: related parts: - id: sa-3_smt name: statement parts: - id: sa-3_smt.a name: item props: - name: 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: 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: label value: c. prose: Identify individuals having information security and privacy roles and responsibilities; and - id: sa-3_smt.d name: item props: - 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: 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: 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: 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: 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: 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: 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: 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: 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 controls: - id: sa-3.1 class: SP800-53-enhancement title: Manage Preproduction Environment props: - name: label value: SA-03(01) class: zero-padded - name: label value: SA-3(1) - name: label value: SA-03(01) class: sp800-53a - name: sort-id value: sa-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: '#sa-3' rel: required - href: '#cm-2' rel: related - href: '#cm-4' rel: related - href: '#ra-3' rel: related - href: '#ra-9' rel: related - href: '#sa-4' rel: related parts: - id: sa-3.1_smt name: statement prose: Protect system preproduction environments commensurate with risk throughout the system development life cycle for the system, system component, or system service. - id: sa-3.1_gdn name: guidance prose: The preproduction environment includes development, test, and integration environments. The program protection planning processes established by the Department of Defense are examples of managing the preproduction environment for defense contractors. Criticality analysis and the application of controls on developers also contribute to a more secure system development environment. - id: sa-3.1_obj name: assessment-objective props: - name: label value: SA-03(01) class: sp800-53a prose: system pre-production environments are protected commensurate with risk throughout the system development life cycle for the system, system component, or system service. links: - href: '#sa-3.1_smt' rel: assessment-for - id: sa-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the integration of security and supply chain risk management into the system development life cycle process system development life cycle documentation procedures addressing program protection planning criticality analysis results security and supply chain risk management strategy/program documentation system security plan supply chain risk management plan other relevant documents or records - id: sa-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with security and system life cycle development responsibilities organizational personnel with information security responsibilities - id: sa-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-03(01)-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 process for integrating security risk management into the system development life cycle mechanisms supporting and/or implementing the system development life cycle - id: sa-3.2 class: SP800-53-enhancement title: Use of Live or Operational Data props: - name: label value: SA-03(02) class: zero-padded - name: label value: SA-3(2) - name: label value: SA-03(02) class: sp800-53a - name: sort-id value: sa-03.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-3' rel: required - href: '#pm-25' rel: related - href: '#ra-3' rel: related parts: - id: sa-3.2_smt name: statement parts: - id: sa-3.2_smt.a name: item props: - name: label value: (a) prose: Approve, document, and control the use of live data in preproduction environments for the system, system component, or system service; and - id: sa-3.2_smt.b name: item props: - name: label value: (b) prose: Protect preproduction environments for the system, system component, or system service at the same impact or classification level as any live data in use within the preproduction environments. - id: sa-3.2_gdn name: guidance prose: Live data is also referred to as operational data. The use of live or operational data in preproduction (i.e., development, test, and integration) environments can result in significant risks to organizations. In addition, the use of personally identifiable information in testing, research, and training increases the risk of unauthorized disclosure or misuse of such information. Therefore, it is important for the organization to manage any additional risks that may result from the use of live or operational data. Organizations can minimize such risks by using test or dummy data during the design, development, and testing of systems, system components, and system services. Risk assessment techniques may be used to determine if the risk of using live or operational data is acceptable. - id: sa-3.2_obj name: assessment-objective props: - name: label value: SA-03(02) class: sp800-53a parts: - id: sa-3.2_obj.a name: assessment-objective props: - name: label value: SA-03(02)a. class: sp800-53a parts: - id: sa-3.2_obj.a-1 name: assessment-objective props: - name: label value: SA-03(02)a.[01] class: sp800-53a prose: the use of live data in pre-production environments is approved for the system, system component, or system service; links: - href: '#sa-3.2_smt.a' rel: assessment-for - id: sa-3.2_obj.a-2 name: assessment-objective props: - name: label value: SA-03(02)a.[02] class: sp800-53a prose: the use of live data in pre-production environments is documented for the system, system component, or system service; links: - href: '#sa-3.2_smt.a' rel: assessment-for - id: sa-3.2_obj.a-3 name: assessment-objective props: - name: label value: SA-03(02)a.[03] class: sp800-53a prose: the use of live data in pre-production environments is controlled for the system, system component, or system service; links: - href: '#sa-3.2_smt.a' rel: assessment-for links: - href: '#sa-3.2_smt.a' rel: assessment-for - id: sa-3.2_obj.b name: assessment-objective props: - name: label value: SA-03(02)b. class: sp800-53a prose: pre-production environments for the system, system component, or system service are protected at the same impact or classification level as any live data in use within the pre-production environments. links: - href: '#sa-3.2_smt.b' rel: assessment-for links: - href: '#sa-3.2_smt' rel: assessment-for - id: sa-3.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-03(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing the integration of security and privacy into the system development life cycle process system development life cycle documentation security risk assessment documentation privacy impact assessment privacy risk assessment documentation system security plan privacy plan data mapping documentation personally identifiable information processing policy procedures addressing the authority to test with personally identifiable information procedures addressing the minimization of personally identifiable information used in testing, training, and research other relevant documents or records - id: sa-3.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-03(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy responsibility organizational personnel with system life cycle development responsibilities - id: sa-3.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-03(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes the use of live data in pre-production environments mechanisms for protecting live data in pre-production environments - id: sa-3.3 class: SP800-53-enhancement title: Technology Refresh props: - name: label value: SA-03(03) class: zero-padded - name: label value: SA-3(3) - name: label value: SA-03(03) class: sp800-53a - name: sort-id value: sa-03.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-3' rel: required - href: '#ma-6' rel: related parts: - id: sa-3.3_smt name: statement prose: Plan for and implement a technology refresh schedule for the system throughout the system development life cycle. - id: sa-3.3_gdn name: guidance prose: Technology refresh planning may encompass hardware, software, firmware, processes, personnel skill sets, suppliers, service providers, and facilities. The use of obsolete or nearing obsolete technology may increase the security and privacy risks associated with unsupported components, counterfeit or repurposed components, components unable to implement security or privacy requirements, slow or inoperable components, components from untrusted sources, inadvertent personnel error, or increased complexity. Technology refreshes typically occur during the operations and maintenance stage of the system development life cycle. - id: sa-3.3_obj name: assessment-objective props: - name: label value: SA-03(03) class: sp800-53a parts: - id: sa-3.3_obj-1 name: assessment-objective props: - name: label value: SA-03(03)[01] class: sp800-53a prose: a technology refresh schedule is planned for the system throughout the system development life cycle; links: - href: '#sa-3.3_smt' rel: assessment-for - id: sa-3.3_obj-2 name: assessment-objective props: - name: label value: SA-03(03)[02] class: sp800-53a prose: a technology refresh schedule is implemented for the system throughout the system development life cycle. links: - href: '#sa-3.3_smt' rel: assessment-for links: - href: '#sa-3.3_smt' rel: assessment-for - id: sa-3.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-03(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing technology refresh planning and implementation system development life cycle documentation technology refresh schedule security risk assessment documentation privacy impact assessment privacy risk assessment documentation system security plan privacy plan other relevant documents or records - id: sa-3.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-03(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 - id: sa-3.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-03(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 security and privacy risk management into the system development life cycle mechanisms supporting and/or implementing the system development life cycle - id: sa-4 class: SP800-53 title: Acquisition Process params: - id: sa-04_odp.01 props: - name: alt-identifier value: sa-4_prm_1 - name: label value: SA-04_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - standardized contract language - '{{ insert: param, sa-04_odp.02 }} ' - id: sa-04_odp.02 props: - name: alt-identifier value: sa-4_prm_2 - name: label value: SA-04_ODP[02] class: sp800-53a label: contract language guidelines: - prose: contract language is defined (if selected); props: - name: label value: SA-04 class: zero-padded - name: label value: SA-4 - name: label value: SA-04 class: sp800-53a - name: sort-id value: sa-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#18e71fec-c6fd-475a-925a-5d8495cf8455' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#6afc1b04-c9d6-4023-adbc-f8fbe33a3c73' rel: reference - href: '#87087451-2af5-43d4-88c1-d66ad850f614' rel: reference - href: '#4452efc0-e79e-47b8-aa30-b54f3ef61c2f' rel: reference - href: '#06ce9216-bd54-4054-a422-94f358b50a5d' rel: reference - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#7ba1d91c-3934-4d5a-8532-b32f864ad34c' rel: reference - href: '#77faf0bc-c394-44ad-9154-bbac3b79c8ad' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#4895b4cd-34c5-4667-bf8a-27d443c12047' rel: reference - href: '#858705be-3c1f-48aa-a328-0ce398d95ef0' rel: reference - href: '#067223d8-1ec7-45c5-b21b-c848da6de8fb' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#e8e84963-14fc-4c3a-be05-b412a5d37cd2' rel: reference - href: '#15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c' rel: reference - href: '#e24b06cc-9129-4998-a76a-65c3d7a576ba' rel: reference - href: '#4b38e961-1125-4a5b-aa35-1d6c02846dad' rel: reference - href: '#604774da-9e1d-48eb-9c62-4e959dc80737' rel: reference - href: '#98d415ca-7281-4064-9931-0c366637e324' rel: reference - href: '#795aff72-3e6c-4b6b-a80a-b14d84b7f544' rel: reference - href: '#3d575737-98cb-459d-b41c-d7e82b73ad78' rel: reference - href: '#cm-6' rel: related - href: '#cm-8' rel: related - href: '#ps-7' rel: related - href: '#sa-3' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-11' rel: related - href: '#sa-15' rel: related - href: '#sa-16' rel: related - href: '#sa-17' rel: related - href: '#sa-21' rel: related - href: '#sr-3' rel: related - href: '#sr-5' rel: related parts: - id: sa-4_smt name: statement prose: 'Include the following requirements, descriptions, and criteria, explicitly or by reference, using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service:' parts: - id: sa-4_smt.a name: item props: - name: label value: a. prose: Security and privacy functional requirements; - id: sa-4_smt.b name: item props: - name: label value: b. prose: Strength of mechanism requirements; - id: sa-4_smt.c name: item props: - name: label value: c. prose: Security and privacy assurance requirements; - id: sa-4_smt.d name: item props: - name: label value: d. prose: Controls needed to satisfy the security and privacy requirements. - id: sa-4_smt.e name: item props: - name: label value: e. prose: Security and privacy documentation requirements; - id: sa-4_smt.f name: item props: - name: label value: f. prose: Requirements for protecting security and privacy documentation; - id: sa-4_smt.g name: item props: - 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: 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: 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_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: 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: 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: 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: 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: 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: 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: 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: label value: SA-04i. class: sp800-53a prose: 'acceptance criteria requirements and descriptions are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service.' links: - href: '#sa-4_smt.i' rel: assessment-for links: - href: '#sa-4_smt' rel: assessment-for - id: sa-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-04-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process configuration management plan acquisition contracts for the system, system component, or system service system design documentation system security plan supply chain risk management plan privacy plan other relevant documents or records - id: sa-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-04-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with acquisition/contracting responsibilities organizational personnel with information security and privacy responsibilities system/network administrators organizational personnel with supply chain risk management responsibilities - id: sa-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-04-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for determining system security and privacy functional, strength, and assurance requirements organizational processes for developing acquisition contracts mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts controls: - id: sa-4.1 class: SP800-53-enhancement title: Functional Properties of Controls props: - name: label value: SA-04(01) class: zero-padded - name: label value: SA-4(1) - name: label value: SA-04(01) class: sp800-53a - name: sort-id value: sa-04.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-4' rel: required parts: - id: sa-4.1_smt name: statement prose: Require the developer of the system, system component, or system service to provide a description of the functional properties of the controls to be implemented. - id: sa-4.1_gdn name: guidance prose: Functional properties of security and privacy controls describe the functionality (i.e., security or privacy capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls. - id: sa-4.1_obj name: assessment-objective props: - name: label value: SA-04(01) class: sp800-53a prose: the developer of the system, system component, or system service is required to provide a description of the functional properties of the controls to be implemented. links: - href: '#sa-4.1_smt' rel: assessment-for - id: sa-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing the integration of security and privacy requirements, descriptions, and criteria into the acquisition process solicitation documents acquisition documentation acquisition contracts for the system, system component, or system services system security plan privacy plan other relevant documents or records - id: sa-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with acquisition/contracting responsibilities organizational personnel with information security and privacy responsibilities system developers - id: sa-4.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-04(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for determining system security functional requirements organizational processes for developing acquisition contracts mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts - id: sa-4.2 class: SP800-53-enhancement title: Design and Implementation Information for Controls params: - id: sa-04.02_odp.01 props: - name: alt-identifier value: sa-4.2_prm_1 - name: label value: SA-04(02)_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - security-relevant external system interfaces - high-level design - low-level design - source code or hardware schematics - '{{ insert: param, sa-04.02_odp.02 }} ' - id: sa-04.02_odp.02 props: - name: alt-identifier value: sa-4.2_prm_2 - name: label value: SA-04(02)_ODP[02] class: sp800-53a label: design and implementation information guidelines: - prose: design and implementation information is defined (if selected); - id: sa-04.02_odp.03 props: - name: alt-identifier value: sa-4.2_prm_3 - name: label value: SA-04(02)_ODP[03] class: sp800-53a label: level of detail guidelines: - prose: level of detail is defined; props: - name: label value: SA-04(02) class: zero-padded - name: label value: SA-4(2) - name: label value: SA-04(02) class: sp800-53a - name: sort-id value: sa-04.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-4' rel: required parts: - id: sa-4.2_smt name: statement prose: 'Require the developer of the system, system component, or system service to provide design and implementation information for the controls that includes: {{ insert: param, sa-04.02_odp.01 }} at {{ insert: param, sa-04.02_odp.03 }}.' - id: sa-4.2_gdn name: guidance prose: Organizations may require different levels of detail in the documentation for the design and implementation of controls in organizational systems, system components, or system services based on mission and business requirements, requirements for resiliency and trustworthiness, and requirements for analysis and testing. Systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules and the interfaces between modules providing security-relevant functionality. Design and implementation documentation can include manufacturer, version, serial number, verification hash signature, software libraries used, date of purchase or download, and the vendor or download source. Source code and hardware schematics are referred to as the implementation representation of the system. - id: sa-4.2_obj name: assessment-objective props: - name: label value: SA-04(02) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to provide design and implementation information for the controls that includes using {{ insert: param, sa-04.02_odp.01 }} at {{ insert: param, sa-04.02_odp.03 }}.' links: - href: '#sa-4.2_smt' rel: assessment-for - id: sa-4.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-04(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process solicitation documents acquisition documentation acquisition contracts for the system, system components, or system services design and implementation information for controls employed in the system, system component, or system service system security plan other relevant documents or records - id: sa-4.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-04(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with acquisition/contracting responsibilities organizational personnel with the responsibility to determine system security requirements system developers or service provider organizational personnel with information security responsibilities - id: sa-4.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-04(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for determining the level of detail for system design and controls organizational processes for developing acquisition contracts mechanisms supporting and/or implementing the development of system design details - id: sa-4.3 class: SP800-53-enhancement title: Development Methods, Techniques, and Practices params: - id: sa-04.03_odp.01 props: - name: alt-identifier value: sa-4.3_prm_1 - name: label value: SA-04(03)_ODP[01] class: sp800-53a label: systems engineering methods guidelines: - prose: systems engineering methods are defined; - id: sa-04.03_odp.02 props: - name: alt-identifier value: sa-4.3_prm_2 - name: alt-label value: '[Selection (one or more): systems security; privacy] engineering methods' class: sp800-53 - name: label value: SA-04(03)_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - '{{ insert: param, sa-04.03_odp.03 }} ' - '{{ insert: param, sa-04.03_odp.04 }} ' - id: sa-04.03_odp.03 props: - name: label value: SA-04(03)_ODP[03] class: sp800-53a label: system security engineering methods guidelines: - prose: system security engineering methods are defined (if selected); - id: sa-04.03_odp.04 props: - name: label value: SA-04(03)_ODP[04] class: sp800-53a label: privacy engineering methods guidelines: - prose: privacy engineering methods are defined (if selected); - id: sa-04.03_odp.05 props: - name: alt-identifier value: sa-4.3_prm_3 - name: alt-label value: software development methods; testing, evaluation, assessment, verification, and validation methods; and quality control processes class: sp800-53 - name: label value: SA-04(03)_ODP[05] class: sp800-53a select: how-many: one-or-more choice: - '{{ insert: param, sa-04.03_odp.06 }} ' - '{{ insert: param, sa-04.03_odp.07 }} ' - '{{ insert: param, sa-04.03_odp.08 }} ' - id: sa-04.03_odp.06 props: - name: label value: SA-04(03)_ODP[06] class: sp800-53a label: software development methods guidelines: - prose: software development methods are defined (if selected); - id: sa-04.03_odp.07 props: - name: label value: SA-04(03)_ODP[07] class: sp800-53a label: testing, evaluation, assessment, verification, and validation methods guidelines: - prose: testing, evaluation, assessment, verification, and validation methods are defined (if selected); - id: sa-04.03_odp.08 props: - name: label value: SA-04(03)_ODP[08] class: sp800-53a label: quality control processes guidelines: - prose: quality control processes are defined (if selected); props: - name: label value: SA-04(03) class: zero-padded - name: label value: SA-4(3) - name: label value: SA-04(03) class: sp800-53a - name: sort-id value: sa-04.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-4' rel: required parts: - id: sa-4.3_smt name: statement prose: 'Require the developer of the system, system component, or system service to demonstrate the use of a system development life cycle process that includes:' parts: - id: sa-4.3_smt.a name: item props: - name: label value: (a) prose: '{{ insert: param, sa-04.03_odp.01 }};' - id: sa-4.3_smt.b name: item props: - name: label value: (b) prose: '{{ insert: param, sa-04.03_odp.02 }} ; and' - id: sa-4.3_smt.c name: item props: - name: label value: (c) prose: '{{ insert: param, sa-04.03_odp.05 }}.' - id: sa-4.3_gdn name: guidance prose: Following a system development life cycle that includes state-of-the-practice software development methods, systems engineering methods, systems security and privacy engineering methods, and quality control processes helps to reduce the number and severity of latent errors within systems, system components, and system services. Reducing the number and severity of such errors reduces the number of vulnerabilities in those systems, components, and services. Transparency in the methods and techniques that developers select and implement for systems engineering, systems security and privacy engineering, software development, component and system assessments, and quality control processes provides an increased level of assurance in the trustworthiness of the system, system component, or system service being acquired. - id: sa-4.3_obj name: assessment-objective props: - name: label value: SA-04(03) class: sp800-53a parts: - id: sa-4.3_obj.a name: assessment-objective props: - name: label value: SA-04(03)(a) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to demonstrate the use of a system development life cycle process that includes {{ insert: param, sa-04.03_odp.01 }};' links: - href: '#sa-4.3_smt.a' rel: assessment-for - id: sa-4.3_obj.b name: assessment-objective props: - name: label value: SA-04(03)(b) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to demonstrate the use of a system development life cycle process that includes {{ insert: param, sa-04.03_odp.02 }};' links: - href: '#sa-4.3_smt.b' rel: assessment-for - id: sa-4.3_obj.c name: assessment-objective props: - name: label value: SA-04(03)(c) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to demonstrate the use of a system development life cycle process that includes {{ insert: param, sa-04.03_odp.05 }}.' links: - href: '#sa-4.3_smt.c' rel: assessment-for links: - href: '#sa-4.3_smt' rel: assessment-for - id: sa-4.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-04(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 security and privacy requirements, descriptions, and criteria into the acquisition process solicitation documents acquisition documentation acquisition contracts for the system, system component, or system service list of systems security and privacy engineering methods to be included in the developer’s system development life cycle process list of software development methods to be included in the developer’s system development life cycle process list of testing, evaluation, or validation techniques to be included in the developer’s system development life cycle process list of quality control processes to be included in the developer’s system development life cycle process system security plan privacy plan other relevant documents or records - id: sa-4.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-04(03)-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 life cycle responsibilities system developers or service provider - id: sa-4.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-04(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for development methods, techniques, and processes - id: sa-4.4 class: SP800-53-enhancement title: Assignment of Components to Systems props: - name: label value: SA-04(04) class: zero-padded - name: label value: SA-4(4) - name: label value: SA-04(04) class: sp800-53a - name: sort-id value: sa-04.04 - name: status value: withdrawn links: - href: '#cm-8.9' rel: incorporated-into - id: sa-4.5 class: SP800-53-enhancement title: System, Component, and Service Configurations params: - id: sa-04.05_odp props: - name: alt-identifier value: sa-4.5_prm_1 - name: label value: SA-04(05)_ODP class: sp800-53a label: security configurations guidelines: - prose: security configurations for the system, component, or service are defined; props: - name: label value: SA-04(05) class: zero-padded - name: label value: SA-4(5) - name: label value: SA-04(05) class: sp800-53a - name: sort-id value: sa-04.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-4' rel: required parts: - id: sa-4.5_smt name: statement prose: 'Require the developer of the system, system component, or system service to:' parts: - id: sa-4.5_smt.a name: item props: - name: label value: (a) prose: 'Deliver the system, component, or service with {{ insert: param, sa-04.05_odp }} implemented; and' - id: sa-4.5_smt.b name: item props: - name: label value: (b) prose: Use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade. - id: sa-4.5_gdn name: guidance prose: Examples of security configurations include the U.S. Government Configuration Baseline (USGCB), Security Technical Implementation Guides (STIGs), and any limitations on functions, ports, protocols, and services. Security characteristics can include requiring that default passwords have been changed. - id: sa-4.5_obj name: assessment-objective props: - name: label value: SA-04(05) class: sp800-53a parts: - id: sa-4.5_obj.a name: assessment-objective props: - name: label value: SA-04(05)(a) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to deliver the system, component, or service with {{ insert: param, sa-04.05_odp }} implemented;' links: - href: '#sa-4.5_smt.a' rel: assessment-for - id: sa-4.5_obj.b name: assessment-objective props: - name: label value: SA-04(05)(b) class: sp800-53a prose: the configurations are used as the default for any subsequent system, component, or service reinstallation or upgrade. links: - href: '#sa-4.5_smt.b' rel: assessment-for links: - href: '#sa-4.5_smt' rel: assessment-for - id: sa-4.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-04(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process solicitation documents acquisition documentation acquisition contracts for the system, system component, or system service security configurations to be implemented by the developer of the system, system component, or system service service level agreements system security plan other relevant documents or records - id: sa-4.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-04(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with acquisition/contracting responsibilities organizational personnel with the responsibility to determine system security requirements system developers or service provider organizational personnel with information security responsibilities - id: sa-4.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-04(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms used to verify that the configuration of the system, component, or service is delivered as specified - id: sa-4.6 class: SP800-53-enhancement title: Use of Information Assurance Products props: - name: label value: SA-04(06) class: zero-padded - name: label value: SA-4(6) - name: label value: SA-04(06) class: sp800-53a - name: sort-id value: sa-04.06 - 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: '#sa-4' rel: required - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: sa-4.6_smt name: statement parts: - id: sa-4.6_smt.a name: item props: - name: label value: (a) prose: Employ only government off-the-shelf or commercial off-the-shelf information assurance and information assurance-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and - id: sa-4.6_smt.b name: item props: - name: label value: (b) prose: Ensure that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures. - id: sa-4.6_gdn name: guidance prose: Commercial off-the-shelf IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management. See [NSA CSFC](#3d575737-98cb-459d-b41c-d7e82b73ad78). - id: sa-4.6_obj name: assessment-objective props: - name: label value: SA-04(06) class: sp800-53a parts: - id: sa-4.6_obj.a name: assessment-objective props: - name: label value: SA-04(06)(a) class: sp800-53a prose: only government off-the-shelf or commercial off-the-shelf information assurance and information assurance-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted are employed; links: - href: '#sa-4.6_smt.a' rel: assessment-for - id: sa-4.6_obj.b name: assessment-objective props: - name: label value: SA-04(06)(b) class: sp800-53a prose: these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures. links: - href: '#sa-4.6_smt.b' rel: assessment-for links: - href: '#sa-4.6_smt' rel: assessment-for - id: sa-4.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-04(06)-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 documents acquisition documentation acquisition contracts for the system, system component, or system service security configurations to be implemented by the developer of the system, system component, or system service service level agreements list of deployed IT products/solutions NSA-approved list system security plan other relevant documents or records - id: sa-4.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-04(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with acquisition/contracting responsibilities organizational personnel with the responsibility to determine system security requirements organizational personnel responsible for ensuring information assurance products are NSA-approved and are evaluated and/or validated products in accordance with NSA-approved procedures organizational personnel with information security responsibilities - id: sa-4.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-04(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for selecting and employing evaluated and/or validated information assurance products and services that compose an NSA-approved solution to protect classified information - id: sa-4.7 class: SP800-53-enhancement title: 'NIAP-approved Protection Profiles ' props: - name: label value: SA-04(07) class: zero-padded - name: label value: SA-4(7) - name: label value: SA-04(07) class: sp800-53a - name: sort-id value: sa-04.07 - 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: '#sa-4' rel: required - href: '#ia-7' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: sa-4.7_smt name: statement parts: - id: sa-4.7_smt.a name: item props: - name: label value: (a) prose: Limit the use of commercially provided information assurance and information assurance-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and - id: sa-4.7_smt.b name: item props: - name: label value: (b) prose: Require, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated or NSA-approved. - id: sa-4.7_gdn name: guidance prose: See [NIAP CCEVS](#795aff72-3e6c-4b6b-a80a-b14d84b7f544) for additional information on NIAP. See [NIST CMVP](#1acdc775-aafb-4d11-9341-dc6a822e9d38) for additional information on FIPS-validated cryptographic modules. - id: sa-4.7_obj name: assessment-objective props: - name: label value: SA-04(07) class: sp800-53a parts: - id: sa-4.7_obj.a name: assessment-objective props: - name: label value: SA-04(07)(a) class: sp800-53a prose: the use of commercially provided information assurance and information assurance-enabled information technology products is limited to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; links: - href: '#sa-4.7_smt.a' rel: assessment-for - id: sa-4.7_obj.b name: assessment-objective props: - name: label value: SA-04(07)(b) class: sp800-53a prose: if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that cryptographic module is required to be FIPS-validated or NSA-approved. links: - href: '#sa-4.7_smt.b' rel: assessment-for links: - href: '#sa-4.7_smt' rel: assessment-for - id: sa-4.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-04(07)-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 documents acquisition documentation acquisition contracts for the system, system component, or system service list of deployed IT products/solutions NAIP-approved protection profiles FIPS-validation information for cryptographic functionality system security plan other relevant documents or records - id: sa-4.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-04(07)-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 responsible for ensuring that information assurance products have been evaluated against a NIAP-approved protection profile or for ensuring products relying on cryptographic functionality are FIPS-validated organizational personnel with information security responsibilities - id: sa-4.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-04(07)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for selecting and employing products/services evaluated against a NIAP-approved protection profile or FIPS-validated products - id: sa-4.8 class: SP800-53-enhancement title: Continuous Monitoring Plan for Controls props: - name: label value: SA-04(08) class: zero-padded - name: label value: SA-4(8) - name: label value: SA-04(08) class: sp800-53a - name: sort-id value: sa-04.08 - 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: '#sa-4' rel: required - href: '#ca-7' rel: related parts: - id: sa-4.8_smt name: statement prose: Require the developer of the system, system component, or system service to produce a plan for continuous monitoring of control effectiveness that is consistent with the continuous monitoring program of the organization. - id: sa-4.8_gdn name: guidance prose: The objective of continuous monitoring plans is to determine if the planned, required, and deployed controls within the system, system component, or system service continue to be effective over time based on the inevitable changes that occur. Developer continuous monitoring plans include a sufficient level of detail such that the information can be incorporated into continuous monitoring programs implemented by organizations. Continuous monitoring plans can include the types of control assessment and monitoring activities planned, frequency of control monitoring, and actions to be taken when controls fail or become ineffective. - id: sa-4.8_obj name: assessment-objective props: - name: label value: SA-04(08) class: sp800-53a prose: the developer of the system, system component, or system service is required to produce a plan for the continuous monitoring of control effectiveness that is consistent with the continuous monitoring program of the organization. links: - href: '#sa-4.8_smt' rel: assessment-for - id: sa-4.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-04(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing developer continuous monitoring plans procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process developer continuous monitoring plans security assessment plans acquisition contracts for the system, system component, or system service acquisition documentation solicitation documentation service level agreements system security plan other relevant documents or records - id: sa-4.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-04(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with acquisition/contracting responsibilities organizational personnel with the responsibility for determining system security requirements system developers organizational personnel with information security responsibilities - id: sa-4.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-04(08)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Vendor processes for continuous monitoring mechanisms supporting and/or implementing developer continuous monitoring - id: sa-4.9 class: SP800-53-enhancement title: Functions, Ports, Protocols, and Services in Use props: - name: label value: SA-04(09) class: zero-padded - name: label value: SA-4(9) - name: label value: SA-04(09) class: sp800-53a - name: sort-id value: sa-04.09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-4' rel: required - href: '#cm-7' rel: related - href: '#sa-9' rel: related parts: - id: sa-4.9_smt name: statement prose: Require the developer of the system, system component, or system service to identify the functions, ports, protocols, and services intended for organizational use. - id: sa-4.9_gdn name: guidance prose: The identification of functions, ports, protocols, and services early in the system development life cycle (e.g., during the initial requirements definition and design stages) allows organizations to influence the design of the system, system component, or system service. This early involvement in the system development life cycle helps organizations avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services or requiring system service providers to do so. Early identification of functions, ports, protocols, and services avoids costly retrofitting of controls after the system, component, or system service has been implemented. [SA-9](#sa-9) describes the requirements for external system services. Organizations identify which functions, ports, protocols, and services are provided from external sources. - id: sa-4.9_obj name: assessment-objective props: - name: label value: SA-04(09) class: sp800-53a parts: - id: sa-4.9_obj-1 name: assessment-objective props: - name: label value: SA-04(09)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to identify the functions intended for organizational use; links: - href: '#sa-4.9_smt' rel: assessment-for - id: sa-4.9_obj-2 name: assessment-objective props: - name: label value: SA-04(09)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to identify the ports intended for organizational use; links: - href: '#sa-4.9_smt' rel: assessment-for - id: sa-4.9_obj-3 name: assessment-objective props: - name: label value: SA-04(09)[03] class: sp800-53a prose: the developer of the system, system component, or system service is required to identify the protocols intended for organizational use; links: - href: '#sa-4.9_smt' rel: assessment-for - id: sa-4.9_obj-4 name: assessment-objective props: - name: label value: SA-04(09)[04] class: sp800-53a prose: the developer of the system, system component, or system service is required to identify the services intended for organizational use. links: - href: '#sa-4.9_smt' rel: assessment-for links: - href: '#sa-4.9_smt' rel: assessment-for - id: sa-4.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-04(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process system design documentation system documentation, including functions, ports, protocols, and services intended for organizational use acquisition contracts for systems or services acquisition documentation solicitation documentation service level agreements organizational security requirements, descriptions, and criteria for developers of systems, system components, and system services system security plan other relevant documents or records - id: sa-4.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-04(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with acquisition/contracting responsibilities organizational personnel with the responsibility for determining system security requirements system/network administrators organizational personnel operating, using, and/or maintaining the system system developers organizational personnel with information security responsibilities - id: sa-4.10 class: SP800-53-enhancement title: Use of Approved PIV Products props: - name: label value: SA-04(10) class: zero-padded - name: label value: SA-4(10) - name: label value: SA-04(10) class: sp800-53a - name: sort-id value: sa-04.10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-4' rel: required - href: '#ia-2' rel: related - href: '#ia-8' rel: related - href: '#pm-9' rel: related parts: - id: sa-4.10_smt name: statement 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: 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-4.11 class: SP800-53-enhancement title: System of Records params: - id: sa-04.11_odp props: - name: alt-identifier value: sa-4.11_prm_1 - name: label value: SA-04(11)_ODP class: sp800-53a label: Privacy Act requirements guidelines: - prose: Privacy Act requirements for the operation of a system of records are defined; props: - name: label value: SA-04(11) class: zero-padded - name: label value: SA-4(11) - name: label value: SA-04(11) class: sp800-53a - name: sort-id value: sa-04.11 - 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: '#sa-4' rel: required - href: '#pt-6' rel: related parts: - id: sa-4.11_smt name: statement prose: 'Include {{ insert: param, sa-04.11_odp }} in the acquisition contract for the operation of a system of records on behalf of an organization to accomplish an organizational mission or function.' - id: sa-4.11_gdn name: guidance prose: When, by contract, an organization provides for the operation of a system of records to accomplish an organizational mission or function, the organization, consistent with its authority, causes the requirements of the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) to be applied to the system of records. - id: sa-4.11_obj name: assessment-objective props: - name: label value: SA-04(11) class: sp800-53a prose: '{{ insert: param, sa-04.11_odp }} are defined in the acquisition contract for the operation of a system of records on behalf of an organization to accomplish an organizational mission or function.' links: - href: '#sa-4.11_smt' rel: assessment-for - id: sa-4.11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-04(11)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing the integration of Privacy Act requirements into systems of records operated by external organizations solicitation documentation acquisition documentation acquisition contracts for the system, system component, or system service service level agreements system security plan privacy plan personally identifiable information processing policy privacy program plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: sa-4.11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-04(11)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with acquisition responsibilities organizational personnel with information security and privacy responsibilities - id: sa-4.11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-04(11)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Contract management processes to verify Privacy Act requirements are defined for the operation of a system of records vendor processes for demonstrating incorporation of Privacy Act requirements in its operation of a system of records - id: sa-4.12 class: SP800-53-enhancement title: Data Ownership params: - id: sa-04.12_odp props: - name: alt-identifier value: sa-4.12_prm_1 - name: label value: SA-04(12)_ODP class: sp800-53a label: time frame guidelines: - prose: time frame to remove data from a contractor system and return it to the organization is defined; props: - name: label value: SA-04(12) class: zero-padded - name: label value: SA-4(12) - name: label value: SA-04(12) class: sp800-53a - name: sort-id value: sa-04.12 - 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: '#sa-4' rel: required parts: - id: sa-4.12_smt name: statement parts: - id: sa-4.12_smt.a name: item props: - name: label value: (a) prose: Include organizational data ownership requirements in the acquisition contract; and - id: sa-4.12_smt.b name: item props: - name: label value: (b) prose: 'Require all data to be removed from the contractor’s system and returned to the organization within {{ insert: param, sa-04.12_odp }}.' - id: sa-4.12_gdn name: guidance prose: Contractors who operate a system that contains data owned by an organization initiating the contract have policies and procedures in place to remove the data from their systems and/or return the data in a time frame defined by the contract. - id: sa-4.12_obj name: assessment-objective props: - name: label value: SA-04(12) class: sp800-53a parts: - id: sa-4.12_obj.a name: assessment-objective props: - name: label value: SA-04(12)(a) class: sp800-53a prose: organizational data ownership requirements are included in the acquisition contract; links: - href: '#sa-4.12_smt.a' rel: assessment-for - id: sa-4.12_obj.b name: assessment-objective props: - name: label value: SA-04(12)(b) class: sp800-53a prose: 'all data to be removed from the contractor’s system and returned to the organization is required within {{ insert: param, sa-04.12_odp }}.' links: - href: '#sa-4.12_smt.b' rel: assessment-for links: - href: '#sa-4.12_smt' rel: assessment-for - id: sa-4.12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-04(12)-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 requirements, descriptions, and criteria into the acquisition process procedures addressing the disposition of personally identifiable information solicitation documentation acquisition documentation acquisition contracts for the system or system service personally identifiable information processing policy service level agreements information sharing agreements memoranda of understanding system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: sa-4.12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-04(12)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with acquisition/contracting responsibilities organizational personnel with the responsibility for data management and processing requirements organizational personnel with information security and privacy responsibilities - id: sa-4.12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-04(12)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Contract management processes to verify that data is removed as required vendor processes for removing data in required timeframe mechanisms verifying the removal and return of data - 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 guidelines: - prose: personnel or roles to distribute system documentation to is/are defined; props: - name: label value: SA-05 class: zero-padded - name: label value: SA-5 - name: label value: SA-05 class: sp800-53a - name: sort-id value: sa-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#cm-4' rel: related - href: '#cm-6' rel: related - href: '#cm-7' rel: related - href: '#cm-8' rel: related - href: '#pl-2' rel: related - href: '#pl-4' rel: related - href: '#pl-8' rel: related - href: '#ps-2' rel: related - href: '#sa-3' rel: related - href: '#sa-4' rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: '#sa-10' rel: related - href: '#sa-11' rel: related - href: '#sa-15' rel: related - href: '#sa-16' rel: related - href: '#sa-17' rel: related - href: '#si-12' rel: related - href: '#sr-3' rel: related parts: - id: sa-5_smt name: statement parts: - id: sa-5_smt.a name: item props: - name: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 controls: - id: sa-5.1 class: SP800-53-enhancement title: Functional Properties of Security Controls props: - name: label value: SA-05(01) class: zero-padded - name: label value: SA-5(1) - name: label value: SA-05(01) class: sp800-53a - name: sort-id value: sa-05.01 - name: status value: withdrawn links: - href: '#sa-4.1' rel: incorporated-into - id: sa-5.2 class: SP800-53-enhancement title: Security-relevant External System Interfaces props: - name: label value: SA-05(02) class: zero-padded - name: label value: SA-5(2) - name: label value: SA-05(02) class: sp800-53a - name: sort-id value: sa-05.02 - name: status value: withdrawn links: - href: '#sa-4.2' rel: incorporated-into - id: sa-5.3 class: SP800-53-enhancement title: High-level Design props: - name: label value: SA-05(03) class: zero-padded - name: label value: SA-5(3) - name: label value: SA-05(03) class: sp800-53a - name: sort-id value: sa-05.03 - name: status value: withdrawn links: - href: '#sa-4.2' rel: incorporated-into - id: sa-5.4 class: SP800-53-enhancement title: Low-level Design props: - name: label value: SA-05(04) class: zero-padded - name: label value: SA-5(4) - name: label value: SA-05(04) class: sp800-53a - name: sort-id value: sa-05.04 - name: status value: withdrawn links: - href: '#sa-4.2' rel: incorporated-into - id: sa-5.5 class: SP800-53-enhancement title: Source Code props: - name: label value: SA-05(05) class: zero-padded - name: label value: SA-5(5) - name: label value: SA-05(05) class: sp800-53a - name: sort-id value: sa-05.05 - name: status value: withdrawn links: - href: '#sa-4.2' rel: incorporated-into - id: sa-6 class: SP800-53 title: Software Usage Restrictions props: - name: label value: SA-06 class: zero-padded - name: label value: SA-6 - name: label value: SA-06 class: sp800-53a - name: sort-id value: sa-06 - name: status value: withdrawn links: - href: '#cm-10' rel: incorporated-into - href: '#si-7' rel: incorporated-into - id: sa-7 class: SP800-53 title: User-installed Software props: - name: label value: SA-07 class: zero-padded - name: label value: SA-7 - name: label value: SA-07 class: sp800-53a - name: sort-id value: sa-07 - name: status value: withdrawn links: - href: '#cm-11' rel: incorporated-into - href: '#si-7' rel: incorporated-into - 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: '#pm-7' rel: related - href: '#ra-2' rel: related - href: '#ra-3' rel: related - href: '#ra-9' rel: related - href: '#sa-3' rel: related - href: '#sa-4' rel: related - href: '#sa-15' rel: related - href: '#sa-17' rel: related - href: '#sa-20' rel: related - href: '#sc-2' rel: related - href: '#sc-3' rel: related - href: '#sc-32' rel: related - href: '#sc-39' rel: related - href: '#sr-2' rel: related - href: '#sr-3' rel: related - href: '#sr-4' rel: related - href: '#sr-5' rel: related parts: - id: sa-8_smt name: statement 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 controls: - id: sa-8.1 class: SP800-53-enhancement title: Clear Abstractions props: - name: label value: SA-08(01) class: zero-padded - name: label value: SA-8(1) - name: label value: SA-08(01) class: sp800-53a - name: sort-id value: sa-08.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-8' rel: required parts: - id: sa-8.1_smt name: statement prose: Implement the security design principle of clear abstractions. - id: sa-8.1_gdn name: guidance prose: The principle of clear abstractions states that a system has simple, well-defined interfaces and functions that provide a consistent and intuitive view of the data and how the data is managed. The clarity, simplicity, necessity, and sufficiency of the system interfaces— combined with a precise definition of their functional behavior—promotes ease of analysis, inspection, and testing as well as the correct and secure use of the system. The clarity of an abstraction is subjective. Examples that reflect the application of this principle include avoidance of redundant, unused interfaces; information hiding; and avoidance of semantic overloading of interfaces or their parameters. Information hiding (i.e., representation-independent programming), is a design discipline used to ensure that the internal representation of information in one system component is not visible to another system component invoking or calling the first component, such that the published abstraction is not influenced by how the data may be managed internally. - id: sa-8.1_obj name: assessment-objective props: - name: label value: SA-08(01) class: sp800-53a prose: the security design principle of clear abstractions is implemented. links: - href: '#sa-8.1_smt' rel: assessment-for - id: sa-8.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of clear abstractions 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of clear abstractions to system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of clear abstractions to system specification, design, development, implementation, and modification - id: sa-8.2 class: SP800-53-enhancement title: Least Common Mechanism params: - id: sa-08.02_odp props: - name: alt-identifier value: sa-8.2_prm_1 - name: label value: SA-08(02)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of least common mechanism are defined; props: - name: label value: SA-08(02) class: zero-padded - name: label value: SA-8(2) - name: label value: SA-08(02) class: sp800-53a - name: sort-id value: sa-08.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-8' rel: required parts: - id: sa-8.2_smt name: statement prose: 'Implement the security design principle of least common mechanism in {{ insert: param, sa-08.02_odp }}.' - id: sa-8.2_gdn name: guidance prose: The principle of least common mechanism states that the amount of mechanism common to more than one user and depended on by all users is minimized [POPEK74](#79453f84-26a4-4995-8257-d32d37aefea3) . Mechanism minimization implies that different components of a system refrain from using the same mechanism to access a system resource. Every shared mechanism (especially a mechanism involving shared variables) represents a potential information path between users and is designed with care to ensure that it does not unintentionally compromise security [SALTZER75](#c9495d6e-ef64-4090-8509-e58c3b9009ff) . Implementing the principle of least common mechanism helps to reduce the adverse consequences of sharing the system state among different programs. A single program that corrupts a shared state (including shared variables) has the potential to corrupt other programs that are dependent on the state. The principle of least common mechanism also supports the principle of simplicity of design and addresses the issue of covert storage channels [LAMPSON73](#d1cdab13-4218-400d-91a9-c3818dfa5ec8). - id: sa-8.2_obj name: assessment-objective props: - name: label value: SA-08(02) class: sp800-53a prose: '{{ insert: param, sa-08.02_odp }} implement the security design principle of least common mechanism.' links: - href: '#sa-8.2_smt' rel: assessment-for - id: sa-8.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of least common mechanism 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of least common mechanism in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of least common mechanism in system specification, design, development, implementation, and modification - id: sa-8.3 class: SP800-53-enhancement title: Modularity and Layering params: - id: sa-8.3_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-08.03_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-08.03_odp.02 label: organization-defined systems or system components - id: sa-08.03_odp.01 props: - name: label value: SA-08(03)_ODP[01] class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of modularity are defined; - id: sa-08.03_odp.02 props: - name: label value: SA-08(03)_ODP[02] class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of layering are defined; props: - name: label value: SA-08(03) class: zero-padded - name: label value: SA-8(3) - name: label value: SA-08(03) class: sp800-53a - name: sort-id value: sa-08.03 - 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: '#sa-8' rel: required - href: '#sc-2' rel: related - href: '#sc-3' rel: related parts: - id: sa-8.3_smt name: statement prose: 'Implement the security design principles of modularity and layering in {{ insert: param, sa-8.3_prm_1 }}.' - id: sa-8.3_gdn name: guidance prose: The principles of modularity and layering are fundamental across system engineering disciplines. Modularity and layering derived from functional decomposition are effective in managing system complexity by making it possible to comprehend the structure of the system. Modular decomposition, or refinement in system design, is challenging and resists general statements of principle. Modularity serves to isolate functions and related data structures into well-defined logical units. Layering allows the relationships of these units to be better understood so that dependencies are clear and undesired complexity can be avoided. The security design principle of modularity extends functional modularity to include considerations based on trust, trustworthiness, privilege, and security policy. Security-informed modular decomposition includes the allocation of policies to systems in a network, separation of system applications into processes with distinct address spaces, allocation of system policies to layers, and separation of processes into subjects with distinct privileges based on hardware-supported privilege domains. - id: sa-8.3_obj name: assessment-objective props: - name: label value: SA-08(03) class: sp800-53a parts: - id: sa-8.3_obj-1 name: assessment-objective props: - name: label value: SA-08(03)[01] class: sp800-53a prose: '{{ insert: param, sa-08.03_odp.01 }} implement the security design principle of modularity;' links: - href: '#sa-8.3_smt' rel: assessment-for - id: sa-8.3_obj-2 name: assessment-objective props: - name: label value: SA-08(03)[02] class: sp800-53a prose: '{{ insert: param, sa-08.03_odp.02 }} implement the security design principle of layering.' links: - href: '#sa-8.3_smt' rel: assessment-for links: - href: '#sa-8.3_smt' rel: assessment-for - id: sa-8.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principles of modularity and layering 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principles of modularity and layering in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principles of modularity and layering in system specification, design, development, implementation, and modification mechanisms supporting and/or implementing an isolation boundary - id: sa-8.4 class: SP800-53-enhancement title: Partially Ordered Dependencies params: - id: sa-08.04_odp props: - name: alt-identifier value: sa-8.4_prm_1 - name: label value: SA-08(04)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of partially ordered dependencies are defined; props: - name: label value: SA-08(04) class: zero-padded - name: label value: SA-8(4) - name: label value: SA-08(04) class: sp800-53a - name: sort-id value: sa-08.04 - 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: '#sa-8' rel: required parts: - id: sa-8.4_smt name: statement prose: 'Implement the security design principle of partially ordered dependencies in {{ insert: param, sa-08.04_odp }}.' - id: sa-8.4_gdn name: guidance prose: The principle of partially ordered dependencies states that the synchronization, calling, and other dependencies in the system are partially ordered. A fundamental concept in system design is layering, whereby the system is organized into well-defined, functionally related modules or components. The layers are linearly ordered with respect to inter-layer dependencies, such that higher layers are dependent on lower layers. While providing functionality to higher layers, some layers can be self-contained and not dependent on lower layers. While a partial ordering of all functions in a given system may not be possible, if circular dependencies are constrained to occur within layers, the inherent problems of circularity can be more easily managed. Partially ordered dependencies and system layering contribute significantly to the simplicity and coherency of the system design. Partially ordered dependencies also facilitate system testing and analysis. - id: sa-8.4_obj name: assessment-objective props: - name: label value: SA-08(04) class: sp800-53a prose: '{{ insert: param, sa-08.04_odp }} implement the security design principle of partially ordered dependencies.' links: - href: '#sa-8.4_smt' rel: assessment-for - id: sa-8.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of partially ordered dependencies 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of partially ordered dependencies in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of partially ordered dependencies in system specification, design, development, implementation, and modification - id: sa-8.5 class: SP800-53-enhancement title: Efficiently Mediated Access params: - id: sa-08.05_odp props: - name: alt-identifier value: sa-8.5_prm_1 - name: label value: SA-08(05)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of efficiently mediated access are defined; props: - name: label value: SA-08(05) class: zero-padded - name: label value: SA-8(5) - name: label value: SA-08(05) class: sp800-53a - name: sort-id value: sa-08.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-8' rel: required - href: '#ac-25' rel: related parts: - id: sa-8.5_smt name: statement prose: 'Implement the security design principle of efficiently mediated access in {{ insert: param, sa-08.05_odp }}.' - id: sa-8.5_gdn name: guidance prose: The principle of efficiently mediated access states that policy enforcement mechanisms utilize the least common mechanism available while satisfying stakeholder requirements within expressed constraints. The mediation of access to system resources (i.e., CPU, memory, devices, communication ports, services, infrastructure, data, and information) is often the predominant security function of secure systems. It also enables the realization of protections for the capability provided to stakeholders by the system. Mediation of resource access can result in performance bottlenecks if the system is not designed correctly. For example, by using hardware mechanisms, efficiently mediated access can be achieved. Once access to a low-level resource such as memory has been obtained, hardware protection mechanisms can ensure that out-of-bounds access does not occur. - id: sa-8.5_obj name: assessment-objective props: - name: label value: SA-08(05) class: sp800-53a prose: '{{ insert: param, sa-08.05_odp }} implement the security design principle of efficiently mediated access.' links: - href: '#sa-8.5_smt' rel: assessment-for - id: sa-8.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of efficiently mediated access 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with acquisition/contracting responsibilities organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of efficiently mediated access in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of efficiently mediated access in system specification, design, development, implementation, and modification - id: sa-8.6 class: SP800-53-enhancement title: Minimized Sharing params: - id: sa-08.06_odp props: - name: alt-identifier value: sa-8.6_prm_1 - name: label value: SA-08(06)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of minimized sharing are defined; props: - name: label value: SA-08(06) class: zero-padded - name: label value: SA-8(6) - name: label value: SA-08(06) class: sp800-53a - name: sort-id value: sa-08.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-8' rel: required - href: '#sc-31' rel: related parts: - id: sa-8.6_smt name: statement prose: 'Implement the security design principle of minimized sharing in {{ insert: param, sa-08.06_odp }}.' - id: sa-8.6_gdn name: guidance prose: The principle of minimized sharing states that no computer resource is shared between system components (e.g., subjects, processes, functions) unless it is absolutely necessary to do so. Minimized sharing helps to simplify system design and implementation. In order to protect user-domain resources from arbitrary active entities, no resource is shared unless that sharing has been explicitly requested and granted. The need for resource sharing can be motivated by the design principle of least common mechanism in the case of internal entities or driven by stakeholder requirements. However, internal sharing is carefully designed to avoid performance and covert storage and timing channel problems. Sharing via common mechanism can increase the susceptibility of data and information to unauthorized access, disclosure, use, or modification and can adversely affect the inherent capability provided by the system. To minimize sharing induced by common mechanisms, such mechanisms can be designed to be reentrant or virtualized to preserve separation. Moreover, the use of global data to share information is carefully scrutinized. The lack of encapsulation may obfuscate relationships among the sharing entities. - id: sa-8.6_obj name: assessment-objective props: - name: label value: SA-08(06) class: sp800-53a prose: '{{ insert: param, sa-08.06_odp }} implement the security design principle of minimized sharing.' links: - href: '#sa-8.6_smt' rel: assessment-for - id: sa-8.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of minimized sharing 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(06)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of minimized sharing in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of minimized sharing in system specification, design, development, implementation, and modification - id: sa-8.7 class: SP800-53-enhancement title: Reduced Complexity params: - id: sa-08.07_odp props: - name: alt-identifier value: sa-8.7_prm_1 - name: label value: SA-08(07)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of reduced complexity are defined; props: - name: label value: SA-08(07) class: zero-padded - name: label value: SA-8(7) - name: label value: SA-08(07) class: sp800-53a - name: sort-id value: sa-08.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-8' rel: required parts: - id: sa-8.7_smt name: statement prose: 'Implement the security design principle of reduced complexity in {{ insert: param, sa-08.07_odp }}.' - id: sa-8.7_gdn name: guidance prose: The principle of reduced complexity states that the system design is as simple and small as possible. A small and simple design is more understandable, more analyzable, and less prone to error. The reduced complexity principle applies to any aspect of a system, but it has particular importance for security due to the various analyses performed to obtain evidence about the emergent security property of the system. For such analyses to be successful, a small and simple design is essential. Application of the principle of reduced complexity contributes to the ability of system developers to understand the correctness and completeness of system security functions. It also facilitates the identification of potential vulnerabilities. The corollary of reduced complexity states that the simplicity of the system is directly related to the number of vulnerabilities it will contain; that is, simpler systems contain fewer vulnerabilities. An benefit of reduced complexity is that it is easier to understand whether the intended security policy has been captured in the system design and that fewer vulnerabilities are likely to be introduced during engineering development. An additional benefit is that any such conclusion about correctness, completeness, and the existence of vulnerabilities can be reached with a higher degree of assurance in contrast to conclusions reached in situations where the system design is inherently more complex. Transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6) may require implementing the older and newer technologies simultaneously during the transition period. This may result in a temporary increase in system complexity during the transition. - id: sa-8.7_obj name: assessment-objective props: - name: label value: SA-08(07) class: sp800-53a prose: '{{ insert: param, sa-08.07_odp }} implement the security design principle of reduced complexity.' links: - href: '#sa-8.7_smt' rel: assessment-for - id: sa-8.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of reduced complexity 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(07)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of reduced complexity in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of reduced complexity in system specification, design, development, implementation, and modification - id: sa-8.8 class: SP800-53-enhancement title: Secure Evolvability params: - id: sa-08.08_odp props: - name: alt-identifier value: sa-8.8_prm_1 - name: label value: SA-08(08)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of secure evolvability are defined; props: - name: label value: SA-08(08) class: zero-padded - name: label value: SA-8(8) - name: label value: SA-08(08) class: sp800-53a - name: sort-id value: sa-08.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-8' rel: required - href: '#cm-3' rel: related parts: - id: sa-8.8_smt name: statement prose: 'Implement the security design principle of secure evolvability in {{ insert: param, sa-08.08_odp }}.' - id: sa-8.8_gdn name: guidance prose: The principle of secure evolvability states that a system is developed to facilitate the maintenance of its security properties when there are changes to the system’s structure, interfaces, interconnections (i.e., system architecture), functionality, or configuration (i.e., security policy enforcement). Changes include a new, enhanced, or upgraded system capability; maintenance and sustainment activities; and reconfiguration. Although it is not possible to plan for every aspect of system evolution, system upgrades and changes can be anticipated by analyses of mission or business strategic direction, anticipated changes in the threat environment, and anticipated maintenance and sustainment needs. It is unrealistic to expect that complex systems remain secure in contexts not envisioned during development, whether such contexts are related to the operational environment or to usage. A system may be secure in some new contexts, but there is no guarantee that its emergent behavior will always be secure. It is easier to build trustworthiness into a system from the outset, and it follows that the sustainment of system trustworthiness requires planning for change as opposed to adapting in an ad hoc or non-methodical manner. The benefits of this principle include reduced vendor life cycle costs, reduced cost of ownership, improved system security, more effective management of security risk, and less risk uncertainty. - id: sa-8.8_obj name: assessment-objective props: - name: label value: SA-08(08) class: sp800-53a prose: '{{ insert: param, sa-08.08_odp }} implement the security design principle of secure evolvability.' links: - href: '#sa-8.8_smt' rel: assessment-for - id: sa-8.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of secure evolvability 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(08)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of secure evolvability in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of secure evolvability in system specification, design, development, implementation, and modification - id: sa-8.9 class: SP800-53-enhancement title: Trusted Components params: - id: sa-08.09_odp props: - name: alt-identifier value: sa-8.9_prm_1 - name: label value: SA-08(09)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of trusted components are defined; props: - name: label value: SA-08(09) class: zero-padded - name: label value: SA-8(9) - name: label value: SA-08(09) class: sp800-53a - name: sort-id value: sa-08.09 - 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: '#sa-8' rel: required parts: - id: sa-8.9_smt name: statement prose: 'Implement the security design principle of trusted components in {{ insert: param, sa-08.09_odp }}.' - id: sa-8.9_gdn name: guidance prose: |- The principle of trusted components states that a component is trustworthy to at least a level commensurate with the security dependencies it supports (i.e., how much it is trusted to perform its security functions by other components). This principle enables the composition of components such that trustworthiness is not inadvertently diminished and the trust is not consequently misplaced. Ultimately, this principle demands some metric by which the trust in a component and the trustworthiness of a component can be measured on the same abstract scale. The principle of trusted components is particularly relevant when considering systems and components in which there are complex chains of trust dependencies. A trust dependency is also referred to as a trust relationship and there may be chains of trust relationships. The principle of trusted components also applies to a compound component that consists of subcomponents (e.g., a subsystem), which may have varying levels of trustworthiness. The conservative assumption is that the trustworthiness of a compound component is that of its least trustworthy subcomponent. It may be possible to provide a security engineering rationale that the trustworthiness of a particular compound component is greater than the conservative assumption. However, any such rationale reflects logical reasoning based on a clear statement of the trustworthiness objectives as well as relevant and credible evidence. The trustworthiness of a compound component is not the same as increased application of defense-in-depth layering within the component or a replication of components. Defense-in-depth techniques do not increase the trustworthiness of the whole above that of the least trustworthy component. - id: sa-8.9_obj name: assessment-objective props: - name: label value: SA-08(09) class: sp800-53a prose: '{{ insert: param, sa-08.09_odp }} implement the security design principle of trusted components.' links: - href: '#sa-8.9_smt' rel: assessment-for - id: sa-8.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management plan system and services acquisition policy procedures addressing the security design principle of trusted components used in the specification, design, development, implementation, and modification of the system system design documentation security, supply chain risk management, and privacy requirements and specifications for the system system security and privacy architecture procedures for determining component assurance system security plan other relevant documents or records - id: sa-8.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities - id: sa-8.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(09)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of trusted components in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of trusted components in system specification, design, development, implementation, and modification - id: sa-8.10 class: SP800-53-enhancement title: Hierarchical Trust params: - id: sa-08.10_odp props: - name: alt-identifier value: sa-8.10_prm_1 - name: label value: SA-08(10)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of hierarchical trust are defined; props: - name: label value: SA-08(10) class: zero-padded - name: label value: SA-8(10) - name: label value: SA-08(10) class: sp800-53a - name: sort-id value: sa-08.10 - 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: '#sa-8' rel: required parts: - id: sa-8.10_smt name: statement prose: 'Implement the security design principle of hierarchical trust in {{ insert: param, sa-08.10_odp }}.' - id: sa-8.10_gdn name: guidance prose: The principle of hierarchical trust for components builds on the principle of trusted components and states that the security dependencies in a system will form a partial ordering if they preserve the principle of trusted components. The partial ordering provides the basis for trustworthiness reasoning or an assurance case (assurance argument) when composing a secure system from heterogeneously trustworthy components. To analyze a system composed of heterogeneously trustworthy components for its trustworthiness, it is essential to eliminate circular dependencies with regard to the trustworthiness. If a more trustworthy component located in a lower layer of the system were to depend on a less trustworthy component in a higher layer, this would, in effect, put the components in the same "less trustworthy" equivalence class per the principle of trusted components. Trust relationships, or chains of trust, can have various manifestations. For example, the root certificate of a certificate hierarchy is the most trusted node in the hierarchy, whereas the leaves in the hierarchy may be the least trustworthy nodes. Another example occurs in a layered high-assurance system where the security kernel (including the hardware base), which is located at the lowest layer of the system, is the most trustworthy component. The principle of hierarchical trust, however, does not prohibit the use of overly trustworthy components. There may be cases in a system of low trustworthiness where it is reasonable to employ a highly trustworthy component rather than one that is less trustworthy (e.g., due to availability or other cost-benefit driver). For such a case, any dependency of the highly trustworthy component upon a less trustworthy component does not degrade the trustworthiness of the resulting low-trust system. - id: sa-8.10_obj name: assessment-objective props: - name: label value: SA-08(10) class: sp800-53a prose: '{{ insert: param, sa-08.10_odp }} implement the security design principle of hierarchical trust.' links: - href: '#sa-8.10_smt' rel: assessment-for - id: sa-8.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(10)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of hierarchical trust 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(10)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(10)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of hierarchical trust in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of hierarchical trust in system specification, design, development, implementation, and modification - id: sa-8.11 class: SP800-53-enhancement title: Inverse Modification Threshold params: - id: sa-08.11_odp props: - name: alt-identifier value: sa-8.11_prm_1 - name: label value: SA-08(11)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of inverse modification threshold are defined; props: - name: label value: SA-08(11) class: zero-padded - name: label value: SA-8(11) - name: label value: SA-08(11) class: sp800-53a - name: sort-id value: sa-08.11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-8' rel: required parts: - id: sa-8.11_smt name: statement prose: 'Implement the security design principle of inverse modification threshold in {{ insert: param, sa-08.11_odp }}.' - id: sa-8.11_gdn name: guidance prose: The principle of inverse modification threshold builds on the principle of trusted components and the principle of hierarchical trust and states that the degree of protection provided to a component is commensurate with its trustworthiness. As the trust placed in a component increases, the protection against unauthorized modification of the component also increases to the same degree. Protection from unauthorized modification can come in the form of the component’s own self-protection and innate trustworthiness, or it can come from the protections afforded to the component from other elements or attributes of the security architecture (to include protections in the environment of operation). - id: sa-8.11_obj name: assessment-objective props: - name: label value: SA-08(11) class: sp800-53a prose: '{{ insert: param, sa-08.11_odp }} implement the security design principle of inverse modification threshold.' links: - href: '#sa-8.11_smt' rel: assessment-for - id: sa-8.11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(11)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of inverse modification threshold 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(11)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(11)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of inverse modification threshold in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of inverse modification threshold in system specification, design, development, implementation, and modification - id: sa-8.12 class: SP800-53-enhancement title: Hierarchical Protection params: - id: sa-08.12_odp props: - name: alt-identifier value: sa-8.12_prm_1 - name: label value: SA-08(12)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of hierarchical protection are defined; props: - name: label value: SA-08(12) class: zero-padded - name: label value: SA-8(12) - name: label value: SA-08(12) class: sp800-53a - name: sort-id value: sa-08.12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-8' rel: required parts: - id: sa-8.12_smt name: statement prose: 'Implement the security design principle of hierarchical protection in {{ insert: param, sa-08.12_odp }}.' - id: sa-8.12_gdn name: guidance prose: The principle of hierarchical protection states that a component need not be protected from more trustworthy components. In the degenerate case of the most trusted component, it protects itself from all other components. For example, if an operating system kernel is deemed the most trustworthy component in a system, then it protects itself from all untrusted applications it supports, but the applications, conversely, do not need to protect themselves from the kernel. The trustworthiness of users is a consideration for applying the principle of hierarchical protection. A trusted system need not protect itself from an equally trustworthy user, reflecting use of untrusted systems in "system high" environments where users are highly trustworthy and where other protections are put in place to bound and protect the "system high" execution environment. - id: sa-8.12_obj name: assessment-objective props: - name: label value: SA-08(12) class: sp800-53a prose: '{{ insert: param, sa-08.12_odp }} implement the security design principle of hierarchical protection.' links: - href: '#sa-8.12_smt' rel: assessment-for - id: sa-8.12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(12)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of hierarchical protection 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(12)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(12)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of hierarchical protection in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of hierarchical protection in system specification, design, development, implementation, and modification - id: sa-8.13 class: SP800-53-enhancement title: Minimized Security Elements params: - id: sa-08.13_odp props: - name: alt-identifier value: sa-8.13_prm_1 - name: label value: SA-08(13)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of minimized security elements are defined; props: - name: label value: SA-08(13) class: zero-padded - name: label value: SA-8(13) - name: label value: SA-08(13) class: sp800-53a - name: sort-id value: sa-08.13 - 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: '#sa-8' rel: required parts: - id: sa-8.13_smt name: statement prose: 'Implement the security design principle of minimized security elements in {{ insert: param, sa-08.13_odp }}.' - id: sa-8.13_gdn name: guidance prose: 'The principle of minimized security elements states that the system does not have extraneous trusted components. The principle of minimized security elements has two aspects: the overall cost of security analysis and the complexity of security analysis. Trusted components are generally costlier to construct and implement, owing to the increased rigor of development processes. Trusted components require greater security analysis to qualify their trustworthiness. Thus, to reduce the cost and decrease the complexity of the security analysis, a system contains as few trustworthy components as possible. The analysis of the interaction of trusted components with other components of the system is one of the most important aspects of system security verification. If the interactions between components are unnecessarily complex, the security of the system will also be more difficult to ascertain than one whose internal trust relationships are simple and elegantly constructed. In general, fewer trusted components result in fewer internal trust relationships and a simpler system.' - id: sa-8.13_obj name: assessment-objective props: - name: label value: SA-08(13) class: sp800-53a prose: '{{ insert: param, sa-08.13_odp }} implement the security design principle of minimized security elements.' links: - href: '#sa-8.13_smt' rel: assessment-for - id: sa-8.13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(13)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of minimized security elements 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(13)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(13)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of minimized security elements in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of minimized security elements in system specification, design, development, implementation, and modification - id: sa-8.14 class: SP800-53-enhancement title: Least Privilege params: - id: sa-08.14_odp props: - name: alt-identifier value: sa-8.14_prm_1 - name: label value: SA-08(14)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of least privilege are defined; props: - name: label value: SA-08(14) class: zero-padded - name: label value: SA-8(14) - name: label value: SA-08(14) class: sp800-53a - name: sort-id value: sa-08.14 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-8' rel: required - href: '#ac-6' rel: related - href: '#cm-7' rel: related parts: - id: sa-8.14_smt name: statement prose: 'Implement the security design principle of least privilege in {{ insert: param, sa-08.14_odp }}.' - id: sa-8.14_gdn name: guidance prose: |- The principle of least privilege states that each system component is allocated sufficient privileges to accomplish its specified functions but no more. Applying the principle of least privilege limits the scope of the component’s actions, which has two desirable effects: the security impact of a failure, corruption, or misuse of the component will have a minimized security impact, and the security analysis of the component will be simplified. Least privilege is a pervasive principle that is reflected in all aspects of the secure system design. Interfaces used to invoke component capability are available to only certain subsets of the user population, and component design supports a sufficiently fine granularity of privilege decomposition. For example, in the case of an audit mechanism, there may be an interface for the audit manager, who configures the audit settings; an interface for the audit operator, who ensures that audit data is safely collected and stored; and, finally, yet another interface for the audit reviewer, who only has need to view the audit data that has been collected but no need to perform operations on that data. In addition to its manifestations at the system interface, least privilege can be used as a guiding principle for the internal structure of the system itself. One aspect of internal least privilege is to construct modules so that only the elements encapsulated by the module are directly operated on by the functions within the module. Elements external to a module that may be affected by the module’s operation are indirectly accessed through interaction (e.g., via a function call) with the module that contains those elements. Another aspect of internal least privilege is that the scope of a given module or component includes only those system elements that are necessary for its functionality and that the access modes for the elements (e.g., read, write) are minimal. - id: sa-8.14_obj name: assessment-objective props: - name: label value: SA-08(14) class: sp800-53a prose: '{{ insert: param, sa-08.14_odp }} implement the security design principle of least privilege.' links: - href: '#sa-8.14_smt' rel: assessment-for - id: sa-8.14_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(14)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of least privilege 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.14_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(14)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.14_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(14)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of least privilege in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of least privilege in system specification, design, development, implementation, and modification - id: sa-8.15 class: SP800-53-enhancement title: Predicate Permission params: - id: sa-08.15_odp props: - name: alt-identifier value: sa-8.15_prm_1 - name: label value: SA-08(15)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of predicate permission are defined; props: - name: label value: SA-08(15) class: zero-padded - name: label value: SA-8(15) - name: label value: SA-08(15) class: sp800-53a - name: sort-id value: sa-08.15 - 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: '#sa-8' rel: required - href: '#ac-5' rel: related parts: - id: sa-8.15_smt name: statement prose: 'Implement the security design principle of predicate permission in {{ insert: param, sa-08.15_odp }}.' - id: sa-8.15_gdn name: guidance prose: The principle of predicate permission states that system designers consider requiring multiple authorized entities to provide consent before a highly critical operation or access to highly sensitive data, information, or resources is allowed to proceed. [SALTZER75](#c9495d6e-ef64-4090-8509-e58c3b9009ff) originally named predicate permission the separation of privilege. It is also equivalent to separation of duty. The division of privilege among multiple parties decreases the likelihood of abuse and provides the safeguard that no single accident, deception, or breach of trust is sufficient to enable an unrecoverable action that can lead to significantly damaging effects. The design options for such a mechanism may require simultaneous action (e.g., the firing of a nuclear weapon requires two different authorized individuals to give the correct command within a small time window) or a sequence of operations where each successive action is enabled by some prior action, but no single individual is able to enable more than one action. - id: sa-8.15_obj name: assessment-objective props: - name: label value: SA-08(15) class: sp800-53a prose: '{{ insert: param, sa-08.15_odp }} implement the security design principle of predicate permission.' links: - href: '#sa-8.15_smt' rel: assessment-for - id: sa-8.15_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(15)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of predicate permission 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.15_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(15)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.15_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(15)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of predicate permission in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of predicate permission in system specification, design, development, implementation, and modification - id: sa-8.16 class: SP800-53-enhancement title: Self-reliant Trustworthiness params: - id: sa-08.16_odp props: - name: alt-identifier value: sa-8.16_prm_1 - name: label value: SA-08(16)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of self-reliant trustworthiness are defined; props: - name: label value: SA-08(16) class: zero-padded - name: label value: SA-8(16) - name: label value: SA-08(16) class: sp800-53a - name: sort-id value: sa-08.16 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-8' rel: required parts: - id: sa-8.16_smt name: statement prose: 'Implement the security design principle of self-reliant trustworthiness in {{ insert: param, sa-08.16_odp }}.' - id: sa-8.16_gdn name: guidance prose: The principle of self-reliant trustworthiness states that systems minimize their reliance on other systems for their own trustworthiness. A system is trustworthy by default, and any connection to an external entity is used to supplement its function. If a system were required to maintain a connection with another external entity in order to maintain its trustworthiness, then that system would be vulnerable to malicious and non-malicious threats that could result in the loss or degradation of that connection. The benefit of the principle of self-reliant trustworthiness is that the isolation of a system will make it less vulnerable to attack. A corollary to this principle relates to the ability of the system (or system component) to operate in isolation and then resynchronize with other components when it is rejoined with them. - id: sa-8.16_obj name: assessment-objective props: - name: label value: SA-08(16) class: sp800-53a prose: '{{ insert: param, sa-08.16_odp }} implement the security design principle of self-reliant trustworthiness.' links: - href: '#sa-8.16_smt' rel: assessment-for - id: sa-8.16_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(16)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of self-reliant trustworthiness 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.16_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(16)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.16_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(16)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of self-reliant trustworthiness in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of self-reliant trustworthiness in system specification, design, development, implementation, and modification - id: sa-8.17 class: SP800-53-enhancement title: Secure Distributed Composition params: - id: sa-08.17_odp props: - name: alt-identifier value: sa-8.17_prm_1 - name: label value: SA-08(17)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of secure distributed composition are defined; props: - name: label value: SA-08(17) class: zero-padded - name: label value: SA-8(17) - name: label value: SA-08(17) class: sp800-53a - name: sort-id value: sa-08.17 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-8' rel: required parts: - id: sa-8.17_smt name: statement prose: 'Implement the security design principle of secure distributed composition in {{ insert: param, sa-08.17_odp }}.' - id: sa-8.17_gdn name: guidance prose: The principle of secure distributed composition states that the composition of distributed components that enforce the same system security policy result in a system that enforces that policy at least as well as the individual components do. Many of the design principles for secure systems deal with how components can or should interact. The need to create or enable a capability from the composition of distributed components can magnify the relevancy of these principles. In particular, the translation of security policy from a stand-alone to a distributed system or a system-of-systems can have unexpected or emergent results. Communication protocols and distributed data consistency mechanisms help to ensure consistent policy enforcement across a distributed system. To ensure a system-wide level of assurance of correct policy enforcement, the security architecture of a distributed composite system is thoroughly analyzed. - id: sa-8.17_obj name: assessment-objective props: - name: label value: SA-08(17) class: sp800-53a prose: '{{ insert: param, sa-08.17_odp }} implement the security design principle of secure distributed composition.' links: - href: '#sa-8.17_smt' rel: assessment-for - id: sa-8.17_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(17)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of secure distributed composition 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.17_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(17)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.17_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(17)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of secure distributed composition in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of secure distributed composition in system specification, design, development, implementation, and modification - id: sa-8.18 class: SP800-53-enhancement title: Trusted Communications Channels params: - id: sa-08.18_odp props: - name: alt-identifier value: sa-8.18_prm_1 - name: label value: SA-08(18)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of trusted communications channels are defined; props: - name: label value: SA-08(18) class: zero-padded - name: label value: SA-8(18) - name: label value: SA-08(18) class: sp800-53a - name: sort-id value: sa-08.18 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-8' rel: required - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: sa-8.18_smt name: statement prose: 'Implement the security design principle of trusted communications channels in {{ insert: param, sa-08.18_odp }}.' - id: sa-8.18_gdn name: guidance prose: The principle of trusted communication channels states that when composing a system where there is a potential threat to communications between components (i.e., the interconnections between components), each communication channel is trustworthy to a level commensurate with the security dependencies it supports (i.e., how much it is trusted by other components to perform its security functions). Trusted communication channels are achieved by a combination of restricting access to the communication channel (to ensure an acceptable match in the trustworthiness of the endpoints involved in the communication) and employing end-to-end protections for the data transmitted over the communication channel (to protect against interception and modification and to further increase the assurance of proper end-to-end communication). - id: sa-8.18_obj name: assessment-objective props: - name: label value: SA-08(18) class: sp800-53a prose: '{{ insert: param, sa-08.18_odp }} implement the security design principle of trusted communications channels.' links: - href: '#sa-8.18_smt' rel: assessment-for - id: sa-8.18_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(18)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of trusted communications channels 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.18_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(18)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.18_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(18)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of trusted communications channels in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of trusted communications channels in system specification, design, development, implementation, and modification - id: sa-8.19 class: SP800-53-enhancement title: Continuous Protection params: - id: sa-08.19_odp props: - name: alt-identifier value: sa-8.19_prm_1 - name: label value: SA-08(19)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of continuous protection are defined; props: - name: label value: SA-08(19) class: zero-padded - name: label value: SA-8(19) - name: label value: SA-08(19) class: sp800-53a - name: sort-id value: sa-08.19 - 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: '#sa-8' rel: required - href: '#ac-25' rel: related parts: - id: sa-8.19_smt name: statement prose: 'Implement the security design principle of continuous protection in {{ insert: param, sa-08.19_odp }}.' - id: sa-8.19_gdn name: guidance prose: |- The principle of continuous protection states that components and data used to enforce the security policy have uninterrupted protection that is consistent with the security policy and the security architecture assumptions. No assurances that the system can provide the confidentiality, integrity, availability, and privacy protections for its design capability can be made if there are gaps in the protection. Any assurances about the ability to secure a delivered capability require that data and information are continuously protected. That is, there are no periods during which data and information are left unprotected while under control of the system (i.e., during the creation, storage, processing, or communication of the data and information, as well as during system initialization, execution, failure, interruption, and shutdown). Continuous protection requires adherence to the precepts of the reference monitor concept (i.e., every request is validated by the reference monitor; the reference monitor is able to protect itself from tampering; and sufficient assurance of the correctness and completeness of the mechanism can be ascertained from analysis and testing) and the principle of secure failure and recovery (i.e., preservation of a secure state during error, fault, failure, and successful attack; preservation of a secure state during recovery to normal, degraded, or alternative operational modes). Continuous protection also applies to systems designed to operate in varying configurations, including those that deliver full operational capability and degraded-mode configurations that deliver partial operational capability. The continuous protection principle requires that changes to the system security policies be traceable to the operational need that drives the configuration and be verifiable (i.e., it is possible to verify that the proposed changes will not put the system into an insecure state). Insufficient traceability and verification may lead to inconsistent states or protection discontinuities due to the complex or undecidable nature of the problem. The use of pre-verified configuration definitions that reflect the new security policy enables analysis to determine that a transition from old to new policies is essentially atomic and that any residual effects from the old policy are guaranteed to not conflict with the new policy. The ability to demonstrate continuous protection is rooted in the clear articulation of life cycle protection needs as stakeholder security requirements. - id: sa-8.19_obj name: assessment-objective props: - name: label value: SA-08(19) class: sp800-53a prose: '{{ insert: param, sa-08.19_odp }} implement the security design principle of continuous protection.' links: - href: '#sa-8.19_smt' rel: assessment-for - id: sa-8.19_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(19)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy access control policy system and communications protection policy procedures addressing boundary protection procedures addressing the security design principle of continuous protection used in the specification, design, development, implementation, and modification of the system system configuration settings and associated documentation system design documentation security and privacy requirements and specifications for the system system security and privacy architecture system security plan other relevant documents or records - id: sa-8.19_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(19)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities organizational personnel with access enforcement responsibilities system/network administrators system developers organizational personnel with information security responsibilities organizational personnel with boundary protection responsibilities - id: sa-8.19_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(19)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of continuous protection in system specification, design, development, implementation, and modification mechanisms implementing access enforcement functions mechanisms supporting the application of the security design principle of continuous protection in system specification, design, development, implementation, and modification mechanisms supporting and/or implementing secure failure - id: sa-8.20 class: SP800-53-enhancement title: Secure Metadata Management params: - id: sa-08.20_odp props: - name: alt-identifier value: sa-8.20_prm_1 - name: label value: SA-08(20)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of secure metadata management are defined; props: - name: label value: SA-08(20) class: zero-padded - name: label value: SA-8(20) - name: label value: SA-08(20) class: sp800-53a - name: sort-id value: sa-08.20 - 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: '#sa-8' rel: required parts: - id: sa-8.20_smt name: statement prose: 'Implement the security design principle of secure metadata management in {{ insert: param, sa-08.20_odp }}.' - id: sa-8.20_gdn name: guidance prose: |- The principle of secure metadata management states that metadata are "first class" objects with respect to security policy when the policy requires either complete protection of information or that the security subsystem be self-protecting. The principle of secure metadata management is driven by the recognition that a system, subsystem, or component cannot achieve self-protection unless it protects the data it relies on for correct execution. Data is generally not interpreted by the system that stores it. It may have semantic value (i.e., it comprises information) to users and programs that process the data. In contrast, metadata is information about data, such as a file name or the date when the file was created. Metadata is bound to the target data that it describes in a way that the system can interpret, but it need not be stored inside of or proximate to its target data. There may be metadata whose target is itself metadata (e.g., the classification level or impact level of a file name), including self-referential metadata. The apparent secondary nature of metadata can lead to neglect of its legitimate need for protection, resulting in a violation of the security policy that includes the exfiltration of information. A particular concern associated with insufficient protections for metadata is associated with multilevel secure (MLS) systems. MLS systems mediate access by a subject to an object based on relative sensitivity levels. It follows that all subjects and objects in the scope of control of the MLS system are either directly labeled or indirectly attributed with sensitivity levels. The corollary of labeled metadata for MLS systems states that objects containing metadata are labeled. As with protection needs assessments for data, attention is given to ensure that the confidentiality and integrity protections are individually assessed, specified, and allocated to metadata, as would be done for mission, business, and system data. - id: sa-8.20_obj name: assessment-objective props: - name: label value: SA-08(20) class: sp800-53a prose: '{{ insert: param, sa-08.20_odp }} implement the security design principle of secure metadata management.' links: - href: '#sa-8.20_smt' rel: assessment-for - id: sa-8.20_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(20)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of metadata management 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.20_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(20)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.20_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(20)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of metadata management in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of metadata management in system specification, design, development, implementation, and modification - id: sa-8.21 class: SP800-53-enhancement title: Self-analysis params: - id: sa-08.21_odp props: - name: alt-identifier value: sa-8.21_prm_1 - name: label value: SA-08(21)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of self-analysis are defined; props: - name: label value: SA-08(21) class: zero-padded - name: label value: SA-8(21) - name: label value: SA-08(21) class: sp800-53a - name: sort-id value: sa-08.21 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-8' rel: required - href: '#ca-7' rel: related parts: - id: sa-8.21_smt name: statement prose: 'Implement the security design principle of self-analysis in {{ insert: param, sa-08.21_odp }}.' - id: sa-8.21_gdn name: guidance prose: The principle of self-analysis states that a system component is able to assess its internal state and functionality to a limited extent at various stages of execution, and that this self-analysis capability is commensurate with the level of trustworthiness invested in the system. At the system level, self-analysis can be achieved through hierarchical assessments of trustworthiness established in a bottom-up fashion. In this approach, the lower-level components check for data integrity and correct functionality (to a limited extent) of higher-level components. For example, trusted boot sequences involve a trusted lower-level component that attests to the trustworthiness of the next higher-level components so that a transitive chain of trust can be established. At the root, a component attests to itself, which usually involves an axiomatic or environmentally enforced assumption about its integrity. Results of the self-analyses can be used to guard against externally induced errors, internal malfunction, or transient errors. By following this principle, some simple malfunctions or errors can be detected without allowing the effects of the error or malfunction to propagate outside of the component. Further, the self-test can be used to attest to the configuration of the component, detecting any potential conflicts in configuration with respect to the expected configuration. - id: sa-8.21_obj name: assessment-objective props: - name: label value: SA-08(21) class: sp800-53a prose: '{{ insert: param, sa-08.21_odp }} implement the security design principle of self-analysis.' links: - href: '#sa-8.21_smt' rel: assessment-for - id: sa-8.21_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(21)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of self-analysis 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.21_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(21)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.21_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(21)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of self-analysis in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of self-analysis in system specification, design, development, implementation, and modification - id: sa-8.22 class: SP800-53-enhancement title: Accountability and Traceability params: - id: sa-8.22_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-08.22_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-08.22_odp.02 label: organization-defined systems or system components - id: sa-08.22_odp.01 props: - name: label value: SA-08(22)_ODP[01] class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of accountability are defined; - id: sa-08.22_odp.02 props: - name: label value: SA-08(22)_ODP[02] class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of traceability are defined; props: - name: label value: SA-08(22) class: zero-padded - name: label value: SA-8(22) - name: label value: SA-08(22) class: sp800-53a - name: sort-id value: sa-08.22 - 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: '#sa-8' rel: required - href: '#ac-6' rel: related - href: '#au-2' rel: related - href: '#au-3' rel: related - href: '#au-6' rel: related - href: '#au-9' rel: related - href: '#au-10' rel: related - href: '#au-12' rel: related - href: '#ia-2' rel: related - href: '#ir-4' rel: related parts: - id: sa-8.22_smt name: statement prose: 'Implement the security design principle of accountability and traceability in {{ insert: param, sa-8.22_prm_1 }}.' - id: sa-8.22_gdn name: guidance prose: The principle of accountability and traceability states that it is possible to trace security-relevant actions (i.e., subject-object interactions) to the entity on whose behalf the action is being taken. The principle of accountability and traceability requires a trustworthy infrastructure that can record details about actions that affect system security (e.g., an audit subsystem). To record the details about actions, the system is able to uniquely identify the entity on whose behalf the action is being carried out and also record the relevant sequence of actions that are carried out. The accountability policy also requires that audit trail itself be protected from unauthorized access and modification. The principle of least privilege assists in tracing the actions to particular entities, as it increases the granularity of accountability. Associating specific actions with system entities, and ultimately with users, and making the audit trail secure against unauthorized access and modifications provide non-repudiation because once an action is recorded, it is not possible to change the audit trail. Another important function that accountability and traceability serves is in the routine and forensic analysis of events associated with the violation of security policy. Analysis of audit logs may provide additional information that may be helpful in determining the path or component that allowed the violation of the security policy and the actions of individuals associated with the violation of the security policy. - id: sa-8.22_obj name: assessment-objective props: - name: label value: SA-08(22) class: sp800-53a parts: - id: sa-8.22_obj-1 name: assessment-objective props: - name: label value: SA-08(22)[01] class: sp800-53a prose: '{{ insert: param, sa-08.22_odp.01 }} implement the security design principle of accountability;' links: - href: '#sa-8.22_smt' rel: assessment-for - id: sa-8.22_obj-2 name: assessment-objective props: - name: label value: SA-08(22)[02] class: sp800-53a prose: '{{ insert: param, sa-08.22_odp.02 }} implement the security design principle of traceability.' links: - href: '#sa-8.22_smt' rel: assessment-for links: - href: '#sa-8.22_smt' rel: assessment-for - id: sa-8.22_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(22)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy audit and accountability policy access control policy procedures addressing least privilege procedures addressing auditable events identification and authentication policy procedures addressing user identification and authentication procedures addressing the security design principle of accountability and traceability used in the specification, design, development, implementation, and modification of the system system design documentation system audit records system auditable events system configuration settings and associated documentation security and privacy requirements and specifications for the system system security and privacy architecture system security plan other relevant documents or records - id: sa-8.22_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(22)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with audit and accountability responsibilities organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.22_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(22)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of accountability and traceability in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of accountability and traceability in system specification, design, development, implementation, and modification mechanisms implementing information system auditing mechanisms implementing least privilege functions - id: sa-8.23 class: SP800-53-enhancement title: Secure Defaults params: - id: sa-08.23_odp props: - name: alt-identifier value: sa-8.23_prm_1 - name: label value: SA-08(23)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of secure defaults are defined; props: - name: label value: SA-08(23) class: zero-padded - name: label value: SA-8(23) - name: label value: SA-08(23) class: sp800-53a - name: sort-id value: sa-08.23 - 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: '#sa-8' rel: required - href: '#cm-2' rel: related - href: '#cm-6' rel: related - href: '#sa-4' rel: related parts: - id: sa-8.23_smt name: statement prose: 'Implement the security design principle of secure defaults in {{ insert: param, sa-08.23_odp }}.' - id: sa-8.23_gdn name: guidance prose: |- The principle of secure defaults states that the default configuration of a system (including its constituent subsystems, components, and mechanisms) reflects a restrictive and conservative enforcement of security policy. The principle of secure defaults applies to the initial (i.e., default) configuration of a system as well as to the security engineering and design of access control and other security functions that follow a "deny unless explicitly authorized" strategy. The initial configuration aspect of this principle requires that any "as shipped" configuration of a system, subsystem, or system component does not aid in the violation of the security policy and can prevent the system from operating in the default configuration for those cases where the security policy itself requires configuration by the operational user. Restrictive defaults mean that the system will operate "as-shipped" with adequate self-protection and be able to prevent security breaches before the intended security policy and system configuration is established. In cases where the protection provided by the "as-shipped" product is inadequate, stakeholders assess the risk of using it prior to establishing a secure initial state. Adherence to the principle of secure defaults guarantees that a system is established in a secure state upon successfully completing initialization. In situations where the system fails to complete initialization, either it will perform a requested operation using secure defaults or it will not perform the operation. Refer to the principles of continuous protection and secure failure and recovery that parallel this principle to provide the ability to detect and recover from failure. The security engineering approach to this principle states that security mechanisms deny requests unless the request is found to be well-formed and consistent with the security policy. The insecure alternative is to allow a request unless it is shown to be inconsistent with the policy. In a large system, the conditions that are satisfied to grant a request that is denied by default are often far more compact and complete than those that would need to be checked in order to deny a request that is granted by default. - id: sa-8.23_obj name: assessment-objective props: - name: label value: SA-08(23) class: sp800-53a prose: '{{ insert: param, sa-08.23_odp }} implement the security design principle of secure defaults.' links: - href: '#sa-8.23_smt' rel: assessment-for - id: sa-8.23_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(23)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy configuration management policy procedures addressing the security design principle of secure defaults used in the specification, design, development, implementation, and modification of the system system design documentation procedures addressing the baseline configuration of the system configuration management plan system architecture and configuration documentation system configuration settings and associated documentation security and privacy requirements and specifications for the system system security and privacy architecture procedures addressing system documentation system documentation system security plan other relevant documents or records - id: sa-8.23_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(23)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.23_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(23)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of secure defaults in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of secure defaults in system specification, design, development, implementation, and modification organizational processes for managing baseline configurations mechanisms supporting configuration control of the baseline configuration - id: sa-8.24 class: SP800-53-enhancement title: Secure Failure and Recovery params: - id: sa-8.24_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-08.24_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-08.24_odp.02 label: organization-defined systems or system components - id: sa-08.24_odp.01 props: - name: label value: SA-08(24)_ODP[01] class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of secure failure are defined; - id: sa-08.24_odp.02 props: - name: label value: SA-08(24)_ODP[02] class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of secure recovery are defined; props: - name: label value: SA-08(24) class: zero-padded - name: label value: SA-8(24) - name: label value: SA-08(24) class: sp800-53a - name: sort-id value: sa-08.24 - 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: '#sa-8' rel: required - href: '#cp-10' rel: related - href: '#cp-12' rel: related - href: '#sc-7' rel: related - href: '#sc-8' rel: related - href: '#sc-24' rel: related - href: '#si-13' rel: related parts: - id: sa-8.24_smt name: statement prose: 'Implement the security design principle of secure failure and recovery in {{ insert: param, sa-8.24_prm_1 }}.' - id: sa-8.24_gdn name: guidance prose: |- The principle of secure failure and recovery states that neither a failure in a system function or mechanism nor any recovery action in response to failure leads to a violation of security policy. The principle of secure failure and recovery parallels the principle of continuous protection to ensure that a system is capable of detecting (within limits) actual and impending failure at any stage of its operation (i.e., initialization, normal operation, shutdown, and maintenance) and to take appropriate steps to ensure that security policies are not violated. In addition, when specified, the system is capable of recovering from impending or actual failure to resume normal, degraded, or alternative secure operations while ensuring that a secure state is maintained such that security policies are not violated. Failure is a condition in which the behavior of a component deviates from its specified or expected behavior for an explicitly documented input. Once a failed security function is detected, the system may reconfigure itself to circumvent the failed component while maintaining security and provide all or part of the functionality of the original system, or it may completely shut itself down to prevent any further violation of security policies. For this to occur, the reconfiguration functions of the system are designed to ensure continuous enforcement of security policy during the various phases of reconfiguration. Another technique that can be used to recover from failures is to perform a rollback to a secure state (which may be the initial state) and then either shutdown or replace the service or component that failed such that secure operations may resume. Failure of a component may or may not be detectable to the components using it. The principle of secure failure indicates that components fail in a state that denies rather than grants access. For example, a nominally "atomic" operation interrupted before completion does not violate security policy and is designed to handle interruption events by employing higher-level atomicity and rollback mechanisms (e.g., transactions). If a service is being used, its atomicity properties are well-documented and characterized so that the component availing itself of that service can detect and handle interruption events appropriately. For example, a system is designed to gracefully respond to disconnection and support resynchronization and data consistency after disconnection. Failure protection strategies that employ replication of policy enforcement mechanisms, sometimes called defense in depth, can allow the system to continue in a secure state even when one mechanism has failed to protect the system. If the mechanisms are similar, however, the additional protection may be illusory, as the adversary can simply attack in series. Similarly, in a networked system, breaking the security on one system or service may enable an attacker to do the same on other similar replicated systems and services. By employing multiple protection mechanisms whose features are significantly different, the possibility of attack replication or repetition can be reduced. Analyses are conducted to weigh the costs and benefits of such redundancy techniques against increased resource usage and adverse effects on the overall system performance. Additional analyses are conducted as the complexity of these mechanisms increases, as could be the case for dynamic behaviors. Increased complexity generally reduces trustworthiness. When a resource cannot be continuously protected, it is critical to detect and repair any security breaches before the resource is once again used in a secure context. - id: sa-8.24_obj name: assessment-objective props: - name: label value: SA-08(24) class: sp800-53a parts: - id: sa-8.24_obj-1 name: assessment-objective props: - name: label value: SA-08(24)[01] class: sp800-53a prose: '{{ insert: param, sa-08.24_odp.01 }} implement the security design principle of secure failure;' links: - href: '#sa-8.24_smt' rel: assessment-for - id: sa-8.24_obj-2 name: assessment-objective props: - name: label value: SA-08(24)[02] class: sp800-53a prose: '{{ insert: param, sa-08.24_odp.02 }} implement the security design principle of secure recovery.' links: - href: '#sa-8.24_smt' rel: assessment-for links: - href: '#sa-8.24_smt' rel: assessment-for - id: sa-8.24_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(24)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and communications protection policy contingency planning policy procedures addressing information system recovery and reconstitution procedures addressing the security design principle of secure failure and recovery used in the specification, design, development, implementation, and modification of the system contingency plan procedures addressing system backup contingency plan test documentation contingency plan test results system design documentation security and privacy requirements and specifications for the system system security and privacy architecture system security plan other relevant documents or records - id: sa-8.24_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(24)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities organizational personnel with contingency plan testing responsibilities organizational personnel with system recovery and reconstitution responsibilities system developers organizational personnel with information security responsibilities organizational personnel with information system backup responsibilities - id: sa-8.24_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(24)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of secure failure and recovery in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of secure failure and recovery in system specification, design, development, implementation, and modification mechanisms supporting and/or implementing secure failure organizational processes for contingency plan testing mechanisms supporting contingency plan testing mechanisms supporting recovery and reconstitution of the system organizational processes for conducting system backups mechanisms supporting and/or implementing system backups - id: sa-8.25 class: SP800-53-enhancement title: Economic Security params: - id: sa-08.25_odp props: - name: alt-identifier value: sa-8.25_prm_1 - name: label value: SA-08(25)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of economic security are defined; props: - name: label value: SA-08(25) class: zero-padded - name: label value: SA-8(25) - name: label value: SA-08(25) class: sp800-53a - name: sort-id value: sa-08.25 - 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: '#sa-8' rel: required - href: '#ra-3' rel: related parts: - id: sa-8.25_smt name: statement prose: 'Implement the security design principle of economic security in {{ insert: param, sa-08.25_odp }}.' - id: sa-8.25_gdn name: guidance prose: The principle of economic security states that security mechanisms are not costlier than the potential damage that could occur from a security breach. This is the security-relevant form of the cost-benefit analyses used in risk management. The cost assumptions of cost-benefit analysis prevent the system designer from incorporating security mechanisms of greater strength than necessary, where strength of mechanism is proportional to cost. The principle of economic security also requires analysis of the benefits of assurance relative to the cost of that assurance in terms of the effort expended to obtain relevant and credible evidence as well as the necessary analyses to assess and draw trustworthiness and risk conclusions from the evidence. - id: sa-8.25_obj name: assessment-objective props: - name: label value: SA-08(25) class: sp800-53a prose: '{{ insert: param, sa-08.25_odp }} implement the security design principle of economic security.' links: - href: '#sa-8.25_smt' rel: assessment-for - id: sa-8.25_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(25)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of economic security 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 and privacy architecture cost-benefit analysis system security plan other relevant documents or records - id: sa-8.25_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(25)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.25_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(25)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of economic security in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of economic security in system specification, design, development, implementation, and modification - id: sa-8.26 class: SP800-53-enhancement title: Performance Security params: - id: sa-08.26_odp props: - name: alt-identifier value: sa-8.26_prm_1 - name: label value: SA-08(26)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of performance security are defined; props: - name: label value: SA-08(26) class: zero-padded - name: label value: SA-8(26) - name: label value: SA-08(26) class: sp800-53a - name: sort-id value: sa-08.26 - 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: '#sa-8' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#si-2' rel: related - href: '#si-7' rel: related parts: - id: sa-8.26_smt name: statement prose: 'Implement the security design principle of performance security in {{ insert: param, sa-08.26_odp }}.' - id: sa-8.26_gdn name: guidance prose: |- The principle of performance security states that security mechanisms are constructed so that they do not degrade system performance unnecessarily. Stakeholder and system design requirements for performance and security are precisely articulated and prioritized. For the system implementation to meet its design requirements and be found acceptable to stakeholders (i.e., validation against stakeholder requirements), the designers adhere to the specified constraints that capability performance needs place on protection needs. The overall impact of computationally intensive security services (e.g., cryptography) are assessed and demonstrated to pose no significant impact to higher-priority performance considerations or are deemed to provide an acceptable trade-off of performance for trustworthy protection. The trade-off considerations include less computationally intensive security services unless they are unavailable or insufficient. The insufficiency of a security service is determined by functional capability and strength of mechanism. The strength of mechanism is selected with respect to security requirements, performance-critical overhead issues (e.g., cryptographic key management), and an assessment of the capability of the threat. The principle of performance security leads to the incorporation of features that help in the enforcement of security policy but incur minimum overhead, such as low-level hardware mechanisms upon which higher-level services can be built. Such low-level mechanisms are usually very specific, have very limited functionality, and are optimized for performance. For example, once access rights to a portion of memory is granted, many systems use hardware mechanisms to ensure that all further accesses involve the correct memory address and access mode. Application of this principle reinforces the need to design security into the system from the ground up and to incorporate simple mechanisms at the lower layers that can be used as building blocks for higher-level mechanisms. - id: sa-8.26_obj name: assessment-objective props: - name: label value: SA-08(26) class: sp800-53a prose: '{{ insert: param, sa-08.26_odp }} implement the security design principle of performance security.' links: - href: '#sa-8.26_smt' rel: assessment-for - id: sa-8.26_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(26)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of performance security 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 and privacy architecture trade-off analysis between performance and security system security plan other relevant documents or records - id: sa-8.26_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(26)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.26_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(26)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of performance security in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of performance security in system specification, design, development, implementation, and modification - id: sa-8.27 class: SP800-53-enhancement title: Human Factored Security params: - id: sa-08.27_odp props: - name: alt-identifier value: sa-8.27_prm_1 - name: label value: SA-08(27)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of human factored security are defined; props: - name: label value: SA-08(27) class: zero-padded - name: label value: SA-8(27) - name: label value: SA-08(27) class: sp800-53a - name: sort-id value: sa-08.27 - 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: '#sa-8' rel: required parts: - id: sa-8.27_smt name: statement prose: 'Implement the security design principle of human factored security in {{ insert: param, sa-08.27_odp }}.' - id: sa-8.27_gdn name: guidance prose: The principle of human factored security states that the user interface for security functions and supporting services is intuitive, user-friendly, and provides feedback for user actions that affect such policy and its enforcement. The mechanisms that enforce security policy are not intrusive to the user and are designed not to degrade user efficiency. Security policy enforcement mechanisms also provide the user with meaningful, clear, and relevant feedback and warnings when insecure choices are being made. Particular attention is given to interfaces through which personnel responsible for system administration and operation configure and set up the security policies. Ideally, these personnel are able to understand the impact of their choices. Personnel with system administrative and operational responsibilities are able to configure systems before start-up and administer them during runtime with confidence that their intent is correctly mapped to the system’s mechanisms. Security services, functions, and mechanisms do not impede or unnecessarily complicate the intended use of the system. There is a trade-off between system usability and the strictness necessary for security policy enforcement. If security mechanisms are frustrating or difficult to use, then users may disable them, avoid them, or use them in ways inconsistent with the security requirements and protection needs that the mechanisms were designed to satisfy. - id: sa-8.27_obj name: assessment-objective props: - name: label value: SA-08(27) class: sp800-53a prose: '{{ insert: param, sa-08.27_odp }} implement the security design principle of human factored security.' links: - href: '#sa-8.27_smt' rel: assessment-for - id: sa-8.27_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(27)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of human factored security 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 and privacy architecture usability analysis system security plan other relevant documents or records - id: sa-8.27_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(27)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with human factored security responsibilities organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.27_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(27)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of human factored security in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of human factored security in system specification, design, development, implementation, and modification mechanisms that enforce security policies - id: sa-8.28 class: SP800-53-enhancement title: Acceptable Security params: - id: sa-08.28_odp props: - name: alt-identifier value: sa-8.28_prm_1 - name: label value: SA-08(28)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of acceptable security are defined; props: - name: label value: SA-08(28) class: zero-padded - name: label value: SA-8(28) - name: label value: SA-08(28) class: sp800-53a - name: sort-id value: sa-08.28 - 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: '#sa-8' rel: required parts: - id: sa-8.28_smt name: statement prose: 'Implement the security design principle of acceptable security in {{ insert: param, sa-08.28_odp }}.' - id: sa-8.28_gdn name: guidance prose: The principle of acceptable security requires that the level of privacy and performance that the system provides is consistent with the users’ expectations. The perception of personal privacy may affect user behavior, morale, and effectiveness. Based on the organizational privacy policy and the system design, users should be able to restrict their actions to protect their privacy. When systems fail to provide intuitive interfaces or meet privacy and performance expectations, users may either choose to completely avoid the system or use it in ways that may be inefficient or even insecure. - id: sa-8.28_obj name: assessment-objective props: - name: label value: SA-08(28) class: sp800-53a prose: '{{ insert: param, sa-08.28_odp }} implement the security design principle of acceptable security.' links: - href: '#sa-8.28_smt' rel: assessment-for - id: sa-8.28_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(28)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing the security design principle of acceptable security 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 and privacy architecture personally identifiable information processing policy privacy notifications provided to users system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: sa-8.28_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(28)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy responsibilities organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers - id: sa-8.28_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(28)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of acceptable security in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of acceptable security in system specification, design, development, implementation, and modification mechanisms that enforce security policies - id: sa-8.29 class: SP800-53-enhancement title: Repeatable and Documented Procedures params: - id: sa-08.29_odp props: - name: alt-identifier value: sa-8.29_prm_1 - name: label value: SA-08(29)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of repeatable and documented procedures are defined; props: - name: label value: SA-08(29) class: zero-padded - name: label value: SA-8(29) - name: label value: SA-08(29) class: sp800-53a - name: sort-id value: sa-08.29 - 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: '#sa-8' rel: required - href: '#cm-1' rel: related - href: '#sa-1' rel: related - href: '#sa-10' rel: related - href: '#sa-11' rel: related - href: '#sa-15' rel: related - href: '#sa-17' rel: related - href: '#sc-1' rel: related - href: '#si-1' rel: related parts: - id: sa-8.29_smt name: statement prose: 'Implement the security design principle of repeatable and documented procedures in {{ insert: param, sa-08.29_odp }}.' - id: sa-8.29_gdn name: guidance prose: The principle of repeatable and documented procedures states that the techniques and methods employed to construct a system component permit the same component to be completely and correctly reconstructed at a later time. Repeatable and documented procedures support the development of a component that is identical to the component created earlier, which may be in widespread use. In the case of other system artifacts (e.g., documentation and testing results), repeatability supports consistency and the ability to inspect the artifacts. Repeatable and documented procedures can be introduced at various stages within the system development life cycle and contribute to the ability to evaluate assurance claims for the system. Examples include systematic procedures for code development and review, procedures for the configuration management of development tools and system artifacts, and procedures for system delivery. - id: sa-8.29_obj name: assessment-objective props: - name: label value: SA-08(29) class: sp800-53a prose: '{{ insert: param, sa-08.29_odp }} implement the security design principle of repeatable and documented procedures.' links: - href: '#sa-8.29_smt' rel: assessment-for - id: sa-8.29_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(29)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of repeatable and documented procedures 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.29_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(29)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.29_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(29)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of repeatable and documented procedures in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of repeatable and documented procedures in system specification, design, development, implementation, and modification mechanisms that enforce security policies - id: sa-8.30 class: SP800-53-enhancement title: Procedural Rigor params: - id: sa-08.30_odp props: - name: alt-identifier value: sa-8.30_prm_1 - name: label value: SA-08(30)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of procedural rigor are defined; props: - name: label value: SA-08(30) class: zero-padded - name: label value: SA-8(30) - name: label value: SA-08(30) class: sp800-53a - name: sort-id value: sa-08.30 - 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: '#sa-8' rel: required parts: - id: sa-8.30_smt name: statement prose: 'Implement the security design principle of procedural rigor in {{ insert: param, sa-08.30_odp }}.' - id: sa-8.30_gdn name: guidance prose: |- The principle of procedural rigor states that the rigor of a system life cycle process is commensurate with its intended trustworthiness. Procedural rigor defines the scope, depth, and detail of the system life cycle procedures. Rigorous system life cycle procedures contribute to the assurance that the system is correct and free of unintended functionality in several ways. First, the procedures impose checks and balances on the life cycle process such that the introduction of unspecified functionality is prevented. Second, rigorous procedures applied to systems security engineering activities that produce specifications and other system design documents contribute to the ability to understand the system as it has been built rather than trusting that the component, as implemented, is the authoritative (and potentially misleading) specification. Finally, modifications to an existing system component are easier when there are detailed specifications that describe its current design instead of studying source code or schematics to try to understand how it works. Procedural rigor helps ensure that security functional and assurance requirements have been satisfied, and it contributes to a better-informed basis for the determination of trustworthiness and risk posture. Procedural rigor is commensurate with the degree of assurance desired for the system. If the required trustworthiness of the system is low, a high level of procedural rigor may add unnecessary cost, whereas when high trustworthiness is critical, the cost of high procedural rigor is merited. - id: sa-8.30_obj name: assessment-objective props: - name: label value: SA-08(30) class: sp800-53a prose: '{{ insert: param, sa-08.30_odp }} implement the security design principle of procedural rigor.' links: - href: '#sa-8.30_smt' rel: assessment-for - id: sa-8.30_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(30)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of procedural rigor 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 and privacy architecture system security plan other relevant documents or records - id: sa-8.30_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(30)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.30_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(30)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of procedural rigor in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of procedural rigor in system specification, design, development, implementation, and modification mechanisms that enforce security policies - id: sa-8.31 class: SP800-53-enhancement title: Secure System Modification params: - id: sa-08.31_odp props: - name: alt-identifier value: sa-8.31_prm_1 - name: label value: SA-08(31)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of secure system modification are defined; props: - name: label value: SA-08(31) class: zero-padded - name: label value: SA-8(31) - name: label value: SA-08(31) class: sp800-53a - name: sort-id value: sa-08.31 - 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: '#sa-8' rel: required - href: '#cm-3' rel: related - href: '#cm-4' rel: related parts: - id: sa-8.31_smt name: statement prose: 'Implement the security design principle of secure system modification in {{ insert: param, sa-08.31_odp }}.' - id: sa-8.31_gdn name: guidance prose: The principle of secure system modification states that system modification maintains system security with respect to the security requirements and risk tolerance of stakeholders. Upgrades or modifications to systems can transform secure systems into systems that are not secure. The procedures for system modification ensure that if the system is to maintain its trustworthiness, the same rigor that was applied to its initial development is applied to any system changes. Because modifications can affect the ability of the system to maintain its secure state, a careful security analysis of the modification is needed prior to its implementation and deployment. This principle parallels the principle of secure evolvability. - id: sa-8.31_obj name: assessment-objective props: - name: label value: SA-08(31) class: sp800-53a prose: '{{ insert: param, sa-08.31_odp }} implement the security design principle of secure system modification.' links: - href: '#sa-8.31_smt' rel: assessment-for - id: sa-8.31_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(31)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy configuration management policy and procedures procedures addressing the security design principle of secure system modification used in the specification, design, development, implementation, and modification of the system system design documentation system configuration settings and associated documentation change control records security and privacy requirements and specifications for the system system security and privacy architecture system security plan other relevant documents or records - id: sa-8.31_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(31)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.31_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(31)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of secure system modification in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of secure system modification in system specification, design, development, implementation, and modification mechanisms that enforce security policies organizational processes for managing change configuration mechanisms supporting configuration control - id: sa-8.32 class: SP800-53-enhancement title: Sufficient Documentation params: - id: sa-08.32_odp props: - name: alt-identifier value: sa-8.32_prm_1 - name: label value: SA-08(32)_ODP class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that implement the security design principle of sufficient documentation are defined; props: - name: label value: SA-08(32) class: zero-padded - name: label value: SA-8(32) - name: label value: SA-08(32) class: sp800-53a - name: sort-id value: sa-08.32 - 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: '#sa-8' rel: required - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#sa-5' rel: related parts: - id: sa-8.32_smt name: statement prose: 'Implement the security design principle of sufficient documentation in {{ insert: param, sa-08.32_odp }}.' - id: sa-8.32_gdn name: guidance prose: The principle of sufficient documentation states that organizational personnel with responsibilities to interact with the system are provided with adequate documentation and other information such that the personnel contribute to rather than detract from system security. Despite attempts to comply with principles such as human factored security and acceptable security, systems are inherently complex, and the design intent for the use of security mechanisms and the ramifications of the misuse or misconfiguration of security mechanisms are not always intuitively obvious. Uninformed and insufficiently trained users can introduce vulnerabilities due to errors of omission and commission. The availability of documentation and training can help to ensure a knowledgeable cadre of personnel, all of whom have a critical role in the achievement of principles such as continuous protection. Documentation is written clearly and supported by training that provides security awareness and understanding of security-relevant responsibilities. - id: sa-8.32_obj name: assessment-objective props: - name: label value: SA-08(32) class: sp800-53a prose: '{{ insert: param, sa-08.32_odp }} implement the security design principle of sufficient documentation.' links: - href: '#sa-8.32_smt' rel: assessment-for - id: sa-8.32_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(32)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing the security design principle of sufficient documentation used in the specification, design, development, implementation, and modification of the system system design documentation system configuration settings and associated documentation change control records security and privacy requirements and specifications for the system system security and privacy documentation system security and privacy architecture system security plan other relevant documents or records - id: sa-8.32_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(32)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with the responsibility for determining system security and privacy requirements organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers organizational personnel with information security responsibilities - id: sa-8.32_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(32)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the security design principle of sufficient documentation in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of sufficient documentation in system specification, design, development, implementation, and modification mechanisms that enforce security policies organizational processes for managing change configuration mechanisms supporting configuration control - id: sa-8.33 class: SP800-53-enhancement title: Minimization params: - id: sa-08.33_odp props: - name: alt-identifier value: sa-8.33_prm_1 - name: label value: SA-08(33)_ODP class: sp800-53a label: processes guidelines: - prose: processes that implement the privacy principle of minimization are defined; props: - name: label value: SA-08(33) class: zero-padded - name: label value: SA-8(33) - name: label value: SA-08(33) class: sp800-53a - name: sort-id value: sa-08.33 - 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: '#sa-8' rel: required - href: '#pe-8' rel: related - href: '#pm-25' rel: related - href: '#sc-42' rel: related - href: '#si-12' rel: related parts: - id: sa-8.33_smt name: statement prose: 'Implement the privacy principle of minimization using {{ insert: param, sa-08.33_odp }}.' - id: sa-8.33_gdn name: guidance prose: The principle of minimization states that organizations should only process personally identifiable information that is directly relevant and necessary to accomplish an authorized purpose and should only maintain personally identifiable information for as long as is necessary to accomplish the purpose. Organizations have processes in place, consistent with applicable laws and policies, to implement the principle of minimization. - id: sa-8.33_obj name: assessment-objective props: - name: label value: SA-08(33) class: sp800-53a prose: 'the privacy principle of minimization is implemented using {{ insert: param, sa-08.33_odp }}.' links: - href: '#sa-8.33_smt' rel: assessment-for - id: sa-8.33_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-08(33)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures personally identifiable information processing policy procedures addressing the minimization of personally identifiable information in system design system design documentation system configuration settings and associated documentation change control records information security and privacy requirements and specifications for the system system security and privacy architecture system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: sa-8.33_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-08(33)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy responsibilities organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers - id: sa-8.33_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-08(33)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for applying the privacy design principle of minimization in system specification, design, development, implementation, and modification mechanisms supporting the application of the security design principle of sufficient documentation in system specification, design, development, implementation, and modification mechanisms that enforce security and privacy policy organizational processes for managing change configuration mechanisms supporting configuration control - 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 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 guidelines: - prose: processes, methods, and techniques employed to monitor control compliance by external service providers are defined; props: - 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: 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: 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: 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: 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: 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: 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: 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: 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: label value: SA-09c. class: sp800-53a prose: '{{ insert: param, sa-09_odp.02 }} are employed to monitor control compliance by external service providers on an ongoing basis.' links: - href: '#sa-9_smt.c' rel: assessment-for links: - href: '#sa-9_smt' rel: assessment-for - id: sa-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-09-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing methods and techniques for monitoring control compliance by external service providers of system services acquisition documentation contracts service level agreements interagency agreements licensing agreements list of organizational security and privacy requirements for external provider services control assessment results or reports from external providers of system services system security plan privacy plan supply chain risk management plan other relevant documents or records - id: sa-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-09-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with acquisition responsibilities external providers of system services organizational personnel with information security and privacy responsibilities organizational personnel with supply chain risk management responsibilities - id: sa-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-09-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring security and privacy control compliance by external service providers on an ongoing basis mechanisms for monitoring security and privacy control compliance by external service providers on an ongoing basis controls: - id: sa-9.1 class: SP800-53-enhancement title: Risk Assessments and Organizational Approvals params: - id: sa-09.01_odp props: - name: alt-identifier value: sa-9.1_prm_1 - name: label value: SA-09(01)_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles that approve the acquisition or outsourcing of dedicated information security services is/are defined; props: - name: label value: SA-09(01) class: zero-padded - name: label value: SA-9(1) - name: label value: SA-09(01) class: sp800-53a - name: sort-id value: sa-09.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-9' rel: required - href: '#ca-6' rel: related - href: '#ra-3' rel: related - href: '#ra-8' rel: related parts: - id: sa-9.1_smt name: statement parts: - id: sa-9.1_smt.a name: item props: - name: label value: (a) prose: Conduct an organizational assessment of risk prior to the acquisition or outsourcing of information security services; and - id: sa-9.1_smt.b name: item props: - name: label value: (b) prose: 'Verify that the acquisition or outsourcing of dedicated information security services is approved by {{ insert: param, sa-09.01_odp }}.' - id: sa-9.1_gdn name: guidance prose: Information security services include the operation of security devices, such as firewalls or key management services as well as incident monitoring, analysis, and response. Risks assessed can include system, mission or business, security, privacy, or supply chain risks. - id: sa-9.1_obj name: assessment-objective props: - name: label value: SA-09(01) class: sp800-53a parts: - id: sa-9.1_obj.a name: assessment-objective props: - name: label value: SA-09(01)(a) class: sp800-53a prose: an organizational assessment of risk is conducted prior to the acquisition or outsourcing of information security services; links: - href: '#sa-9.1_smt.a' rel: assessment-for - id: sa-9.1_obj.b name: assessment-objective props: - name: label value: SA-09(01)(b) class: sp800-53a prose: '{{ insert: param, sa-09.01_odp }} approve the acquisition or outsourcing of dedicated information security services.' links: - href: '#sa-9.1_smt.b' rel: assessment-for links: - href: '#sa-9.1_smt' rel: assessment-for - id: sa-9.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-09(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy supply chain risk management policy and procedures procedures addressing external system services acquisition documentation acquisition contracts for the system, system component, or system service risk assessment reports approval records for the acquisition or outsourcing of dedicated security services system security plan supply chain risk management plan other relevant documents or records - id: sa-9.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-09(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with system security responsibilities external providers of system services organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities - id: sa-9.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-09(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for conducting a risk assessment prior to acquiring or outsourcing dedicated security services organizational processes for approving the outsourcing of dedicated security services mechanisms supporting and/or implementing risk assessment mechanisms supporting and/or implementing approval processes - id: sa-9.2 class: SP800-53-enhancement title: Identification of Functions, Ports, Protocols, and Services params: - id: sa-09.02_odp props: - name: alt-identifier value: sa-9.2_prm_1 - name: label value: SA-09(02)_ODP class: sp800-53a label: external system services guidelines: - prose: external system services that require the identification of functions, ports, protocols, and other services are defined; props: - name: label value: SA-09(02) class: zero-padded - name: label value: SA-9(2) - name: label value: SA-09(02) class: sp800-53a - name: sort-id value: sa-09.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-9' rel: required - href: '#cm-6' rel: related - href: '#cm-7' rel: related parts: - id: sa-9.2_smt name: statement prose: 'Require providers of the following external system services to identify the functions, ports, protocols, and other services required for the use of such services: {{ insert: param, sa-09.02_odp }}.' - id: sa-9.2_gdn name: guidance prose: Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be useful when the need arises to understand the trade-offs involved in restricting certain functions and services or blocking certain ports and protocols. - id: sa-9.2_obj name: assessment-objective props: - name: label value: SA-09(02) class: sp800-53a prose: 'providers of {{ insert: param, sa-09.02_odp }} are required to identify the functions, ports, protocols, and other services required for the use of such services.' links: - href: '#sa-9.2_smt' rel: assessment-for - id: sa-9.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-09(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy supply chain risk management policy and procedures procedures addressing external system services acquisition contracts for the system, system component, or system service acquisition documentation solicitation documentation service level agreements organizational security requirements and security specifications for external service providers list of required functions, ports, protocols, and other services system security plan other relevant documents or records - id: sa-9.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-09(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities system/network administrators external providers of system services - id: sa-9.3 class: SP800-53-enhancement title: Establish and Maintain Trust Relationship with Providers params: - id: sa-9.3_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-09.03_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-09.03_odp.02 label: organization-defined security and privacy requirements, properties, factors, or conditions defining acceptable trust relationships - id: sa-09.03_odp.01 props: - name: label value: SA-09(03)_ODP[01] class: sp800-53a label: security requirements, properties, factors, or conditions guidelines: - prose: security requirements, properties, factors, or conditions defining acceptable trust relationships on which a trust relationship is maintained are defined; - id: sa-09.03_odp.02 props: - name: label value: SA-09(03)_ODP[02] class: sp800-53a label: privacy requirements, properties, factors, or conditions guidelines: - prose: privacy requirements, properties, factors, or conditions defining acceptable trust relationships on which a trust relationship is maintained are defined; props: - name: label value: SA-09(03) class: zero-padded - name: label value: SA-9(3) - name: label value: SA-09(03) class: sp800-53a - name: sort-id value: sa-09.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-9' rel: required - href: '#sr-2' rel: related parts: - id: sa-9.3_smt name: statement prose: 'Establish, document, and maintain trust relationships with external service providers based on the following requirements, properties, factors, or conditions: {{ insert: param, sa-9.3_prm_1 }}.' - id: sa-9.3_gdn name: guidance prose: Trust relationships between organizations and external service providers reflect the degree of confidence that the risk from using external services is at an acceptable level. Trust relationships can help organizations gain increased levels of confidence that service providers are providing adequate protection for the services rendered and can also be useful when conducting incident response or when planning for upgrades or obsolescence. Trust relationships can be complicated due to the potentially large number of entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and types of interactions between the parties. In some cases, the degree of trust is based on the level of control that organizations can exert on external service providers regarding the controls necessary for the protection of the service, information, or individual privacy and the evidence brought forth as to the effectiveness of the implemented controls. The level of control is established by the terms and conditions of the contracts or service-level agreements. - id: sa-9.3_obj name: assessment-objective props: - name: label value: SA-09(03) class: sp800-53a parts: - id: sa-9.3_obj-1 name: assessment-objective props: - name: label value: SA-09(03)[01] class: sp800-53a prose: 'trust relationships with external service provides based on {{ insert: param, sa-09.03_odp.01 }} are established and documented;' links: - href: '#sa-9.3_smt' rel: assessment-for - id: sa-9.3_obj-2 name: assessment-objective props: - name: label value: SA-09(03)[02] class: sp800-53a prose: 'trust relationships with external service provides based on {{ insert: param, sa-09.03_odp.01 }} are maintained;' links: - href: '#sa-9.3_smt' rel: assessment-for - id: sa-9.3_obj-3 name: assessment-objective props: - name: label value: SA-09(03)[03] class: sp800-53a prose: 'trust relationships with external service provides based on {{ insert: param, sa-09.03_odp.02 }} are established and documented;' links: - href: '#sa-9.3_smt' rel: assessment-for - id: sa-9.3_obj-4 name: assessment-objective props: - name: label value: SA-09(03)[04] class: sp800-53a prose: 'trust relationships with external service provides based on {{ insert: param, sa-09.03_odp.02 }} are maintained.' links: - href: '#sa-9.3_smt' rel: assessment-for links: - href: '#sa-9.3_smt' rel: assessment-for - id: sa-9.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-09(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures acquisition contracts for the system, system component, or system service acquisition documentation solicitation documentation service level agreements memorandum of understanding memorandum of agreements list of organizational security and privacy requirements, properties, factors, or conditions for external provider services documentation of trust relationships with external service providers system security plan privacy plan supply chain risk management plan other relevant documents or records - id: sa-9.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-09(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with acquisition responsibilities organizational personnel with information security and privacy responsibilities external providers of system services organizational personnel with supply chain risk management responsibilities - id: sa-9.4 class: SP800-53-enhancement title: Consistent Interests of Consumers and Providers params: - id: sa-09.04_odp.01 props: - name: alt-identifier value: sa-9.4_prm_1 - name: label value: SA-09(04)_ODP[01] class: sp800-53a label: external service providers guidelines: - prose: external service providers are defined; - id: sa-09.04_odp.02 props: - name: alt-identifier value: sa-9.4_prm_2 - name: label value: SA-09(04)_ODP[02] class: sp800-53a label: actions guidelines: - prose: actions to be taken to verify that the interests of external service providers are consistent with and reflect organizational interests are defined; props: - name: label value: SA-09(04) class: zero-padded - name: label value: SA-9(4) - name: label value: SA-09(04) class: sp800-53a - name: sort-id value: sa-09.04 - 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: '#sa-9' rel: required parts: - id: sa-9.4_smt name: statement prose: 'Take the following actions to verify that the interests of {{ insert: param, sa-09.04_odp.01 }} are consistent with and reflect organizational interests: {{ insert: param, sa-09.04_odp.02 }}.' - id: sa-9.4_gdn name: guidance prose: As organizations increasingly use external service providers, it is possible that the interests of the service providers may diverge from organizational interests. In such situations, simply having the required technical, management, or operational controls in place may not be sufficient if the providers that implement and manage those controls are not operating in a manner consistent with the interests of the consuming organizations. Actions that organizations take to address such concerns include requiring background checks for selected service provider personnel; examining ownership records; employing only trustworthy service providers, such as providers with which organizations have had successful trust relationships; and conducting routine, periodic, unscheduled visits to service provider facilities. - id: sa-9.4_obj name: assessment-objective props: - name: label value: SA-09(04) class: sp800-53a prose: '{{ insert: param, sa-09.04_odp.02 }} are taken to verify that the interests of {{ insert: param, sa-09.04_odp.01 }} are consistent with and reflect organizational interests.' links: - href: '#sa-9.4_smt' rel: assessment-for - id: sa-9.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-09(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing external system services acquisition contracts for the system, system component, or system service solicitation documentation acquisition documentation service level agreements organizational security requirements/safeguards for external service providers personnel security policies for external service providers assessments performed on external service providers system security plan supply chain risk management plan other relevant documents or records - id: sa-9.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-09(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities external providers of system services organizational personnel with supply chain risk management responsibilities - id: sa-9.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-09(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for defining and employing safeguards to ensure consistent interests with external service providers mechanisms supporting and/or implementing safeguards to ensure consistent interests with external service providers - id: sa-9.5 class: SP800-53-enhancement title: Processing, Storage, and Service Location params: - id: sa-09.05_odp.01 props: - name: alt-identifier value: sa-9.5_prm_1 - name: label value: SA-09(05)_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - information processing - information or data - system services - id: sa-09.05_odp.02 props: - name: alt-identifier value: sa-9.5_prm_2 - name: label value: SA-09(05)_ODP[02] class: sp800-53a label: locations guidelines: - prose: 'locations where {{ insert: param, sa-09.05_odp.01 }} is/are to be restricted are defined;' - id: sa-09.05_odp.03 props: - name: alt-identifier value: sa-9.5_prm_3 - name: alt-label value: requirements or conditions class: sp800-53 - name: label value: SA-09(05)_ODP[03] class: sp800-53a label: requirements guidelines: - prose: 'requirements or conditions for restricting the location of {{ insert: param, sa-09.05_odp.01 }} are defined;' props: - name: label value: SA-09(05) class: zero-padded - name: label value: SA-9(5) - name: label value: SA-09(05) class: sp800-53a - name: sort-id value: sa-09.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-9' rel: required - href: '#sa-5' rel: related - href: '#sr-4' rel: related parts: - id: sa-9.5_smt name: statement prose: 'Restrict the location of {{ insert: param, sa-09.05_odp.01 }} to {{ insert: param, sa-09.05_odp.02 }} based on {{ insert: param, sa-09.05_odp.03 }}.' - id: sa-9.5_gdn name: guidance prose: The location of information processing, information and data storage, or system services can have a direct impact on the ability of organizations to successfully execute their mission and business functions. The impact occurs when external providers control the location of processing, storage, or services. The criteria that external providers use for the selection of processing, storage, or service locations may be different from the criteria that organizations use. For example, organizations may desire that data or information storage locations be restricted to certain locations to help facilitate incident response activities in case of information security incidents or breaches. Incident response activities, including forensic analyses and after-the-fact investigations, may be adversely affected by the governing laws, policies, or protocols in the locations where processing and storage occur and/or the locations from which system services emanate. - id: sa-9.5_obj name: assessment-objective props: - name: label value: SA-09(05) class: sp800-53a prose: 'based on {{ insert: param, sa-09.05_odp.03 }}, {{ insert: param, sa-09.05_odp.01 }} is/are restricted to {{ insert: param, sa-09.05_odp.02 }}.' links: - href: '#sa-9.5_smt' rel: assessment-for - id: sa-9.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-09(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing external system services acquisition contracts for the system, system component, or system service solicitation documentation acquisition documentation service level agreements restricted locations for information processing information/data and/or system services information processing, information/data, and/or system services to be maintained in restricted locations organizational security requirements or conditions for external providers system security plan supply chain risk management plan other relevant documents or records - id: sa-9.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-09(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities external providers of system services organizational personnel with supply chain risk management responsibilities - id: sa-9.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-09(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for defining the requirements to restrict locations of information processing, information/data, or information services organizational processes for ensuring the location is restricted in accordance with requirements or conditions - id: sa-9.6 class: SP800-53-enhancement title: Organization-controlled Cryptographic Keys props: - name: label value: SA-09(06) class: zero-padded - name: label value: SA-9(6) - name: label value: SA-09(06) class: sp800-53a - name: sort-id value: sa-09.06 - 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: '#sa-9' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#si-4' rel: related parts: - id: sa-9.6_smt name: statement prose: Maintain exclusive control of cryptographic keys for encrypted material stored or transmitted through an external system. - id: sa-9.6_gdn name: guidance prose: Maintaining exclusive control of cryptographic keys in an external system prevents decryption of organizational data by external system staff. Organizational control of cryptographic keys can be implemented by encrypting and decrypting data inside the organization as data is sent to and received from the external system or by employing a component that permits encryption and decryption functions to be local to the external system but allows exclusive organizational access to the encryption keys. - id: sa-9.6_obj name: assessment-objective props: - name: label value: SA-09(06) class: sp800-53a prose: exclusive control of cryptographic keys is maintained for encrypted material stored or transmitted through an external system. links: - href: '#sa-9.6_smt' rel: assessment-for - id: sa-9.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-09(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing external system services acquisition contracts for the system, system component, or system service solicitation documentation acquisition documentation service level agreements procedures addressing organization-controlled cryptographic key management organizational security requirements or conditions for external providers system security plan supply chain risk management plan other relevant documents or records - id: sa-9.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-09(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organization personnel with cryptographic key management responsibilities external providers of system services organizational personnel with supply chain risk management responsibilities - id: sa-9.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-09(06)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for cryptographic key management mechanisms for supporting and implementing the management of organization-controlled cryptographic keys - id: sa-9.7 class: SP800-53-enhancement title: Organization-controlled Integrity Checking props: - name: label value: SA-09(07) class: zero-padded - name: label value: SA-9(7) - name: label value: SA-09(07) class: sp800-53a - name: sort-id value: sa-09.07 - 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: '#sa-9' rel: required - href: '#si-7' rel: related parts: - id: sa-9.7_smt name: statement prose: Provide the capability to check the integrity of information while it resides in the external system. - id: sa-9.7_gdn name: guidance prose: Storage of organizational information in an external system could limit visibility into the security status of its data. The ability of the organization to verify and validate the integrity of its stored data without transferring it out of the external system provides such visibility. - id: sa-9.7_obj name: assessment-objective props: - name: label value: SA-09(07) class: sp800-53a prose: the capability is provided to check the integrity of information while it resides in the external system. links: - href: '#sa-9.7_smt' rel: assessment-for - id: sa-9.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-09(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing external system services acquisition contracts for the system, system component, or system service solicitation documentation acquisition documentation service level agreements procedures addressing organization-controlled integrity checking information/data and/or system services organizational security requirements or conditions for external providers system security plan supply chain risk management plan other relevant documents or records - id: sa-9.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-09(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organization personnel with integrity checking responsibilities external providers of system services organizational personnel with supply chain risk management responsibilities - id: sa-9.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-09(07)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for integrity checking mechanisms for supporting and implementing integrity checking of information in external systems - id: sa-9.8 class: SP800-53-enhancement title: Processing and Storage Location — U.S. Jurisdiction props: - name: label value: SA-09(08) class: zero-padded - name: label value: SA-9(8) - name: label value: SA-09(08) class: sp800-53a - name: sort-id value: sa-09.08 - 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: '#sa-9' rel: required - href: '#sa-5' rel: related - href: '#sr-4' rel: related parts: - id: sa-9.8_smt name: statement prose: Restrict the geographic location of information processing and data storage to facilities located within in the legal jurisdictional boundary of the United States. - id: sa-9.8_gdn name: guidance prose: The geographic location of information processing and data storage can have a direct impact on the ability of organizations to successfully execute their mission and business functions. A compromise or breach of high impact information and systems can have severe or catastrophic adverse impacts on organizational assets and operations, individuals, other organizations, and the Nation. Restricting the processing and storage of high-impact information to facilities within the legal jurisdictional boundary of the United States provides greater control over such processing and storage. - id: sa-9.8_obj name: assessment-objective props: - name: label value: SA-09(08) class: sp800-53a prose: the geographic location of information processing and data storage is restricted to facilities located within the legal jurisdictional boundary of the United States. links: - href: '#sa-9.8_smt' rel: assessment-for - id: sa-9.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-09(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing external system services acquisition contracts for the system, system component, or system service solicitation documentation acquisition documentation service level agreements procedures addressing determining jurisdiction restrictions for processing and storage location information/data and/or system services organizational security requirements or conditions for external providers system security plan supply chain risk management plan other relevant documents or records - id: sa-9.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-09(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organization personnel with supply chain risk management responsibilities external providers of system services - id: sa-9.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-09(08)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes restricting external system service providers to process and store information within the legal jurisdictional boundary of the United States - id: sa-10 class: SP800-53 title: Developer Configuration Management params: - id: sa-10_odp.01 props: - name: alt-identifier value: sa-10_prm_1 - name: label value: SA-10_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - design - development - implementation - operation - disposal - id: sa-10_odp.02 props: - name: alt-identifier value: sa-10_prm_2 - name: alt-label value: configuration items under configuration management class: sp800-53 - name: label value: SA-10_ODP[02] class: sp800-53a label: configuration items guidelines: - prose: configuration items under configuration management are defined; - id: sa-10_odp.03 props: - name: alt-identifier value: sa-10_prm_3 - name: label value: SA-10_ODP[03] class: sp800-53a label: personnel guidelines: - prose: personnel to whom security flaws and flaw resolutions within the system, component, or service are reported is/are defined; props: - name: label value: SA-10 class: zero-padded - name: label value: SA-10 - name: label value: SA-10 class: sp800-53a - name: sort-id value: sa-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#eea3c092-42ed-4382-a6f4-1adadef01b9d' rel: reference - href: '#a295ca19-8c75-4b4c-8800-98024732e181' rel: reference - href: '#20db4e66-e257-450c-b2e4-2bb9a62a2c88' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#cm-2' rel: related - href: '#cm-3' rel: related - href: '#cm-4' rel: related - href: '#cm-7' rel: related - href: '#cm-9' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-15' rel: related - href: '#si-2' rel: related - href: '#sr-3' rel: related - href: '#sr-4' rel: related - href: '#sr-5' rel: related - href: '#sr-6' rel: related parts: - id: sa-10_smt name: statement prose: 'Require the developer of the system, system component, or system service to:' parts: - id: sa-10_smt.a name: item props: - name: label value: a. prose: 'Perform configuration management during system, component, or service {{ insert: param, sa-10_odp.01 }};' - id: sa-10_smt.b name: item props: - name: label value: b. prose: 'Document, manage, and control the integrity of changes to {{ insert: param, sa-10_odp.02 }};' - id: sa-10_smt.c name: item props: - name: label value: c. prose: Implement only organization-approved changes to the system, component, or service; - id: sa-10_smt.d name: item props: - name: label value: d. prose: Document approved changes to the system, component, or service and the potential security and privacy impacts of such changes; and - id: sa-10_smt.e name: item props: - name: label value: e. prose: 'Track security flaws and flaw resolution within the system, component, or service and report findings to {{ insert: param, sa-10_odp.03 }}.' - id: sa-10_gdn name: guidance prose: |- Organizations consider the quality and completeness of configuration management activities conducted by developers as direct evidence of applying effective security controls. Controls include protecting the master copies of material used to generate security-relevant portions of the system hardware, software, and firmware from unauthorized modification or destruction. Maintaining the integrity of changes to the system, system component, or system service requires strict configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. The configuration items that are placed under configuration management include the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the current running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and source code with previous versions; and test fixtures and documentation. Depending on the mission and business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance stage of the system development life cycle. - id: sa-10_obj name: assessment-objective props: - name: label value: SA-10 class: sp800-53a parts: - id: sa-10_obj.a name: assessment-objective props: - name: label value: SA-10a. class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform configuration management during system, component, or service {{ insert: param, sa-10_odp.01 }};' links: - href: '#sa-10_smt.a' rel: assessment-for - id: sa-10_obj.b name: assessment-objective props: - name: label value: SA-10b. class: sp800-53a parts: - id: sa-10_obj.b-1 name: assessment-objective props: - name: label value: SA-10b.[01] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to document the integrity of changes to {{ insert: param, sa-10_odp.02 }};' links: - href: '#sa-10_smt.b' rel: assessment-for - id: sa-10_obj.b-2 name: assessment-objective props: - name: label value: SA-10b.[02] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to manage the integrity of changes to {{ insert: param, sa-10_odp.02 }};' links: - href: '#sa-10_smt.b' rel: assessment-for - id: sa-10_obj.b-3 name: assessment-objective props: - name: label value: SA-10b.[03] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to control the integrity of changes to {{ insert: param, sa-10_odp.02 }};' links: - href: '#sa-10_smt.b' rel: assessment-for links: - href: '#sa-10_smt.b' rel: assessment-for - id: sa-10_obj.c name: assessment-objective props: - name: label value: SA-10c. class: sp800-53a prose: the developer of the system, system component, or system service is required to implement only organization-approved changes to the system, component, or service; links: - href: '#sa-10_smt.c' rel: assessment-for - id: sa-10_obj.d name: assessment-objective props: - name: label value: SA-10d. class: sp800-53a parts: - id: sa-10_obj.d-1 name: assessment-objective props: - name: label value: SA-10d.[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to document approved changes to the system, component, or service; links: - href: '#sa-10_smt.d' rel: assessment-for - id: sa-10_obj.d-2 name: assessment-objective props: - name: label value: SA-10d.[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to document the potential security impacts of approved changes; links: - href: '#sa-10_smt.d' rel: assessment-for - id: sa-10_obj.d-3 name: assessment-objective props: - name: label value: SA-10d.[03] class: sp800-53a prose: the developer of the system, system component, or system service is required to document the potential privacy impacts of approved changes; links: - href: '#sa-10_smt.d' rel: assessment-for links: - href: '#sa-10_smt.d' rel: assessment-for - id: sa-10_obj.e name: assessment-objective props: - name: label value: SA-10e. class: sp800-53a parts: - id: sa-10_obj.e-1 name: assessment-objective props: - name: label value: SA-10e.[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to track security flaws within the system, component, or service; links: - href: '#sa-10_smt.e' rel: assessment-for - id: sa-10_obj.e-2 name: assessment-objective props: - name: label value: SA-10e.[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to track security flaw resolutions within the system, component, or service; links: - href: '#sa-10_smt.e' rel: assessment-for - id: sa-10_obj.e-3 name: assessment-objective props: - name: label value: SA-10e.[03] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to report findings to {{ insert: param, sa-10_odp.03 }}.' links: - href: '#sa-10_smt.e' rel: assessment-for links: - href: '#sa-10_smt.e' rel: assessment-for links: - href: '#sa-10_smt' rel: assessment-for - id: sa-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-10-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing system developer configuration management solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer configuration management plan security flaw and flaw resolution tracking records system change authorization records change control records configuration management records system security plan other relevant documents or records - id: sa-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-10-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with configuration management responsibilities system developers - id: sa-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-10-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring developer configuration management mechanisms supporting and/or implementing the monitoring of developer configuration management controls: - id: sa-10.1 class: SP800-53-enhancement title: Software and Firmware Integrity Verification props: - name: label value: SA-10(01) class: zero-padded - name: label value: SA-10(1) - name: label value: SA-10(01) class: sp800-53a - name: sort-id value: sa-10.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-10' rel: required - href: '#si-7' rel: related - href: '#sr-11' rel: related parts: - id: sa-10.1_smt name: statement prose: Require the developer of the system, system component, or system service to enable integrity verification of software and firmware components. - id: sa-10.1_gdn name: guidance prose: Software and firmware integrity verification allows organizations to detect unauthorized changes to software and firmware components using developer-provided tools, techniques, and mechanisms. The integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components. - id: sa-10.1_obj name: assessment-objective props: - name: label value: SA-10(01) class: sp800-53a prose: the developer of the system, system component, or system service is required to enable integrity verification of software and firmware components. links: - href: '#sa-10.1_smt' rel: assessment-for - id: sa-10.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-10(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing system developer configuration management solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer configuration management plan software and firmware integrity verification records system change authorization records change control records configuration management records system security plan supply chain risk management plan other relevant documents or records - id: sa-10.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-10(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with configuration management responsibilities system developers organizational personnel with supply chain risk management responsibilities - id: sa-10.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-10(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring developer configuration management mechanisms supporting and/or implementing the monitoring of developer configuration management - id: sa-10.2 class: SP800-53-enhancement title: Alternative Configuration Management Processes props: - name: label value: SA-10(02) class: zero-padded - name: label value: SA-10(2) - name: label value: SA-10(02) class: sp800-53a - name: sort-id value: sa-10.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-10' rel: required parts: - id: sa-10.2_smt name: statement prose: Provide an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team. - id: sa-10.2_gdn name: guidance prose: Alternate configuration management processes may be required when organizations use commercial off-the-shelf information technology products. Alternate configuration management processes include organizational personnel who review and approve proposed changes to systems, system components, and system services and conduct security and privacy impact analyses prior to the implementation of changes to systems, components, or services. - id: sa-10.2_obj name: assessment-objective props: - name: label value: SA-10(02) class: sp800-53a prose: an alternate configuration management process has been provided using organizational personnel in the absence of a dedicated developer configuration management team. links: - href: '#sa-10.2_smt' rel: assessment-for - id: sa-10.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-10(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures configuration management policy configuration management plan solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer configuration management plan security impact analyses privacy impact analyses privacy impact assessment privacy risk assessment documentation system security plan privacy plan other relevant documents or records - id: sa-10.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-10(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 configuration management responsibilities system developers - id: sa-10.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-10(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring developer configuration management mechanisms supporting and/or implementing the monitoring of developer configuration management - id: sa-10.3 class: SP800-53-enhancement title: Hardware Integrity Verification props: - name: label value: SA-10(03) class: zero-padded - name: label value: SA-10(3) - name: label value: SA-10(03) class: sp800-53a - name: sort-id value: sa-10.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-10' rel: required - href: '#si-7' rel: related parts: - id: sa-10.3_smt name: statement prose: Require the developer of the system, system component, or system service to enable integrity verification of hardware components. - id: sa-10.3_gdn name: guidance prose: Hardware integrity verification allows organizations to detect unauthorized changes to hardware components using developer-provided tools, techniques, methods, and mechanisms. Organizations may verify the integrity of hardware components with hard-to-copy labels, verifiable serial numbers provided by developers, and by requiring the use of anti-tamper technologies. Delivered hardware components also include hardware and firmware updates to such components. - id: sa-10.3_obj name: assessment-objective props: - name: label value: SA-10(03) class: sp800-53a prose: the developer of the system, system component, or system service is required to enable integrity verification of hardware components. links: - href: '#sa-10.3_smt' rel: assessment-for - id: sa-10.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-10(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing system developer configuration management solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer configuration management plan hardware integrity verification records system security plan supply chain risk management plan other relevant documents or records - id: sa-10.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-10(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with configuration management responsibilities system developers organizational personnel with supply chain risk management responsibilities - id: sa-10.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-10(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring developer configuration management mechanisms supporting and/or implementing the monitoring of developer configuration management - id: sa-10.4 class: SP800-53-enhancement title: Trusted Generation props: - name: label value: SA-10(04) class: zero-padded - name: label value: SA-10(4) - name: label value: SA-10(04) class: sp800-53a - name: sort-id value: sa-10.04 - 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: '#sa-10' rel: required parts: - id: sa-10.4_smt name: statement prose: Require the developer of the system, system component, or system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions, source code, and object code with previous versions. - id: sa-10.4_gdn name: guidance prose: The trusted generation of descriptions, source code, and object code addresses authorized changes to hardware, software, and firmware components between versions during development. The focus is on the efficacy of the configuration management process by the developer to ensure that newly generated versions of security-relevant hardware descriptions, source code, and object code continue to enforce the security policy for the system, system component, or system service. In contrast, [SA-10(1)](#sa-10.1) and [SA-10(3)](#sa-10.3) allow organizations to detect unauthorized changes to hardware, software, and firmware components using tools, techniques, or mechanisms provided by developers. - id: sa-10.4_obj name: assessment-objective props: - name: label value: SA-10(04) class: sp800-53a parts: - id: sa-10.4_obj-1 name: assessment-objective props: - name: label value: SA-10(04)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to employ tools for comparing newly generated versions of security-relevant hardware descriptions with previous versions; links: - href: '#sa-10.4_smt' rel: assessment-for - id: sa-10.4_obj-2 name: assessment-objective props: - name: label value: SA-10(04)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to employ tools for comparing newly generated versions of source code with previous versions; links: - href: '#sa-10.4_smt' rel: assessment-for - id: sa-10.4_obj-3 name: assessment-objective props: - name: label value: SA-10(04)[03] class: sp800-53a prose: the developer of the system, system component, or system service is required to employ tools for comparing newly generated versions of object code with previous versions. links: - href: '#sa-10.4_smt' rel: assessment-for links: - href: '#sa-10.4_smt' rel: assessment-for - id: sa-10.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-10(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing system developer configuration management solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer configuration management plan change control records configuration management records configuration control audit records system security plan other relevant documents or records - id: sa-10.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-10(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring developer configuration management mechanisms supporting and/or implementing the monitoring of developer configuration management - id: sa-10.5 class: SP800-53-enhancement title: Mapping Integrity for Version Control props: - name: label value: SA-10(05) class: zero-padded - name: label value: SA-10(5) - name: label value: SA-10(05) class: sp800-53a - name: sort-id value: sa-10.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-10' rel: required parts: - id: sa-10.5_smt name: statement prose: Require the developer of the system, system component, or system service to maintain the integrity of the mapping between the master build data describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version. - id: sa-10.5_gdn name: guidance prose: Mapping integrity for version control addresses changes to hardware, software, and firmware components during both initial development and system development life cycle updates. Maintaining the integrity between the master copies of security-relevant hardware, software, and firmware (including designs, hardware drawings, source code) and the equivalent data in master copies in operational environments is essential to ensuring the availability of organizational systems that support critical mission and business functions. - id: sa-10.5_obj name: assessment-objective props: - name: label value: SA-10(05) class: sp800-53a prose: the developer of the system, system component, or system service is required to maintain the integrity of the mapping between the master build data describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version. links: - href: '#sa-10.5_smt' rel: assessment-for - id: sa-10.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-10(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing system developer configuration management solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer configuration management plan change control records configuration management records version control change/update records integrity verification records between master copies of security-relevant hardware, software, and firmware (including designs and source code) system security plan other relevant documents or records - id: sa-10.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-10(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with configuration management responsibilities system developers - id: sa-10.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-10(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring developer configuration management mechanisms supporting and/or implementing the monitoring of developer configuration management - id: sa-10.6 class: SP800-53-enhancement title: Trusted Distribution props: - name: label value: SA-10(06) class: zero-padded - name: label value: SA-10(6) - name: label value: SA-10(06) class: sp800-53a - name: sort-id value: sa-10.06 - 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: '#sa-10' rel: required parts: - id: sa-10.6_smt name: statement prose: Require the developer of the system, system component, or system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies. - id: sa-10.6_gdn name: guidance prose: The trusted distribution of security-relevant hardware, software, and firmware updates help to ensure that the updates are correct representations of the master copies maintained by the developer and have not been tampered with during distribution. - id: sa-10.6_obj name: assessment-objective props: - name: label value: SA-10(06) class: sp800-53a prose: the developer of the system, system component, or system service is required to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies. links: - href: '#sa-10.6_smt' rel: assessment-for - id: sa-10.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-10(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing system developer configuration management solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer configuration management plan change control records configuration management records system security plan other relevant documents or records - id: sa-10.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-10(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with configuration management responsibilities system developers - id: sa-10.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-10(06)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring developer configuration management mechanisms supporting and/or implementing the monitoring of developer configuration management - id: sa-10.7 class: SP800-53-enhancement title: Security and Privacy Representatives params: - id: sa-10.7_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-10.07_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-10.07_odp.02 label: organization-defined security and privacy representatives - id: sa-10.7_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-10.07_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-10.07_odp.04 label: organization-defined configuration change management and control process - id: sa-10.07_odp.01 props: - name: label value: SA-10(07)_ODP[01] class: sp800-53a label: security representatives guidelines: - prose: security representatives to be included in the configuration change management and control process are defined; - id: sa-10.07_odp.02 props: - name: label value: SA-10(07)_ODP[02] class: sp800-53a label: privacy representatives guidelines: - prose: privacy representatives to be included in the configuration change management and control process are defined; - id: sa-10.07_odp.03 props: - name: label value: SA-10(07)_ODP[03] class: sp800-53a label: configuration change management and control processes guidelines: - prose: configuration change management and control processes in which security representatives are required to be included are defined; - id: sa-10.07_odp.04 props: - name: label value: SA-10(07)_ODP[04] class: sp800-53a label: configuration change management and control processes guidelines: - prose: configuration change management and control processes in which privacy representatives are required to be included are defined; props: - name: label value: SA-10(07) class: zero-padded - name: label value: SA-10(7) - name: label value: SA-10(07) class: sp800-53a - name: sort-id value: sa-10.07 - 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: '#sa-10' rel: required parts: - id: sa-10.7_smt name: statement prose: 'Require {{ insert: param, sa-10.7_prm_1 }} to be included in the {{ insert: param, sa-10.7_prm_2 }}.' - id: sa-10.7_gdn name: guidance prose: Information security and privacy representatives can include system security officers, senior agency information security officers, senior agency officials for privacy, and system privacy officers. Representation by personnel with information security and privacy expertise is important because changes to system configurations can have unintended side effects, some of which may be security- or privacy-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security and privacy posture of systems. The configuration change management and control process in this control enhancement refers to the change management and control process defined by organizations in [SA-10b](#sa-10_smt.b). - id: sa-10.7_obj name: assessment-objective props: - name: label value: SA-10(07) class: sp800-53a parts: - id: sa-10.7_obj-1 name: assessment-objective props: - name: label value: SA-10(07)[01] class: sp800-53a prose: '{{ insert: param, sa-10.07_odp.01 }} are required to be included in the {{ insert: param, sa-10.07_odp.03 }};' links: - href: '#sa-10.7_smt' rel: assessment-for - id: sa-10.7_obj-2 name: assessment-objective props: - name: label value: SA-10(07)[02] class: sp800-53a prose: '{{ insert: param, sa-10.07_odp.02 }} are required to be included in the {{ insert: param, sa-10.07_odp.04 }}.' links: - href: '#sa-10.7_smt' rel: assessment-for links: - href: '#sa-10.7_smt' rel: assessment-for - id: sa-10.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-10(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures configuration management policy configuration management plan solicitation documentation requiring representatives for security and privacy acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer configuration management plan change control records configuration management records system security plan other relevant documents or records - id: sa-10.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-10(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with configuration management responsibilities system developers - id: sa-11 class: SP800-53 title: Developer Testing and Evaluation params: - id: sa-11_odp.01 props: - name: alt-identifier value: sa-11_prm_1 - name: label value: SA-11_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - unit - integration - system - regression - id: sa-11_odp.02 props: - name: alt-identifier value: sa-11_prm_2 - name: alt-label value: frequency class: sp800-53 - name: label value: SA-11_ODP[02] class: sp800-53a label: frequency to conduct guidelines: - prose: 'frequency at which to conduct {{ insert: param, sa-11_odp.01 }} testing/evaluation is defined;' - id: sa-11_odp.03 props: - name: alt-identifier value: sa-11_prm_3 - name: label value: SA-11_ODP[03] class: sp800-53a label: depth and coverage guidelines: - prose: 'depth and coverage of {{ insert: param, sa-11_odp.01 }} testing/evaluation is defined;' props: - name: label value: SA-11 class: zero-padded - name: label value: SA-11 - name: label value: SA-11 class: sp800-53a - name: sort-id value: sa-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#4452efc0-e79e-47b8-aa30-b54f3ef61c2f' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d' rel: reference - href: '#708b94e1-3d5e-4b22-ab43-1c69f3a97e37' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#ca-2' rel: related - href: '#ca-7' rel: related - href: '#cm-4' rel: related - href: '#sa-3' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-15' rel: related - href: '#sa-17' rel: related - href: '#si-2' rel: related - href: '#sr-5' rel: related - href: '#sr-6' rel: related - href: '#sr-7' rel: related parts: - id: sa-11_smt name: statement prose: 'Require the developer of the system, system component, or system service, at all post-design stages of the system development life cycle, to:' parts: - id: sa-11_smt.a name: item props: - name: label value: a. prose: Develop and implement a plan for ongoing security and privacy control assessments; - id: sa-11_smt.b name: item props: - name: label value: b. prose: 'Perform {{ insert: param, sa-11_odp.01 }} testing/evaluation {{ insert: param, sa-11_odp.02 }} at {{ insert: param, sa-11_odp.03 }};' - id: sa-11_smt.c name: item props: - name: label value: c. prose: Produce evidence of the execution of the assessment plan and the results of the testing and evaluation; - id: sa-11_smt.d name: item props: - name: label value: d. prose: Implement a verifiable flaw remediation process; and - id: sa-11_smt.e name: item props: - name: label value: e. prose: Correct flaws identified during testing and evaluation. - id: sa-11_gdn name: guidance prose: |- Developmental testing and evaluation confirms that the required controls are implemented correctly, operating as intended, enforcing the desired security and privacy policies, and meeting established security and privacy requirements. Security properties of systems and the privacy of individuals may be affected by the interconnection of system components or changes to those components. The interconnections or changes—including upgrading or replacing applications, operating systems, and firmware—may adversely affect previously implemented controls. Ongoing assessment during development allows for additional types of testing and evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as manual code review, security architecture review, and penetration testing, as well as and static analysis, dynamic analysis, binary analysis, or a hybrid of the three analysis approaches. Developers can use the analysis approaches, along with security instrumentation and fuzzing, in a variety of tools and in source code reviews. The security and privacy assessment plans include the specific activities that developers plan to carry out, including the types of analyses, testing, evaluation, and reviews of software and firmware components; the degree of rigor to be applied; the frequency of the ongoing testing and evaluation; and the types of artifacts produced during those processes. The depth of testing and evaluation refers to the rigor and level of detail associated with the assessment process. The coverage of testing and evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security and privacy assessment plans, flaw remediation processes, and the evidence that the plans and processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the system. Contracts may specify protection requirements for documentation. - id: sa-11_obj name: assessment-objective props: - name: label value: SA-11 class: sp800-53a parts: - id: sa-11_obj.a name: assessment-objective props: - name: label value: SA-11a. class: sp800-53a parts: - id: sa-11_obj.a-1 name: assessment-objective props: - name: label value: SA-11a.[01] class: sp800-53a prose: the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to develop a plan for ongoing security assessments; links: - href: '#sa-11_smt.a' rel: assessment-for - id: sa-11_obj.a-2 name: assessment-objective props: - name: label value: SA-11a.[02] class: sp800-53a prose: the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a plan for ongoing security assessments; links: - href: '#sa-11_smt.a' rel: assessment-for - id: sa-11_obj.a-3 name: assessment-objective props: - name: label value: SA-11a.[03] class: sp800-53a prose: the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to develop a plan for privacy assessments; links: - href: '#sa-11_smt.a' rel: assessment-for - id: sa-11_obj.a-4 name: assessment-objective props: - name: label value: SA-11a.[04] class: sp800-53a prose: the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a plan for ongoing privacy assessments; links: - href: '#sa-11_smt.a' rel: assessment-for links: - href: '#sa-11_smt.a' rel: assessment-for - id: sa-11_obj.b name: assessment-objective props: - name: label value: SA-11b. class: sp800-53a prose: 'the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to perform {{ insert: param, sa-11_odp.01 }} testing/evaluation {{ insert: param, sa-11_odp.02 }} at {{ insert: param, sa-11_odp.03 }};' links: - href: '#sa-11_smt.b' rel: assessment-for - id: sa-11_obj.c name: assessment-objective props: - name: label value: SA-11c. class: sp800-53a parts: - id: sa-11_obj.c-1 name: assessment-objective props: - name: label value: SA-11c.[01] class: sp800-53a prose: the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to produce evidence of the execution of the assessment plan; links: - href: '#sa-11_smt.c' rel: assessment-for - id: sa-11_obj.c-2 name: assessment-objective props: - name: label value: SA-11c.[02] class: sp800-53a prose: the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to produce the results of the testing and evaluation; links: - href: '#sa-11_smt.c' rel: assessment-for links: - href: '#sa-11_smt.c' rel: assessment-for - id: sa-11_obj.d name: assessment-objective props: - name: label value: SA-11d. class: sp800-53a prose: the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a verifiable flaw remediation process; links: - href: '#sa-11_smt.d' rel: assessment-for - id: sa-11_obj.e name: assessment-objective props: - name: label value: SA-11e. class: sp800-53a prose: the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to correct flaws identified during testing and evaluation. links: - href: '#sa-11_smt.e' rel: assessment-for links: - href: '#sa-11_smt' rel: assessment-for - id: sa-11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-11-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing system developer security and privacy testing procedures addressing flaw remediation solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service security and privacy architecture system design documentation system developer security and privacy assessment plans results of developer security and privacy assessments for the system, system component, or system service security and privacy flaw and remediation tracking records system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: sa-11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-11-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with developer security and privacy testing responsibilities system developers - id: sa-11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-11-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring developer security testing and evaluation mechanisms supporting and/or implementing the monitoring of developer security and privacy testing and evaluation controls: - id: sa-11.1 class: SP800-53-enhancement title: Static Code Analysis props: - name: label value: SA-11(01) class: zero-padded - name: label value: SA-11(1) - name: label value: SA-11(01) class: sp800-53a - name: sort-id value: sa-11.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-11' rel: required parts: - id: sa-11.1_smt name: statement prose: Require the developer of the system, system component, or system service to employ static code analysis tools to identify common flaws and document the results of the analysis. - id: sa-11.1_gdn name: guidance prose: Static code analysis provides a technology and methodology for security reviews and includes checking for weaknesses in the code as well as for the incorporation of libraries or other included code with known vulnerabilities or that are out-of-date and not supported. Static code analysis can be used to identify vulnerabilities and enforce secure coding practices. It is most effective when used early in the development process, when each code change can automatically be scanned for potential weaknesses. Static code analysis can provide clear remediation guidance and identify defects for developers to fix. Evidence of the correct implementation of static analysis can include aggregate defect density for critical defect types, evidence that defects were inspected by developers or security professionals, and evidence that defects were remediated. A high density of ignored findings, commonly referred to as false positives, indicates a potential problem with the analysis process or the analysis tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources. - id: sa-11.1_obj name: assessment-objective props: - name: label value: SA-11(01) class: sp800-53a parts: - id: sa-11.1_obj-1 name: assessment-objective props: - name: label value: SA-11(01)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to employ static code analysis tools to identify common flaws; links: - href: '#sa-11.1_smt' rel: assessment-for - id: sa-11.1_obj-2 name: assessment-objective props: - name: label value: SA-11(01)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to employ static code analysis tools to document the results of the analysis. links: - href: '#sa-11.1_smt' rel: assessment-for links: - href: '#sa-11.1_smt' rel: assessment-for - id: sa-11.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-11(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing system developer security testing procedures addressing flaw remediation solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service security and privacy architecture system design documentation system developer security and privacy assessment plans results of system developer security and privacy assessments security flaw and remediation tracking records system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: sa-11.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-11(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with developer security and privacy testing responsibilities organizational personnel with configuration management responsibilities system developers - id: sa-11.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-11(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring developer security testing and evaluation mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation static code analysis tools - id: sa-11.2 class: SP800-53-enhancement title: Threat Modeling and Vulnerability Analyses params: - id: sa-11.2_prm_3 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-11.02_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-11.02_odp.04 label: organization-defined breadth and depth of modeling and analyses - id: sa-11.2_prm_4 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-11.02_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-11.02_odp.06 label: organization-defined acceptance criteria - id: sa-11.02_odp.01 props: - name: alt-identifier value: sa-11.2_prm_1 - name: alt-label value: information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels class: sp800-53 - name: label value: SA-11(02)_ODP[01] class: sp800-53a label: information guidelines: - prose: information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels to be used as contextual information for threat modeling and vulnerability analyses is defined; - id: sa-11.02_odp.02 props: - name: alt-identifier value: sa-11.2_prm_2 - name: label value: SA-11(02)_ODP[02] class: sp800-53a label: tools and methods guidelines: - prose: the tools and methods to be employed for threat modeling and vulnerability analyses are defined; - id: sa-11.02_odp.03 props: - name: label value: SA-11(02)_ODP[03] class: sp800-53a label: breadth and depth guidelines: - prose: the breadth and depth of threat modeling to be conducted is defined; - id: sa-11.02_odp.04 props: - name: label value: SA-11(02)_ODP[04] class: sp800-53a label: breadth and depth guidelines: - prose: the breadth and depth of vulnerability analyses to be conducted is defined; - id: sa-11.02_odp.05 props: - name: label value: SA-11(02)_ODP[05] class: sp800-53a label: acceptance criteria guidelines: - prose: acceptance criteria to be met by produced evidence for threat modeling are defined; - id: sa-11.02_odp.06 props: - name: label value: SA-11(02)_ODP[06] class: sp800-53a label: acceptance criteria guidelines: - prose: acceptance criteria to be met by produced evidence for vulnerability analyses are defined; props: - name: label value: SA-11(02) class: zero-padded - name: label value: SA-11(2) - name: label value: SA-11(02) class: sp800-53a - name: sort-id value: sa-11.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-11' rel: required - href: '#pm-15' rel: related - href: '#ra-3' rel: related - href: '#ra-5' rel: related parts: - id: sa-11.2_smt name: statement prose: 'Require the developer of the system, system component, or system service to perform threat modeling and vulnerability analyses during development and the subsequent testing and evaluation of the system, component, or service that:' parts: - id: sa-11.2_smt.a name: item props: - name: label value: (a) prose: 'Uses the following contextual information: {{ insert: param, sa-11.02_odp.01 }};' - id: sa-11.2_smt.b name: item props: - name: label value: (b) prose: 'Employs the following tools and methods: {{ insert: param, sa-11.02_odp.02 }};' - id: sa-11.2_smt.c name: item props: - name: label value: (c) prose: 'Conducts the modeling and analyses at the following level of rigor: {{ insert: param, sa-11.2_prm_3 }} ; and' - id: sa-11.2_smt.d name: item props: - name: label value: (d) prose: 'Produces evidence that meets the following acceptance criteria: {{ insert: param, sa-11.2_prm_4 }}.' - id: sa-11.2_gdn name: guidance prose: Systems, system components, and system services may deviate significantly from the functional and design specifications created during the requirements and design stages of the system development life cycle. Therefore, updates to threat modeling and vulnerability analyses of those systems, system components, and system services during development and prior to delivery are critical to the effective operation of those systems, components, and services. Threat modeling and vulnerability analyses at this stage of the system development life cycle ensure that design and implementation changes have been accounted for and that vulnerabilities created because of those changes have been reviewed and mitigated. - id: sa-11.2_obj name: assessment-objective props: - name: label value: SA-11(02) class: sp800-53a parts: - id: sa-11.2_obj.a name: assessment-objective props: - name: label value: SA-11(02)(a) class: sp800-53a parts: - id: sa-11.2_obj.a-1 name: assessment-objective props: - name: label value: SA-11(02)(a)[01] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};' links: - href: '#sa-11.2_smt.a' rel: assessment-for - id: sa-11.2_obj.a-2 name: assessment-objective props: - name: label value: SA-11(02)(a)[02] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};' links: - href: '#sa-11.2_smt.a' rel: assessment-for - id: sa-11.2_obj.a-3 name: assessment-objective props: - name: label value: SA-11(02)(a)[03] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};' links: - href: '#sa-11.2_smt.a' rel: assessment-for - id: sa-11.2_obj.a-4 name: assessment-objective props: - name: label value: SA-11(02)(a)[04] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};' links: - href: '#sa-11.2_smt.a' rel: assessment-for links: - href: '#sa-11.2_smt.a' rel: assessment-for - id: sa-11.2_obj.b name: assessment-objective props: - name: label value: SA-11(02)(b) class: sp800-53a parts: - id: sa-11.2_obj.b-1 name: assessment-objective props: - name: label value: SA-11(02)(b)[01] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};' links: - href: '#sa-11.2_smt.b' rel: assessment-for - id: sa-11.2_obj.b-2 name: assessment-objective props: - name: label value: SA-11(02)(b)[02] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};' links: - href: '#sa-11.2_smt.b' rel: assessment-for - id: sa-11.2_obj.b-3 name: assessment-objective props: - name: label value: SA-11(02)(b)[03] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};' links: - href: '#sa-11.2_smt.b' rel: assessment-for - id: sa-11.2_obj.b-4 name: assessment-objective props: - name: label value: SA-11(02)(b)[04] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};' links: - href: '#sa-11.2_smt.b' rel: assessment-for links: - href: '#sa-11.2_smt.b' rel: assessment-for - id: sa-11.2_obj.c name: assessment-objective props: - name: label value: SA-11(02)(c) class: sp800-53a parts: - id: sa-11.2_obj.c-1 name: assessment-objective props: - name: label value: SA-11(02)(c)[01] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform threat modeling at {{ insert: param, sa-11.02_odp.03 }} during development of the system, component, or service;' links: - href: '#sa-11.2_smt.c' rel: assessment-for - id: sa-11.2_obj.c-2 name: assessment-objective props: - name: label value: SA-11(02)(c)[02] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that conducts modeling and analyses at {{ insert: param, sa-11.02_odp.04 }};' links: - href: '#sa-11.2_smt.c' rel: assessment-for links: - href: '#sa-11.2_smt.c' rel: assessment-for - id: sa-11.2_obj.d name: assessment-objective props: - name: label value: SA-11(02)(d) class: sp800-53a parts: - id: sa-11.2_obj.d-1 name: assessment-objective props: - name: label value: SA-11(02)(d)[01] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.05 }};' links: - href: '#sa-11.2_smt.d' rel: assessment-for - id: sa-11.2_obj.d-2 name: assessment-objective props: - name: label value: SA-11(02)(d)[02] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.05 }};' links: - href: '#sa-11.2_smt.d' rel: assessment-for - id: sa-11.2_obj.d-3 name: assessment-objective props: - name: label value: SA-11(02)(d)[03] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.06 }};' links: - href: '#sa-11.2_smt.d' rel: assessment-for - id: sa-11.2_obj.d-4 name: assessment-objective props: - name: label value: SA-11(02)(d)[04] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.06 }}.' links: - href: '#sa-11.2_smt.d' rel: assessment-for links: - href: '#sa-11.2_smt.d' rel: assessment-for links: - href: '#sa-11.2_smt' rel: assessment-for - id: sa-11.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-11(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing system developer security testing solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer security test plans records of developer security testing results for the system, system component, or system service vulnerability scanning results system risk assessment reports threat and vulnerability analysis reports system security plan supply chain risk management plan other relevant documents or records - id: sa-11.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-11(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with developer security testing responsibilities system developers organizational personnel with supply chain risk management responsibilities - id: sa-11.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-11(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring developer security testing and evaluation mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation - id: sa-11.3 class: SP800-53-enhancement title: Independent Verification of Assessment Plans and Evidence params: - id: sa-11.03_odp props: - name: alt-identifier value: sa-11.3_prm_1 - name: label value: SA-11(03)_ODP class: sp800-53a label: independence criteria guidelines: - prose: independence criteria to be satisfied by an independent agent are defined; props: - name: label value: SA-11(03) class: zero-padded - name: label value: SA-11(3) - name: label value: SA-11(03) class: sp800-53a - name: sort-id value: sa-11.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-11' rel: required - href: '#at-3' rel: related - href: '#ra-5' rel: related parts: - id: sa-11.3_smt name: statement parts: - id: sa-11.3_smt.a name: item props: - name: label value: (a) prose: 'Require an independent agent satisfying {{ insert: param, sa-11.03_odp }} to verify the correct implementation of the developer security and privacy assessment plans and the evidence produced during testing and evaluation; and' - id: sa-11.3_smt.b name: item props: - name: label value: (b) prose: Verify that the independent agent is provided with sufficient information to complete the verification process or granted the authority to obtain such information. - id: sa-11.3_gdn name: guidance prose: Independent agents have the qualifications—including the expertise, skills, training, certifications, and experience—to verify the correct implementation of developer security and privacy assessment plans. - id: sa-11.3_obj name: assessment-objective props: - name: label value: SA-11(03) class: sp800-53a parts: - id: sa-11.3_obj.a name: assessment-objective props: - name: label value: SA-11(03)(a) class: sp800-53a parts: - id: sa-11.3_obj.a-1 name: assessment-objective props: - name: label value: SA-11(03)(a)[01] class: sp800-53a prose: 'an independent agent is required to satisfy {{ insert: param, sa-11.03_odp }} to verify the correct implementation of the developer security assessment plan and the evidence produced during testing and evaluation;' links: - href: '#sa-11.3_smt.a' rel: assessment-for - id: sa-11.3_obj.a-2 name: assessment-objective props: - name: label value: SA-11(03)(a)[02] class: sp800-53a prose: 'an independent agent is required to satisfy {{ insert: param, sa-11.03_odp }} to verify the correct implementation of the developer privacy assessment plan and the evidence produced during testing and evaluation;' links: - href: '#sa-11.3_smt.a' rel: assessment-for links: - href: '#sa-11.3_smt.a' rel: assessment-for - id: sa-11.3_obj.b name: assessment-objective props: - name: label value: SA-11(03)(b) class: sp800-53a prose: the independent agent is provided with sufficient information to complete the verification process or granted the authority to obtain such information. links: - href: '#sa-11.3_smt.b' rel: assessment-for links: - href: '#sa-11.3_smt' rel: assessment-for - id: sa-11.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-11(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing system developer security testing solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service independent verification and validation reports security and privacy assessment plans results of security and privacy assessments for the system, system component, or system service system security plan privacy plan privacy program plan other relevant documents or records - id: sa-11.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-11(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with developer security testing responsibilities system developers independent verification agent - id: sa-11.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-11(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring developer security testing and evaluation mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation - id: sa-11.4 class: SP800-53-enhancement title: Manual Code Reviews params: - id: sa-11.04_odp.01 props: - name: alt-identifier value: sa-11.4_prm_1 - name: label value: SA-11(04)_ODP[01] class: sp800-53a label: specific code guidelines: - prose: specific code requiring manual code review is defined; - id: sa-11.04_odp.02 props: - name: alt-identifier value: sa-11.4_prm_2 - name: label value: SA-11(04)_ODP[02] class: sp800-53a label: processes, procedures, and/or techniques guidelines: - prose: processes, procedures, and/or techniques used for manual code reviews are defined; props: - name: label value: SA-11(04) class: zero-padded - name: label value: SA-11(4) - name: label value: SA-11(04) class: sp800-53a - name: sort-id value: sa-11.04 - 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: '#sa-11' rel: required parts: - id: sa-11.4_smt name: statement prose: 'Require the developer of the system, system component, or system service to perform a manual code review of {{ insert: param, sa-11.04_odp.01 }} using the following processes, procedures, and/or techniques: {{ insert: param, sa-11.04_odp.02 }}.' - id: sa-11.4_gdn name: guidance prose: Manual code reviews are usually reserved for the critical software and firmware components of systems. Manual code reviews are effective at identifying weaknesses that require knowledge of the application’s requirements or context that, in most cases, is unavailable to automated analytic tools and techniques, such as static and dynamic analysis. The benefits of manual code review include the ability to verify access control matrices against application controls and review detailed aspects of cryptographic implementations and controls. - id: sa-11.4_obj name: assessment-objective props: - name: label value: SA-11(04) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform a manual code review of {{ insert: param, sa-11.04_odp.01 }} using {{ insert: param, sa-11.04_odp.02 }}.' links: - href: '#sa-11.4_smt' rel: assessment-for - id: sa-11.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-11(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing system developer security testing processes, procedures, and/or techniques for performing manual code reviews solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer security testing and evaluation plans system developer security testing and evaluation results list of code requiring manual reviews records of manual code reviews system security plan other relevant documents or records - id: sa-11.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-11(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with developer security testing responsibilities system developers independent verification agent - id: sa-11.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-11(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring developer security testing and evaluation mechanisms supporting and/or implementing the monitoring of developer testing and evaluation - id: sa-11.5 class: SP800-53-enhancement title: Penetration Testing params: - id: sa-11.5_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-11.05_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-11.05_odp.02 label: organization-defined breadth and depth of testing - id: sa-11.05_odp.01 props: - name: label value: SA-11(05)_ODP[01] class: sp800-53a label: breadth guidelines: - prose: the breadth of penetration testing is defined; - id: sa-11.05_odp.02 props: - name: label value: SA-11(05)_ODP[02] class: sp800-53a label: depth guidelines: - prose: the depth of penetration testing is defined; - id: sa-11.05_odp.03 props: - name: alt-identifier value: sa-11.5_prm_2 - name: label value: SA-11(05)_ODP[03] class: sp800-53a label: constraints guidelines: - prose: constraints of penetration testing are defined; props: - name: label value: SA-11(05) class: zero-padded - name: label value: SA-11(5) - name: label value: SA-11(05) class: sp800-53a - name: sort-id value: sa-11.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-11' rel: required - href: '#ca-8' rel: related - href: '#pm-14' rel: related - href: '#pm-25' rel: related - href: '#pt-2' rel: related - href: '#sa-3' rel: related - href: '#si-2' rel: related - href: '#si-6' rel: related parts: - id: sa-11.5_smt name: statement prose: 'Require the developer of the system, system component, or system service to perform penetration testing:' parts: - id: sa-11.5_smt.a name: item props: - name: label value: (a) prose: 'At the following level of rigor: {{ insert: param, sa-11.5_prm_1 }} ; and' - id: sa-11.5_smt.b name: item props: - name: label value: (b) prose: 'Under the following constraints: {{ insert: param, sa-11.05_odp.03 }}.' - id: sa-11.5_gdn name: guidance prose: Penetration testing is an assessment methodology in which assessors, using all available information technology product or system documentation and working under specific constraints, attempt to circumvent the implemented security and privacy features of information technology products and systems. Useful information for assessors who conduct penetration testing includes product and system design specifications, source code, and administrator and operator manuals. Penetration testing can include white-box, gray-box, or black-box testing with analyses performed by skilled professionals who simulate adversary actions. The objective of penetration testing is to discover vulnerabilities in systems, system components, and services that result from implementation errors, configuration faults, or other operational weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide a greater level of analysis than would ordinarily be possible. When user session information and other personally identifiable information is captured or recorded during penetration testing, such information is handled appropriately to protect privacy. - id: sa-11.5_obj name: assessment-objective props: - name: label value: SA-11(05) class: sp800-53a parts: - id: sa-11.5_obj.a name: assessment-objective props: - name: label value: SA-11(05)(a) class: sp800-53a parts: - id: sa-11.5_obj.a-1 name: assessment-objective props: - name: label value: SA-11(05)(a)[01] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform penetration testing at the following level of rigor: {{ insert: param, sa-11.05_odp.01 }};' links: - href: '#sa-11.5_smt.a' rel: assessment-for - id: sa-11.5_obj.a-2 name: assessment-objective props: - name: label value: SA-11(05)(a)[02] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform penetration testing at the following level of rigor: {{ insert: param, sa-11.05_odp.02 }};' links: - href: '#sa-11.5_smt.a' rel: assessment-for links: - href: '#sa-11.5_smt.a' rel: assessment-for - id: sa-11.5_obj.b name: assessment-objective props: - name: label value: SA-11(05)(b) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform penetration testing under {{ insert: param, sa-11.05_odp.03 }}.' links: - href: '#sa-11.5_smt.b' rel: assessment-for links: - href: '#sa-11.5_smt' rel: assessment-for - id: sa-11.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-11(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing system developer security testing solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer penetration testing and evaluation plans system developer penetration testing and evaluation results system security plan privacy plan personally identifiable information processing policy other relevant documents or records - id: sa-11.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-11(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with developer security testing responsibilities system developers independent verification agent - id: sa-11.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-11(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring developer security and privacy assessments mechanisms supporting and/or implementing the monitoring of developer security and privacy assessments - id: sa-11.6 class: SP800-53-enhancement title: Attack Surface Reviews props: - name: label value: SA-11(06) class: zero-padded - name: label value: SA-11(6) - name: label value: SA-11(06) class: sp800-53a - name: sort-id value: sa-11.06 - 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: '#sa-11' rel: required - href: '#sa-15' rel: related parts: - id: sa-11.6_smt name: statement prose: Require the developer of the system, system component, or system service to perform attack surface reviews. - id: sa-11.6_gdn name: guidance prose: Attack surfaces of systems and system components are exposed areas that make those systems more vulnerable to attacks. Attack surfaces include any accessible areas where weaknesses or deficiencies in the hardware, software, and firmware components provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers analyze the design and implementation changes to systems and mitigate attack vectors generated as a result of the changes. The correction of identified flaws includes deprecation of unsafe functions. - id: sa-11.6_obj name: assessment-objective props: - name: label value: SA-11(06) class: sp800-53a prose: the developer of the system, system component, or system service is required to perform attack surface reviews. links: - href: '#sa-11.6_smt' rel: assessment-for - id: sa-11.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-11(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing system developer security testing solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer security testing and evaluation plans system developer security testing and evaluation results records of attack surface reviews system security plan other relevant documents or records - id: sa-11.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-11(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with developer security testing responsibilities organizational personnel with configuration management responsibilities system developers - id: sa-11.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-11(06)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring developer security testing and evaluation mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation - id: sa-11.7 class: SP800-53-enhancement title: Verify Scope of Testing and Evaluation params: - id: sa-11.7_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-11.07_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-11.07_odp.02 label: organization-defined breadth and depth of testing and evaluation - id: sa-11.07_odp.01 props: - name: label value: SA-11(07)_ODP[01] class: sp800-53a label: breadth guidelines: - prose: the breadth of testing and evaluation of required controls is defined; - id: sa-11.07_odp.02 props: - name: label value: SA-11(07)_ODP[02] class: sp800-53a label: depth guidelines: - prose: the depth of testing and evaluation of required controls is defined; props: - name: label value: SA-11(07) class: zero-padded - name: label value: SA-11(7) - name: label value: SA-11(07) class: sp800-53a - name: sort-id value: sa-11.07 - 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: '#sa-11' rel: required - href: '#sa-15' rel: related parts: - id: sa-11.7_smt name: statement prose: 'Require the developer of the system, system component, or system service to verify that the scope of testing and evaluation provides complete coverage of the required controls at the following level of rigor: {{ insert: param, sa-11.7_prm_1 }}.' - id: sa-11.7_gdn name: guidance prose: Verifying that testing and evaluation provides complete coverage of required controls can be accomplished by a variety of analytic techniques ranging from informal to formal. Each of these techniques provides an increasing level of assurance that corresponds to the degree of formality of the analysis. Rigorously demonstrating control coverage at the highest levels of assurance can be achieved using formal modeling and analysis techniques, including correlation between control implementation and corresponding test cases. - id: sa-11.7_obj name: assessment-objective props: - name: label value: SA-11(07) class: sp800-53a parts: - id: sa-11.7_obj-1 name: assessment-objective props: - name: label value: SA-11(07)[01] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to verify that the scope of testing and evaluation provides complete coverage of the required controls at {{ insert: param, sa-11.07_odp.01 }};' links: - href: '#sa-11.7_smt' rel: assessment-for - id: sa-11.7_obj-2 name: assessment-objective props: - name: label value: SA-11(07)[02] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to verify that the scope of testing and evaluation provides complete coverage of the required controls at {{ insert: param, sa-11.07_odp.02 }}.' links: - href: '#sa-11.7_smt' rel: assessment-for links: - href: '#sa-11.7_smt' rel: assessment-for - id: sa-11.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-11(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing system developer security testing solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer security testing and evaluation plans system developer security testing and evaluation results system security plan other relevant documents or records - id: sa-11.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-11(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with developer security testing responsibilities system developers independent verification agent - id: sa-11.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-11(07)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring developer security testing and evaluation mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation - id: sa-11.8 class: SP800-53-enhancement title: Dynamic Code Analysis props: - name: label value: SA-11(08) class: zero-padded - name: label value: SA-11(8) - name: label value: SA-11(08) class: sp800-53a - name: sort-id value: sa-11.08 - 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: '#sa-11' rel: required parts: - id: sa-11.8_smt name: statement prose: Require the developer of the system, system component, or system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis. - id: sa-11.8_gdn name: guidance prose: Dynamic code analysis provides runtime verification of software programs using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs runtime tools to ensure that security functionality performs in the way it was designed. A type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies are derived from the intended use of applications and the functional and design specifications for the applications. To understand the scope of dynamic code analysis and the assurance provided, organizations may also consider conducting code coverage analysis (i.e., checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (i.e., checking for words that are out of place in software code, such as non-English language words or derogatory terms). - id: sa-11.8_obj name: assessment-objective props: - name: label value: SA-11(08) class: sp800-53a parts: - id: sa-11.8_obj-1 name: assessment-objective props: - name: label value: SA-11(08)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to employ dynamic code analysis tools to identify common flaws; links: - href: '#sa-11.8_smt' rel: assessment-for - id: sa-11.8_obj-2 name: assessment-objective props: - name: label value: SA-11(08)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to document the results of the analysis. links: - href: '#sa-11.8_smt' rel: assessment-for links: - href: '#sa-11.8_smt' rel: assessment-for - id: sa-11.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-11(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing system developer security testing procedures addressing flaw remediation solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer security test and evaluation plans security test and evaluation results security flaw and remediation tracking reports system security plan other relevant documents or records - id: sa-11.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-11(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 developer security testing responsibilities organizational personnel with configuration management responsibilities system developers - id: sa-11.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-11(08)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for monitoring developer security testing and evaluation mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation - id: sa-11.9 class: SP800-53-enhancement title: Interactive Application Security Testing props: - name: label value: SA-11(09) class: zero-padded - name: label value: SA-11(9) - name: label value: SA-11(09) class: sp800-53a - name: sort-id value: sa-11.09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-11' rel: required parts: - id: sa-11.9_smt name: statement prose: Require the developer of the system, system component, or system service to employ interactive application security testing tools to identify flaws and document the results. - id: sa-11.9_gdn name: guidance prose: Interactive (also known as instrumentation-based) application security testing is a method of detecting vulnerabilities by observing applications as they run during testing. The use of instrumentation relies on direct measurements of the actual running applications and uses access to the code, user interaction, libraries, frameworks, backend connections, and configurations to directly measure control effectiveness. When combined with analysis techniques, interactive application security testing can identify a broad range of potential vulnerabilities and confirm control effectiveness. Instrumentation-based testing works in real time and can be used continuously throughout the system development life cycle. - id: sa-11.9_obj name: assessment-objective props: - name: label value: SA-11(09) class: sp800-53a parts: - id: sa-11.9_obj-1 name: assessment-objective props: - name: label value: SA-11(09)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to employ interactive application security testing tools to identify flaws; links: - href: '#sa-11.9_smt' rel: assessment-for - id: sa-11.9_obj-2 name: assessment-objective props: - name: label value: SA-11(09)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to document the results of flaw identification. links: - href: '#sa-11.9_smt' rel: assessment-for links: - href: '#sa-11.9_smt' rel: assessment-for - id: sa-11.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-11(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing system developer security testing procedures addressing interactive application security testing solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer security test and evaluation plans security test and evaluation results security flaw and remediation tracking reports system security plan other relevant documents or records - id: sa-11.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-11(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with developer security testing responsibilities organizational personnel with configuration management responsibilities system developers - id: sa-11.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-11(09)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for interactive application security testing mechanisms supporting and/or implementing interactive application security testing - id: sa-12 class: SP800-53 title: Supply Chain Protection props: - name: label value: SA-12 class: zero-padded - name: label value: SA-12 - name: label value: SA-12 class: sp800-53a - name: sort-id value: sa-12 - name: status value: withdrawn links: - href: '#sr' rel: incorporated-into controls: - id: sa-12.1 class: SP800-53-enhancement title: Acquisition Strategies / Tools / Methods props: - name: label value: SA-12(01) class: zero-padded - name: label value: SA-12(1) - name: label value: SA-12(01) class: sp800-53a - name: sort-id value: sa-12.01 - name: status value: withdrawn links: - href: '#sr-5' rel: moved-to - id: sa-12.2 class: SP800-53-enhancement title: Supplier Reviews props: - name: label value: SA-12(02) class: zero-padded - name: label value: SA-12(2) - name: label value: SA-12(02) class: sp800-53a - name: sort-id value: sa-12.02 - name: status value: withdrawn links: - href: '#sr-6' rel: moved-to - id: sa-12.3 class: SP800-53-enhancement title: Trusted Shipping and Warehousing props: - name: label value: SA-12(03) class: zero-padded - name: label value: SA-12(3) - name: label value: SA-12(03) class: sp800-53a - name: sort-id value: sa-12.03 - name: status value: withdrawn links: - href: '#sr-3' rel: incorporated-into - id: sa-12.4 class: SP800-53-enhancement title: Diversity of Suppliers props: - name: label value: SA-12(04) class: zero-padded - name: label value: SA-12(4) - name: label value: SA-12(04) class: sp800-53a - name: sort-id value: sa-12.04 - name: status value: withdrawn links: - href: '#sr-3.1' rel: moved-to - id: sa-12.5 class: SP800-53-enhancement title: Limitation of Harm props: - name: label value: SA-12(05) class: zero-padded - name: label value: SA-12(5) - name: label value: SA-12(05) class: sp800-53a - name: sort-id value: sa-12.05 - name: status value: withdrawn links: - href: '#sr-3.2' rel: moved-to - id: sa-12.6 class: SP800-53-enhancement title: Minimizing Procurement Time props: - name: label value: SA-12(06) class: zero-padded - name: label value: SA-12(6) - name: label value: SA-12(06) class: sp800-53a - name: sort-id value: sa-12.06 - name: status value: withdrawn links: - href: '#sr-5.1' rel: incorporated-into - id: sa-12.7 class: SP800-53-enhancement title: Assessments Prior to Selection / Acceptance / Update props: - name: label value: SA-12(07) class: zero-padded - name: label value: SA-12(7) - name: label value: SA-12(07) class: sp800-53a - name: sort-id value: sa-12.07 - name: status value: withdrawn links: - href: '#sr-5.2' rel: moved-to - id: sa-12.8 class: SP800-53-enhancement title: Use of All-source Intelligence props: - name: label value: SA-12(08) class: zero-padded - name: label value: SA-12(8) - name: label value: SA-12(08) class: sp800-53a - name: sort-id value: sa-12.08 - name: status value: withdrawn links: - href: '#ra-3.2' rel: incorporated-into - id: sa-12.9 class: SP800-53-enhancement title: Operations Security props: - name: label value: SA-12(09) class: zero-padded - name: label value: SA-12(9) - name: label value: SA-12(09) class: sp800-53a - name: sort-id value: sa-12.09 - name: status value: withdrawn links: - href: '#sr-7' rel: moved-to - id: sa-12.10 class: SP800-53-enhancement title: Validate as Genuine and Not Altered props: - name: label value: SA-12(10) class: zero-padded - name: label value: SA-12(10) - name: label value: SA-12(10) class: sp800-53a - name: sort-id value: sa-12.10 - name: status value: withdrawn links: - href: '#sr-4.3' rel: moved-to - id: sa-12.11 class: SP800-53-enhancement title: Penetration Testing / Analysis of Elements, Processes, and Actors props: - name: label value: SA-12(11) class: zero-padded - name: label value: SA-12(11) - name: label value: SA-12(11) class: sp800-53a - name: sort-id value: sa-12.11 - name: status value: withdrawn links: - href: '#sr-6.1' rel: moved-to - id: sa-12.12 class: SP800-53-enhancement title: Inter-organizational Agreements props: - name: label value: SA-12(12) class: zero-padded - name: label value: SA-12(12) - name: label value: SA-12(12) class: sp800-53a - name: sort-id value: sa-12.12 - name: status value: withdrawn links: - href: '#sr-8' rel: moved-to - id: sa-12.13 class: SP800-53-enhancement title: Critical Information System Components props: - name: label value: SA-12(13) class: zero-padded - name: label value: SA-12(13) - name: label value: SA-12(13) class: sp800-53a - name: sort-id value: sa-12.13 - name: status value: withdrawn links: - href: '#ma-6' rel: incorporated-into - href: '#ra-9' rel: incorporated-into - id: sa-12.14 class: SP800-53-enhancement title: Identity and Traceability props: - name: label value: SA-12(14) class: zero-padded - name: label value: SA-12(14) - name: label value: SA-12(14) class: sp800-53a - name: sort-id value: sa-12.14 - name: status value: withdrawn links: - href: '#sr-4.1' rel: incorporated-into - href: '#sr-4.2' rel: incorporated-into - id: sa-12.15 class: SP800-53-enhancement title: Processes to Address Weaknesses or Deficiencies props: - name: label value: SA-12(15) class: zero-padded - name: label value: SA-12(15) - name: label value: SA-12(15) class: sp800-53a - name: sort-id value: sa-12.15 - name: status value: withdrawn links: - href: '#sr-3' rel: incorporated-into - id: sa-13 class: SP800-53 title: Trustworthiness props: - name: label value: SA-13 class: zero-padded - name: label value: SA-13 - name: label value: SA-13 class: sp800-53a - name: sort-id value: sa-13 - name: status value: withdrawn links: - href: '#sa-8' rel: incorporated-into - id: sa-14 class: SP800-53 title: Criticality Analysis props: - name: label value: SA-14 class: zero-padded - name: label value: SA-14 - name: label value: SA-14 class: sp800-53a - name: sort-id value: sa-14 - name: status value: withdrawn links: - href: '#ra-9' rel: incorporated-into controls: - id: sa-14.1 class: SP800-53-enhancement title: Critical Components with No Viable Alternative Sourcing props: - name: label value: SA-14(01) class: zero-padded - name: label value: SA-14(1) - name: label value: SA-14(01) class: sp800-53a - name: sort-id value: sa-14.01 - name: status value: withdrawn links: - href: '#sa-20' rel: incorporated-into - id: sa-15 class: SP800-53 title: Development Process, Standards, and Tools params: - id: sa-15_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-15_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-15_odp.03 label: organization-defined security and privacy requirements - id: sa-15_odp.01 props: - name: alt-identifier value: sa-15_prm_1 - name: label value: SA-15_ODP[01] class: sp800-53a label: frequency guidelines: - prose: frequency at which to review the development process, standards, tools, tool options, and tool configurations is defined; - id: sa-15_odp.02 props: - name: label value: SA-15_ODP[02] class: sp800-53a label: security requirements guidelines: - prose: security requirements to be satisfied by the process, standards, tools, tool options, and tool configurations are defined; - id: sa-15_odp.03 props: - name: label value: SA-15_ODP[03] class: sp800-53a label: privacy requirements guidelines: - prose: privacy requirements to be satisfied by the process, standards, tools, tool options, and tool configurations are defined; props: - name: label value: SA-15 class: zero-padded - name: label value: SA-15 - name: label value: SA-15 class: sp800-53a - name: sort-id value: sa-15 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#d4296805-2dca-4c63-a95f-eeccaa826aec' rel: reference - href: '#ma-6' rel: related - href: '#sa-3' rel: related - href: '#sa-4' rel: related - href: '#sa-8' rel: related - href: '#sa-10' rel: related - href: '#sa-11' rel: related - href: '#sr-3' rel: related - href: '#sr-4' rel: related - href: '#sr-5' rel: related - href: '#sr-6' rel: related - href: '#sr-9' rel: related parts: - id: sa-15_smt name: statement parts: - id: sa-15_smt.a name: item props: - name: label value: a. prose: 'Require the developer of the system, system component, or system service to follow a documented development process that:' parts: - id: sa-15_smt.a.1 name: item props: - name: label value: "1." prose: Explicitly addresses security and privacy requirements; - id: sa-15_smt.a.2 name: item props: - name: label value: "2." prose: Identifies the standards and tools used in the development process; - id: sa-15_smt.a.3 name: item props: - name: label value: "3." prose: Documents the specific tool options and tool configurations used in the development process; and - id: sa-15_smt.a.4 name: item props: - name: label value: "4." prose: Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and - id: sa-15_smt.b name: item props: - name: label value: b. prose: 'Review the development process, standards, tools, tool options, and tool configurations {{ insert: param, sa-15_odp.01 }} to determine if the process, standards, tools, tool options and tool configurations selected and employed can satisfy the following security and privacy requirements: {{ insert: param, sa-15_prm_2 }}.' - id: sa-15_gdn name: guidance prose: Development tools include programming languages and computer-aided design systems. Reviews of development processes include the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes facilitates effective supply chain risk assessment and mitigation. Such integrity requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. - id: sa-15_obj name: assessment-objective props: - name: label value: SA-15 class: sp800-53a parts: - id: sa-15_obj.a name: assessment-objective props: - name: label value: SA-15a. class: sp800-53a parts: - id: sa-15_obj.a.1 name: assessment-objective props: - name: label value: SA-15a.01 class: sp800-53a parts: - id: sa-15_obj.a.1-1 name: assessment-objective props: - name: label value: SA-15a.01[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to follow a documented development process that explicitly addresses security requirements; links: - href: '#sa-15_smt.a.1' rel: assessment-for - id: sa-15_obj.a.1-2 name: assessment-objective props: - name: label value: SA-15a.01[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to follow a documented development process that explicitly addresses privacy requirements; links: - href: '#sa-15_smt.a.1' rel: assessment-for links: - href: '#sa-15_smt.a.1' rel: assessment-for - id: sa-15_obj.a.2 name: assessment-objective props: - name: label value: SA-15a.02 class: sp800-53a parts: - id: sa-15_obj.a.2-1 name: assessment-objective props: - name: label value: SA-15a.02[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to follow a documented development process that identifies the standards used in the development process; links: - href: '#sa-15_smt.a.2' rel: assessment-for - id: sa-15_obj.a.2-2 name: assessment-objective props: - name: label value: SA-15a.02[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to follow a documented development process that identifies the tools used in the development process; links: - href: '#sa-15_smt.a.2' rel: assessment-for links: - href: '#sa-15_smt.a.2' rel: assessment-for - id: sa-15_obj.a.3 name: assessment-objective props: - name: label value: SA-15a.03 class: sp800-53a parts: - id: sa-15_obj.a.3-1 name: assessment-objective props: - name: label value: SA-15a.03[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to follow a documented development process that documents the specific tool used in the development process; links: - href: '#sa-15_smt.a.3' rel: assessment-for - id: sa-15_obj.a.3-2 name: assessment-objective props: - name: label value: SA-15a.03[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to follow a documented development process that documents the specific tool configurations used in the development process; links: - href: '#sa-15_smt.a.3' rel: assessment-for links: - href: '#sa-15_smt.a.3' rel: assessment-for - id: sa-15_obj.a.4 name: assessment-objective props: - name: label value: SA-15a.04 class: sp800-53a prose: the developer of the system, system component, or system service is required to follow a documented development process that documents, manages, and ensures the integrity of changes to the process and/or tools used in development; links: - href: '#sa-15_smt.a.4' rel: assessment-for links: - href: '#sa-15_smt.a' rel: assessment-for - id: sa-15_obj.b name: assessment-objective props: - name: label value: SA-15b. class: sp800-53a parts: - id: sa-15_obj.b-1 name: assessment-objective props: - name: label value: SA-15b.[01] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to follow a documented development process in which the development process, standards, tools, tool options, and tool configurations are reviewed {{ insert: param, sa-15_odp.01 }} to determine that the process, standards, tools, tool options, and tool configurations selected and employed satisfy {{ insert: param, sa-15_odp.02 }};' links: - href: '#sa-15_smt.b' rel: assessment-for - id: sa-15_obj.b-2 name: assessment-objective props: - name: label value: SA-15b.[02] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to follow a documented development process in which the development process, standards, tools, tool options, and tool configurations are reviewed {{ insert: param, sa-15_odp.01 }} to determine that the process, standards, tools, tool options, and tool configurations selected and employed satisfy {{ insert: param, sa-15_odp.03 }}.' links: - href: '#sa-15_smt.b' rel: assessment-for links: - href: '#sa-15_smt.b' rel: assessment-for links: - href: '#sa-15_smt' rel: assessment-for - id: sa-15_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-15-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing development process, standards, and tools procedures addressing the integration of security and privacy requirements during the development process solicitation documentation acquisition documentation critical component inventory documentation service level agreements acquisition contracts for the system, system component, or system service system developer documentation listing tool options/configuration guides configuration management policy configuration management records documentation of development process reviews using maturity models change control records configuration control records documented reviews of the development process, standards, tools, and tool options/configurations system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: sa-15_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-15-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security and privacy responsibilities system developer controls: - id: sa-15.1 class: SP800-53-enhancement title: Quality Metrics params: - id: sa-15.01_odp.01 props: - name: alt-identifier value: sa-15.1_prm_1 - name: label value: SA-15(01)_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - '{{ insert: param, sa-15.01_odp.02 }} ' - '{{ insert: param, sa-15.01_odp.03 }} ' - upon delivery - id: sa-15.01_odp.02 props: - name: alt-identifier value: sa-15.1_prm_2 - name: label value: SA-15(01)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: frequency at which to provide evidence of meeting the quality metrics is defined (if selected); - id: sa-15.01_odp.03 props: - name: alt-identifier value: sa-15.1_prm_3 - name: alt-label value: program review milestones class: sp800-53 - name: label value: SA-15(01)_ODP[03] class: sp800-53a label: program review guidelines: - prose: program review milestones are defined (if selected); props: - name: label value: SA-15(01) class: zero-padded - name: label value: SA-15(1) - name: label value: SA-15(01) class: sp800-53a - name: sort-id value: sa-15.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-15' rel: required parts: - id: sa-15.1_smt name: statement prose: 'Require the developer of the system, system component, or system service to:' parts: - id: sa-15.1_smt.a name: item props: - name: label value: (a) prose: Define quality metrics at the beginning of the development process; and - id: sa-15.1_smt.b name: item props: - name: label value: (b) prose: 'Provide evidence of meeting the quality metrics {{ insert: param, sa-15.01_odp.01 }}.' - id: sa-15.1_gdn name: guidance prose: Organizations use quality metrics to establish acceptable levels of system quality. Metrics can include quality gates, which are collections of completion criteria or sufficiency standards that represent the satisfactory execution of specific phases of the system development project. For example, a quality gate may require the elimination of all compiler warnings or a determination that such warnings have no impact on the effectiveness of required security or privacy capabilities. During the execution phases of development projects, quality gates provide clear, unambiguous indications of progress. Other metrics apply to the entire development project. Metrics can include defining the severity thresholds of vulnerabilities in accordance with organizational risk tolerance, such as requiring no known vulnerabilities in the delivered system with a Common Vulnerability Scoring System (CVSS) severity of medium or high. - id: sa-15.1_obj name: assessment-objective props: - name: label value: SA-15(01) class: sp800-53a parts: - id: sa-15.1_obj.a name: assessment-objective props: - name: label value: SA-15(01)(a) class: sp800-53a prose: the developer of the system, system component, or system service is required to define quality metrics at the beginning of the development process; links: - href: '#sa-15.1_smt.a' rel: assessment-for - id: sa-15.1_obj.b name: assessment-objective props: - name: label value: SA-15(01)(b) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to provide evidence of meeting the quality metrics {{ insert: param, sa-15.01_odp.01 }}.' links: - href: '#sa-15.1_smt.b' rel: assessment-for links: - href: '#sa-15.1_smt' rel: assessment-for - id: sa-15.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-15(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing development process, standards, and tools procedures addressing the integration of security requirements into the acquisition process solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service list of quality metrics documentation evidence of meeting quality metrics system security plan other relevant documents or records - id: sa-15.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-15(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities system developer - id: sa-15.2 class: SP800-53-enhancement title: Security and Privacy Tracking Tools props: - name: label value: SA-15(02) class: zero-padded - name: label value: SA-15(2) - name: label value: SA-15(02) class: sp800-53a - name: sort-id value: sa-15.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-15' rel: required - href: '#sa-11' rel: related parts: - id: sa-15.2_smt name: statement prose: Require the developer of the system, system component, or system service to select and employ security and privacy tracking tools for use during the development process. - id: sa-15.2_gdn name: guidance prose: System development teams select and deploy security and privacy tracking tools, including vulnerability or work item tracking systems that facilitate assignment, sorting, filtering, and tracking of completed work items or tasks associated with development processes. - id: sa-15.2_obj name: assessment-objective props: - name: label value: SA-15(02) class: sp800-53a parts: - id: sa-15.2_obj-1 name: assessment-objective props: - name: label value: SA-15(02)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to select and employ security tracking tools for use during the development process; links: - href: '#sa-15.2_smt' rel: assessment-for - id: sa-15.2_obj-2 name: assessment-objective props: - name: label value: SA-15(02)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to select and employ privacy tracking tools for use during the development process. links: - href: '#sa-15.2_smt' rel: assessment-for links: - href: '#sa-15.2_smt' rel: assessment-for - id: sa-15.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-15(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing development process, standards, and tools procedures addressing the integration of security and privacy requirements into the acquisition process solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service documentation of the selection of security and privacy tracking tools evidence of employing security and privacy tracking tools system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: sa-15.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-15(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities system developer organizational personnel with privacy responsibilities - id: sa-15.3 class: SP800-53-enhancement title: Criticality Analysis params: - id: sa-15.3_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-15.03_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-15.03_odp.03 label: organization-defined breadth and depth of criticality analysis - id: sa-15.03_odp.01 props: - name: alt-identifier value: sa-15.3_prm_1 - name: alt-label value: decision points in the system development life cycle class: sp800-53 - name: label value: SA-15(03)_ODP[01] class: sp800-53a label: decision points guidelines: - prose: decision points in the system development life cycle are defined; - id: sa-15.03_odp.02 props: - name: label value: SA-15(03)_ODP[02] class: sp800-53a label: breadth guidelines: - prose: the breadth of criticality analysis is defined; - id: sa-15.03_odp.03 props: - name: label value: SA-15(03)_ODP[03] class: sp800-53a label: depth guidelines: - prose: the depth of criticality analysis is defined; props: - name: label value: SA-15(03) class: zero-padded - name: label value: SA-15(3) - name: label value: SA-15(03) class: sp800-53a - name: sort-id value: sa-15.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-15' rel: required - href: '#ra-9' rel: related parts: - id: sa-15.3_smt name: statement prose: 'Require the developer of the system, system component, or system service to perform a criticality analysis:' parts: - id: sa-15.3_smt.a name: item props: - name: label value: (a) prose: 'At the following decision points in the system development life cycle: {{ insert: param, sa-15.03_odp.01 }} ; and' - id: sa-15.3_smt.b name: item props: - name: label value: (b) prose: 'At the following level of rigor: {{ insert: param, sa-15.3_prm_2 }}.' - id: sa-15.3_gdn name: guidance prose: Criticality analysis performed by the developer provides input to the criticality analysis performed by organizations. Developer input is essential to organizational criticality analysis because organizations may not have access to detailed design documentation for system components that are developed as commercial off-the-shelf products. Such design documentation includes functional specifications, high-level designs, low-level designs, source code, and hardware schematics. Criticality analysis is important for organizational systems that are designated as high value assets. High value assets can be moderate- or high-impact systems due to heightened adversarial interest or potential adverse effects on the federal enterprise. Developer input is especially important when organizations conduct supply chain criticality analyses. - id: sa-15.3_obj name: assessment-objective props: - name: label value: SA-15(03) class: sp800-53a parts: - id: sa-15.3_obj.a name: assessment-objective props: - name: label value: SA-15(03)(a) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform a criticality analysis at {{ insert: param, sa-15.03_odp.01 }} in the system development life cycle;' links: - href: '#sa-15.3_smt.a' rel: assessment-for - id: sa-15.3_obj.b name: assessment-objective props: - name: label value: SA-15(03)(b) class: sp800-53a parts: - id: sa-15.3_obj.b-1 name: assessment-objective props: - name: label value: SA-15(03)(b)[01] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform a criticality analysis at the following rigor level: {{ insert: param, sa-15.03_odp.02 }};' links: - href: '#sa-15.3_smt.b' rel: assessment-for - id: sa-15.3_obj.b-2 name: assessment-objective props: - name: label value: SA-15(03)(b)[02] class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform a criticality analysis at the following rigor level: {{ insert: param, sa-15.03_odp.03 }} .' links: - href: '#sa-15.3_smt.b' rel: assessment-for links: - href: '#sa-15.3_smt.b' rel: assessment-for links: - href: '#sa-15.3_smt' rel: assessment-for - id: sa-15.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-15(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management plan system and services acquisition policy procedures addressing development process, standards, and tools procedures addressing criticality analysis requirements for the system, system component, or system service solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service criticality analysis documentation business impact analysis documentation software development life cycle documentation system security plan other relevant documents or records - id: sa-15.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-15(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel responsible for performing criticality analysis system developer organizational personnel with supply chain risk management responsibilities - id: sa-15.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-15(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for performing criticality analysis mechanisms supporting and/or implementing criticality analysis - id: sa-15.4 class: SP800-53-enhancement title: Threat Modeling and Vulnerability Analysis props: - name: label value: SA-15(04) class: zero-padded - name: label value: SA-15(4) - name: label value: SA-15(04) class: sp800-53a - name: sort-id value: sa-15.04 - name: status value: withdrawn links: - href: '#sa-11.2' rel: incorporated-into - id: sa-15.5 class: SP800-53-enhancement title: Attack Surface Reduction params: - id: sa-15.05_odp props: - name: alt-identifier value: sa-15.5_prm_1 - name: label value: SA-15(05)_ODP class: sp800-53a label: thresholds guidelines: - prose: thresholds to which attack surfaces are to be reduced are defined; props: - name: label value: SA-15(05) class: zero-padded - name: label value: SA-15(5) - name: label value: SA-15(05) class: sp800-53a - name: sort-id value: sa-15.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-15' rel: required - href: '#ac-6' rel: related - href: '#cm-7' rel: related - href: '#ra-3' rel: related - href: '#sa-11' rel: related parts: - id: sa-15.5_smt name: statement prose: 'Require the developer of the system, system component, or system service to reduce attack surfaces to {{ insert: param, sa-15.05_odp }}.' - id: sa-15.5_gdn name: guidance prose: Attack surface reduction is closely aligned with threat and vulnerability analyses and system architecture and design. Attack surface reduction is a means of reducing risk to organizations by giving attackers less opportunity to exploit weaknesses or deficiencies (i.e., potential vulnerabilities) within systems, system components, and system services. Attack surface reduction includes implementing the concept of layered defenses, applying the principles of least privilege and least functionality, applying secure software development practices, deprecating unsafe functions, reducing entry points available to unauthorized users, reducing the amount of code that executes, and eliminating application programming interfaces (APIs) that are vulnerable to attacks. - id: sa-15.5_obj name: assessment-objective props: - name: label value: SA-15(05) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to reduce attack surfaces to {{ insert: param, sa-15.05_odp }}.' links: - href: '#sa-15.5_smt' rel: assessment-for - id: sa-15.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-15(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing development process, standards, and tools procedures addressing attack surface reduction solicitation documentation acquisition documentation service level agreements acquisition contracts for the system or system service system design documentation network diagram system configuration settings and associated documentation establishing/enforcing organization-defined thresholds for reducing attack surfaces list of restricted ports, protocols, functions, and services system security plan other relevant documents or records - id: sa-15.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-15(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel responsible for attack surface reduction thresholds system developer - id: sa-15.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-15(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for defining attack surface reduction thresholds - id: sa-15.6 class: SP800-53-enhancement title: Continuous Improvement props: - name: label value: SA-15(06) class: zero-padded - name: label value: SA-15(6) - name: label value: SA-15(06) class: sp800-53a - name: sort-id value: sa-15.06 - 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: '#sa-15' rel: required parts: - id: sa-15.6_smt name: statement prose: Require the developer of the system, system component, or system service to implement an explicit process to continuously improve the development process. - id: sa-15.6_gdn name: guidance prose: Developers of systems, system components, and system services consider the effectiveness and efficiency of their development processes for meeting quality objectives and addressing the security and privacy capabilities in current threat environments. - id: sa-15.6_obj name: assessment-objective props: - name: label value: SA-15(06) class: sp800-53a prose: the developer of the system, system component, or system service is required to implement an explicit process to continuously improve the development process. links: - href: '#sa-15.6_smt' rel: assessment-for - id: sa-15.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-15(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing development process, standards, and tools solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service quality goals and metrics for improving the system development process security assessments quality control reviews of system development process plans of action and milestones for improving the system development process system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: sa-15.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-15(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security and privacy responsibilities system developer - id: sa-15.7 class: SP800-53-enhancement title: Automated Vulnerability Analysis params: - id: sa-15.07_odp.01 props: - name: alt-identifier value: sa-15.7_prm_1 - name: label value: SA-15(07)_ODP[01] class: sp800-53a label: frequency guidelines: - prose: frequency at which to conduct vulnerability analysis is defined; - id: sa-15.07_odp.02 props: - name: alt-identifier value: sa-15.7_prm_2 - name: label value: SA-15(07)_ODP[02] class: sp800-53a label: tools guidelines: - prose: tools used to perform automated vulnerability analysis are defined; - id: sa-15.07_odp.03 props: - name: alt-identifier value: sa-15.7_prm_3 - name: label value: SA-15(07)_ODP[03] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom the outputs of tools and results of the analysis are to be delivered is/are defined; props: - name: label value: SA-15(07) class: zero-padded - name: label value: SA-15(7) - name: label value: SA-15(07) class: sp800-53a - name: sort-id value: sa-15.07 - 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: '#sa-15' rel: required - href: '#ra-5' rel: related - href: '#sa-11' rel: related parts: - id: sa-15.7_smt name: statement prose: 'Require the developer of the system, system component, or system service {{ insert: param, sa-15.07_odp.01 }} to:' parts: - id: sa-15.7_smt.a name: item props: - name: label value: (a) prose: 'Perform an automated vulnerability analysis using {{ insert: param, sa-15.07_odp.02 }};' - id: sa-15.7_smt.b name: item props: - name: label value: (b) prose: Determine the exploitation potential for discovered vulnerabilities; - id: sa-15.7_smt.c name: item props: - name: label value: (c) prose: Determine potential risk mitigations for delivered vulnerabilities; and - id: sa-15.7_smt.d name: item props: - name: label value: (d) prose: 'Deliver the outputs of the tools and results of the analysis to {{ insert: param, sa-15.07_odp.03 }}.' - id: sa-15.7_gdn name: guidance prose: Automated tools can be more effective at analyzing exploitable weaknesses or deficiencies in large and complex systems, prioritizing vulnerabilities by severity, and providing recommendations for risk mitigations. - id: sa-15.7_obj name: assessment-objective props: - name: label value: SA-15(07) class: sp800-53a parts: - id: sa-15.7_obj.a name: assessment-objective props: - name: label value: SA-15(07)(a) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to perform automated vulnerability analysis {{ insert: param, sa-15.07_odp.01 }} using {{ insert: param, sa-15.07_odp.02 }};' links: - href: '#sa-15.7_smt.a' rel: assessment-for - id: sa-15.7_obj.b name: assessment-objective props: - name: label value: SA-15(07)(b) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to determine the exploitation potential for discovered vulnerabilities {{ insert: param, sa-15.07_odp.01 }};' links: - href: '#sa-15.7_smt.b' rel: assessment-for - id: sa-15.7_obj.c name: assessment-objective props: - name: label value: SA-15(07)(c) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to determine potential risk mitigations {{ insert: param, sa-15.07_odp.01 }} for delivered vulnerabilities;' links: - href: '#sa-15.7_smt.c' rel: assessment-for - id: sa-15.7_obj.d name: assessment-objective props: - name: label value: SA-15(07)(d) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to deliver the outputs of the tools and results of the analysis {{ insert: param, sa-15.07_odp.01 }} to {{ insert: param, sa-15.07_odp.03 }}.' links: - href: '#sa-15.7_smt.d' rel: assessment-for links: - href: '#sa-15.7_smt' rel: assessment-for - id: sa-15.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-15(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing development process, standards, and tools solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service vulnerability analysis tools and associated documentation risk assessment reports vulnerability analysis results vulnerability mitigation reports risk mitigation strategy documentation system security plan other relevant documents or records - id: sa-15.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-15(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities system developer organizational personnel performing automated vulnerability analysis on the system - id: sa-15.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-15(07)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for vulnerability analysis of systems, system components, or system services under development mechanisms supporting and/or implementing vulnerability analysis of systems, system components, or system services under development - id: sa-15.8 class: SP800-53-enhancement title: Reuse of Threat and Vulnerability Information props: - name: label value: SA-15(08) class: zero-padded - name: label value: SA-15(8) - name: label value: SA-15(08) class: sp800-53a - name: sort-id value: sa-15.08 - 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: '#sa-15' rel: required parts: - id: sa-15.8_smt name: statement prose: Require the developer of the system, system component, or system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process. - id: sa-15.8_gdn name: guidance prose: Analysis of vulnerabilities found in similar software applications can inform potential design and implementation issues for systems under development. Similar systems or system components may exist within developer organizations. Vulnerability information is available from a variety of public and private sector sources, including the NIST National Vulnerability Database. - id: sa-15.8_obj name: assessment-objective props: - name: label value: SA-15(08) class: sp800-53a parts: - id: sa-15.8_obj-1 name: assessment-objective props: - name: label value: SA-15(08)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to use threat modeling from similar systems, components, or services to inform the current development process; links: - href: '#sa-15.8_smt' rel: assessment-for - id: sa-15.8_obj-2 name: assessment-objective props: - name: label value: SA-15(08)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to use vulnerability analyses from similar systems, components, or services to inform the current development process. links: - href: '#sa-15.8_smt' rel: assessment-for links: - href: '#sa-15.8_smt' rel: assessment-for - id: sa-15.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-15(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy supply chain risk management plan procedures addressing development process, standards, and tools solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service threat modeling and vulnerability analyses from similar systems, system components, or system services system security plan other relevant documents or records - id: sa-15.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-15(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities system developer organizational personnel with supply chain risk management responsibilities - id: sa-15.9 class: SP800-53-enhancement title: Use of Live Data props: - name: label value: SA-15(09) class: zero-padded - name: label value: SA-15(9) - name: label value: SA-15(09) class: sp800-53a - name: sort-id value: sa-15.09 - name: status value: withdrawn links: - href: '#sa-3.2' rel: incorporated-into - id: sa-15.10 class: SP800-53-enhancement title: Incident Response Plan props: - name: label value: SA-15(10) class: zero-padded - name: label value: SA-15(10) - name: label value: SA-15(10) class: sp800-53a - name: sort-id value: sa-15.10 - 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-15' rel: required - href: '#ir-8' rel: related parts: - id: sa-15.10_smt name: statement prose: Require the developer of the system, system component, or system service to provide, implement, and test an incident response plan. - id: sa-15.10_gdn name: guidance prose: The incident response plan provided by developers may provide information not readily available to organizations and be incorporated into organizational incident response plans. Developer information may also be extremely helpful, such as when organizations respond to vulnerabilities in commercial off-the-shelf products. - id: sa-15.10_obj name: assessment-objective props: - name: label value: SA-15(10) class: sp800-53a parts: - id: sa-15.10_obj-1 name: assessment-objective props: - name: label value: SA-15(10)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to provide an incident response plan; links: - href: '#sa-15.10_smt' rel: assessment-for - id: sa-15.10_obj-2 name: assessment-objective props: - name: label value: SA-15(10)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to implement an incident response plan; links: - href: '#sa-15.10_smt' rel: assessment-for - id: sa-15.10_obj-3 name: assessment-objective props: - name: label value: SA-15(10)[03] class: sp800-53a prose: the developer of the system, system component, or system service is required to test an incident response plan. links: - href: '#sa-15.10_smt' rel: assessment-for links: - href: '#sa-15.10_smt' rel: assessment-for - id: sa-15.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-15(10)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing incident response, standards, and tools solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system components or services acquisition documentation solicitation documentation service level agreements developer incident response plan system security plan privacy plan supply chain risk management plan other relevant documents or records - id: sa-15.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-15(10)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities system developer organizational personnel with supply chain risk management responsibilities - id: sa-15.11 class: SP800-53-enhancement title: Archive System or Component props: - name: label value: SA-15(11) class: zero-padded - name: label value: SA-15(11) - name: label value: SA-15(11) class: sp800-53a - name: sort-id value: sa-15.11 - 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: '#sa-15' rel: required - href: '#cm-2' rel: related parts: - id: sa-15.11_smt name: statement prose: Require the developer of the system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security and privacy review. - id: sa-15.11_gdn name: guidance prose: Archiving system or system components requires the developer to retain key development artifacts, including hardware specifications, source code, object code, and relevant documentation from the development process that can provide a readily available configuration baseline for system and component upgrades or modifications. - id: sa-15.11_obj name: assessment-objective props: - name: label value: SA-15(11) class: sp800-53a prose: the developer of the system or system component is required to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security and privacy review. links: - href: '#sa-15.11_smt' rel: assessment-for - id: sa-15.11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-15(11)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing development process, standards, and tools solicitation documentation acquisition documentation service level agreements acquisition contracts for the system or system component evidence of archived system or component system security plan privacy plan other relevant documents or records - id: sa-15.11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-15(11)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities system developer organizational personnel with privacy responsibilities - id: sa-15.12 class: SP800-53-enhancement title: Minimize Personally Identifiable Information props: - name: label value: SA-15(12) class: zero-padded - name: label value: SA-15(12) - name: label value: SA-15(12) class: sp800-53a - name: sort-id value: sa-15.12 - 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: '#sa-15' rel: required - href: '#pm-25' rel: related - href: '#sa-3' rel: related - href: '#sa-8' rel: related parts: - id: sa-15.12_smt name: statement prose: Require the developer of the system or system component to minimize the use of personally identifiable information in development and test environments. - id: sa-15.12_gdn name: guidance prose: Organizations can minimize the risk to an individual’s privacy by using techniques such as de-identification or synthetic data. Limiting the use of personally identifiable information in development and test environments helps reduce the level of privacy risk created by a system. - id: sa-15.12_obj name: assessment-objective props: - name: label value: SA-15(12) class: sp800-53a prose: the developer of the system or system component is required to minimize the use of personally identifiable information in development and test environments. links: - href: '#sa-15.12_smt' rel: assessment-for - id: sa-15.12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-15(12)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing the development process procedures addressing the minimization of personally identifiable information in testing, training, and research personally identifiable information processing policy procedures addressing the authority to test with personally identifiable information standards and tools solicitation documentation service level agreements acquisition contracts for the system or services system security plan privacy plan other relevant documents or records - id: sa-15.12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-15(12)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with acquisition responsibilities organizational personnel with information security and privacy responsibilities system developer - id: sa-15.12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-15(12)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for the minimization of personally identifiable information in development and test environments mechanisms to facilitate the minimization of personally identifiable information in development and test environments - id: sa-16 class: SP800-53 title: Developer-provided Training params: - id: sa-16_odp props: - name: alt-identifier value: sa-16_prm_1 - name: label value: SA-16_ODP class: sp800-53a label: training guidelines: - prose: training on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms provided by the developer of the system, system component, or system service is defined; props: - name: label value: SA-16 class: zero-padded - name: label value: SA-16 - name: label value: SA-16 class: sp800-53a - name: sort-id value: sa-16 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#at-2' rel: related - href: '#at-3' rel: related - href: '#pe-3' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related parts: - id: sa-16_smt name: statement prose: 'Require the developer of the system, system component, or system service to provide the following training on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms: {{ insert: param, sa-16_odp }}.' - id: sa-16_gdn name: guidance prose: Developer-provided training applies to external and internal (in-house) developers. Training personnel is essential to ensuring the effectiveness of the controls implemented within organizational systems. Types of training include web-based and computer-based training, classroom-style training, and hands-on training (including micro-training). Organizations can also request training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security and privacy functions, controls, and mechanisms. - id: sa-16_obj name: assessment-objective props: - name: label value: SA-16 class: sp800-53a prose: 'the developer of the system, system component, or system service is required to provide {{ insert: param, sa-16_odp }} on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms.' links: - href: '#sa-16_smt' rel: assessment-for - id: sa-16_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-16-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures procedures addressing developer-provided training solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service organizational security and privacy training policy developer-provided training materials training records system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: sa-16_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-16-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security and privacy responsibilities system developer external or internal (in-house) developers with training responsibilities for the system, system component, or information system service - id: sa-17 class: SP800-53 title: Developer Security and Privacy Architecture and Design props: - name: label value: SA-17 class: zero-padded - name: label value: SA-17 - name: label value: SA-17 class: sp800-53a - name: sort-id value: sa-17 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#87087451-2af5-43d4-88c1-d66ad850f614' rel: reference - href: '#4452efc0-e79e-47b8-aa30-b54f3ef61c2f' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#pl-2' rel: related - href: '#pl-8' rel: related - href: '#pm-7' rel: related - href: '#sa-3' rel: related - href: '#sa-4' rel: related - href: '#sa-8' rel: related - href: '#sc-7' rel: related parts: - id: sa-17_smt name: statement prose: 'Require the developer of the system, system component, or system service to produce a design specification and security and privacy architecture that:' parts: - id: sa-17_smt.a name: item props: - name: label value: a. prose: Is consistent with the organization’s security and privacy architecture that is an integral part the organization’s enterprise architecture; - id: sa-17_smt.b name: item props: - name: label value: b. prose: Accurately and completely describes the required security and privacy functionality, and the allocation of controls among physical and logical components; and - id: sa-17_smt.c name: item props: - name: label value: c. prose: Expresses how individual security and privacy functions, mechanisms, and services work together to provide required security and privacy capabilities and a unified approach to protection. - id: sa-17_gdn name: guidance prose: Developer security and privacy architecture and design are directed at external developers, although they could also be applied to internal (in-house) development. In contrast, [PL-8](#pl-8) is directed at internal developers to ensure that organizations develop a security and privacy architecture that is integrated with the enterprise architecture. The distinction between SA-17 and [PL-8](#pl-8) is especially important when organizations outsource the development of systems, system components, or system services and when there is a requirement to demonstrate consistency with the enterprise architecture and security and privacy architecture of the organization. [ISO 15408-2](#87087451-2af5-43d4-88c1-d66ad850f614), [ISO 15408-3](#4452efc0-e79e-47b8-aa30-b54f3ef61c2f) , and [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) provide information on security architecture and design, including formal policy models, security-relevant components, formal and informal correspondence, conceptually simple design, and structuring for least privilege and testing. - id: sa-17_obj name: assessment-objective props: - name: label value: SA-17 class: sp800-53a parts: - id: sa-17_obj.a name: assessment-objective props: - name: label value: SA-17(a) class: sp800-53a parts: - id: sa-17_obj.a-1 name: assessment-objective props: - name: label value: SA-17(a)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to produce a design specification and security architecture that are consistent with the organization’s security architecture, which is an integral part the organization’s enterprise architecture; links: - href: '#sa-17_smt.a' rel: assessment-for - id: sa-17_obj.a-2 name: assessment-objective props: - name: label value: SA-17(a)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that are consistent with the organization’s privacy architecture, which is an integral part the organization’s enterprise architecture; links: - href: '#sa-17_smt.a' rel: assessment-for links: - href: '#sa-17_smt.a' rel: assessment-for - id: sa-17_obj.b name: assessment-objective props: - name: label value: SA-17(b) class: sp800-53a parts: - id: sa-17_obj.b-1 name: assessment-objective props: - name: label value: SA-17(b)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to produce a design specification and security architecture that accurately and completely describe the required security functionality and the allocation of controls among physical and logical components; links: - href: '#sa-17_smt.b' rel: assessment-for - id: sa-17_obj.b-2 name: assessment-objective props: - name: label value: SA-17(b)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that accurately and completely describe the required privacy functionality and the allocation of controls among physical and logical components; links: - href: '#sa-17_smt.b' rel: assessment-for links: - href: '#sa-17_smt.b' rel: assessment-for - id: sa-17_obj.c name: assessment-objective props: - name: label value: SA-17(c) class: sp800-53a parts: - id: sa-17_obj.c-1 name: assessment-objective props: - name: label value: SA-17(c)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to produce a design specification and security architecture that express how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection; links: - href: '#sa-17_smt.c' rel: assessment-for - id: sa-17_obj.c-2 name: assessment-objective props: - name: label value: SA-17(c)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that express how individual privacy functions, mechanisms, and services work together to provide required privacy capabilities and a unified approach to protection. links: - href: '#sa-17_smt.c' rel: assessment-for links: - href: '#sa-17_smt.c' rel: assessment-for links: - href: '#sa-17_smt' rel: assessment-for - id: sa-17_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-17-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures enterprise architecture policy enterprise architecture documentation procedures addressing developer security and privacy architecture and design specifications for the system solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system design documentation information system configuration settings and associated documentation system security plan privacy plan other relevant documents or records - id: sa-17_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-17-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with acquisition responsibilities organizational personnel with information security and privacy responsibilities system developer controls: - id: sa-17.1 class: SP800-53-enhancement title: Formal Policy Model params: - id: sa-17.1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-17.01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sa-17.01_odp.02 label: organization-defined elements of organizational security and privacy policy - id: sa-17.01_odp.01 props: - name: label value: SA-17(01)_ODP[01] class: sp800-53a label: organizational security policy guidelines: - prose: organizational security policy to be enforced is defined; - id: sa-17.01_odp.02 props: - name: label value: SA-17(01)_ODP[02] class: sp800-53a label: organizational privacy policy guidelines: - prose: organizational privacy policy to be enforced is defined; props: - name: label value: SA-17(01) class: zero-padded - name: label value: SA-17(1) - name: label value: SA-17(01) class: sp800-53a - name: sort-id value: sa-17.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-17' rel: required - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-25' rel: related parts: - id: sa-17.1_smt name: statement prose: 'Require the developer of the system, system component, or system service to:' parts: - id: sa-17.1_smt.a name: item props: - name: label value: (a) prose: 'Produce, as an integral part of the development process, a formal policy model describing the {{ insert: param, sa-17.1_prm_1 }} to be enforced; and' - id: sa-17.1_smt.b name: item props: - name: label value: (b) prose: Prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security and privacy policy when implemented. - id: sa-17.1_gdn name: guidance prose: Formal models describe specific behaviors or security and privacy policies using formal languages, thus enabling the correctness of those behaviors and policies to be formally proven. Not all components of systems can be modeled. Generally, formal specifications are scoped to the behaviors or policies of interest, such as nondiscretionary access control policies. Organizations choose the formal modeling language and approach based on the nature of the behaviors and policies to be described and the available tools. - id: sa-17.1_obj name: assessment-objective props: - name: label value: SA-17(01) class: sp800-53a parts: - id: sa-17.1_obj.a name: assessment-objective props: - name: label value: SA-17(01)(a) class: sp800-53a parts: - id: sa-17.1_obj.a-1 name: assessment-objective props: - name: label value: SA-17(01)(a)[01] class: sp800-53a prose: 'as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal policy model describing the {{ insert: param, sa-17.01_odp.01 }} to be enforced;' links: - href: '#sa-17.1_smt.a' rel: assessment-for - id: sa-17.1_obj.a-2 name: assessment-objective props: - name: label value: SA-17(01)(a)[02] class: sp800-53a prose: 'as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal policy model describing the {{ insert: param, sa-17.01_odp.02 }} to be enforced;' links: - href: '#sa-17.1_smt.a' rel: assessment-for links: - href: '#sa-17.1_smt.a' rel: assessment-for - id: sa-17.1_obj.b name: assessment-objective props: - name: label value: SA-17(01)(b) class: sp800-53a parts: - id: sa-17.1_obj.b-1 name: assessment-objective props: - name: label value: SA-17(01)(b)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented; links: - href: '#sa-17.1_smt.b' rel: assessment-for - id: sa-17.1_obj.b-2 name: assessment-objective props: - name: label value: SA-17(01)(b)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational privacy policy when implemented. links: - href: '#sa-17.1_smt.b' rel: assessment-for links: - href: '#sa-17.1_smt.b' rel: assessment-for links: - href: '#sa-17.1_smt' rel: assessment-for - id: sa-17.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-17(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy system and services acquisition procedures enterprise architecture policy enterprise architecture documentation procedures addressing developer security and privacy architecture and design specifications for the system solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system design documentation system configuration settings and associated documentation system security plan privacy plan other relevant documents or records - id: sa-17.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-17(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with acquisition responsibilities organizational personnel with information security and privacy responsibilities system developer - id: sa-17.2 class: SP800-53-enhancement title: Security-relevant Components props: - name: label value: SA-17(02) class: zero-padded - name: label value: SA-17(2) - name: label value: SA-17(02) class: sp800-53a - name: sort-id value: sa-17.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-17' rel: required - href: '#ac-25' rel: related - href: '#sa-5' rel: related parts: - id: sa-17.2_smt name: statement prose: 'Require the developer of the system, system component, or system service to:' parts: - id: sa-17.2_smt.a name: item props: - name: label value: (a) prose: Define security-relevant hardware, software, and firmware; and - id: sa-17.2_smt.b name: item props: - name: label value: (b) prose: Provide a rationale that the definition for security-relevant hardware, software, and firmware is complete. - id: sa-17.2_gdn name: guidance prose: The security-relevant hardware, software, and firmware represent the portion of the system, component, or service that is trusted to perform correctly to maintain required security properties. - id: sa-17.2_obj name: assessment-objective props: - name: label value: SA-17(02) class: sp800-53a parts: - id: sa-17.2_obj.a name: assessment-objective props: - name: label value: SA-17(02)(a) class: sp800-53a parts: - id: sa-17.2_obj.a-1 name: assessment-objective props: - name: label value: SA-17(02)(a)[01] class: sp800-53a prose: the developer of the system, system component, or system service is required to define security-relevant hardware; links: - href: '#sa-17.2_smt.a' rel: assessment-for - id: sa-17.2_obj.a-2 name: assessment-objective props: - name: label value: SA-17(02)(a)[02] class: sp800-53a prose: the developer of the system, system component, or system service is required to define security-relevant software; links: - href: '#sa-17.2_smt.a' rel: assessment-for - id: sa-17.2_obj.a-3 name: assessment-objective props: - name: label value: SA-17(02)(a)[03] class: sp800-53a prose: the developer of the system, system component, or system service is required to define security-relevant firmware; links: - href: '#sa-17.2_smt.a' rel: assessment-for links: - href: '#sa-17.2_smt.a' rel: assessment-for - id: sa-17.2_obj.b name: assessment-objective props: - name: label value: SA-17(02)(b) class: sp800-53a prose: the developer of the system, system component, or system service is required to provide a rationale that the definition for security-relevant hardware, software, and firmware is complete. links: - href: '#sa-17.2_smt.b' rel: assessment-for links: - href: '#sa-17.2_smt' rel: assessment-for - id: sa-17.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-17(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy enterprise architecture policy procedures addressing developer security architecture and design specifications for the system solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service list of security-relevant hardware, software, and firmware components documented rationale of completeness regarding definitions provided for security-relevant hardware, software, and firmware system security plan other relevant documents or records - id: sa-17.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-17(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities system developers organizational personnel with information security architecture and design responsibilities - id: sa-17.3 class: SP800-53-enhancement title: Formal Correspondence props: - name: label value: SA-17(03) class: zero-padded - name: label value: SA-17(3) - name: label value: SA-17(03) class: sp800-53a - name: sort-id value: sa-17.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-17' rel: required - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-25' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related parts: - id: sa-17.3_smt name: statement prose: 'Require the developer of the system, system component, or system service to:' parts: - id: sa-17.3_smt.a name: item props: - name: label value: (a) prose: Produce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects; - id: sa-17.3_smt.b name: item props: - name: label value: (b) prose: Show via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model; - id: sa-17.3_smt.c name: item props: - name: label value: (c) prose: Show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware; - id: sa-17.3_smt.d name: item props: - name: label value: (d) prose: Show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and - id: sa-17.3_smt.e name: item props: - name: label value: (e) prose: Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware. - id: sa-17.3_gdn name: guidance prose: Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details that are present have no impact on the behaviors or policies being modeled. Formal methods can be used to show that the high-level security properties are satisfied by the formal system description, and that the formal system description is correctly implemented by a description of some lower level, including a hardware description. Consistency between the formal top-level specification and the formal policy models is generally not amenable to being fully proven. Therefore, a combination of formal and informal methods may be needed to demonstrate such consistency. Consistency between the formal top-level specification and the actual implementation may require the use of an informal demonstration due to limitations on the applicability of formal methods to prove that the specification accurately reflects the implementation. Hardware, software, and firmware mechanisms internal to security-relevant components include mapping registers and direct memory input and output. - id: sa-17.3_obj name: assessment-objective props: - name: label value: SA-17(03) class: sp800-53a parts: - id: sa-17.3_obj.a name: assessment-objective props: - name: label value: SA-17(03)(a) class: sp800-53a parts: - id: sa-17.3_obj.a-1 name: assessment-objective props: - name: label value: SA-17(03)(a)[01] class: sp800-53a prose: as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions; links: - href: '#sa-17.3_smt.a' rel: assessment-for - id: sa-17.3_obj.a-2 name: assessment-objective props: - name: label value: SA-17(03)(a)[02] class: sp800-53a prose: as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of error messages; links: - href: '#sa-17.3_smt.a' rel: assessment-for - id: sa-17.3_obj.a-3 name: assessment-objective props: - name: label value: SA-17(03)(a)[03] class: sp800-53a prose: as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of effects; links: - href: '#sa-17.3_smt.a' rel: assessment-for links: - href: '#sa-17.3_smt.a' rel: assessment-for - id: sa-17.3_obj.b name: assessment-objective props: - name: label value: SA-17(03)(b) class: sp800-53a prose: the developer of the system, system component, or system service is required to show proof that the formal top-level specification is consistent with the formal policy model to the extent feasible with additional informal demonstration as necessary; links: - href: '#sa-17.3_smt.b' rel: assessment-for - id: sa-17.3_obj.c name: assessment-objective props: - name: label value: SA-17(03)(c) class: sp800-53a prose: the developer of the system, system component, or system service is required to show via informal demonstration that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware; links: - href: '#sa-17.3_smt.c' rel: assessment-for - id: sa-17.3_obj.d name: assessment-objective props: - name: label value: SA-17(03)(d) class: sp800-53a prose: the developer of the system, system component, or system service is required to show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; links: - href: '#sa-17.3_smt.d' rel: assessment-for - id: sa-17.3_obj.e name: assessment-objective props: - name: label value: SA-17(03)(e) class: sp800-53a prose: the developer of the system, system component, or system service is required to describe the security-relevant hardware, software, and firmware mechanisms that are not addressed in the formal top-level specification but are strictly internal to the security-relevant hardware, software, and firmware. links: - href: '#sa-17.3_smt.e' rel: assessment-for links: - href: '#sa-17.3_smt' rel: assessment-for - id: sa-17.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-17(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy enterprise architecture policy formal policy model procedures addressing developer security architecture and design specifications for the system solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service formal top-level specification documentation system security architecture and design documentation system design documentation system configuration settings and associated documentation documentation describing security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification documentation system security plan other relevant documents or records - id: sa-17.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-17(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities system developer organizational personnel with information security architecture and design responsibilities - id: sa-17.4 class: SP800-53-enhancement title: Informal Correspondence params: - id: sa-17.04_odp props: - name: alt-identifier value: sa-17.4_prm_1 - name: label value: SA-17(04)_ODP class: sp800-53a select: choice: - informal demonstration, convincing argument with formal methods as feasible props: - name: label value: SA-17(04) class: zero-padded - name: label value: SA-17(4) - name: label value: SA-17(04) class: sp800-53a - name: sort-id value: sa-17.04 - 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: '#sa-17' rel: required - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-25' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related parts: - id: sa-17.4_smt name: statement prose: 'Require the developer of the system, system component, or system service to:' parts: - id: sa-17.4_smt.a name: item props: - name: label value: (a) prose: Produce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects; - id: sa-17.4_smt.b name: item props: - name: label value: (b) prose: 'Show via {{ insert: param, sa-17.04_odp }} that the descriptive top-level specification is consistent with the formal policy model;' - id: sa-17.4_smt.c name: item props: - name: label value: (c) prose: Show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware; - id: sa-17.4_smt.d name: item props: - name: label value: (d) prose: Show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and - id: sa-17.4_smt.e name: item props: - name: label value: (e) prose: Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware. - id: sa-17.4_gdn name: guidance prose: Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that additional code or implementation detail has no impact on the behaviors or policies being modeled. Consistency between the descriptive top-level specification (i.e., high-level/low-level design) and the formal policy model is generally not amenable to being fully proven. Therefore, a combination of formal and informal methods may be needed to show such consistency. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include mapping registers and direct memory input and output. - id: sa-17.4_obj name: assessment-objective props: - name: label value: SA-17(04) class: sp800-53a parts: - id: sa-17.4_obj.a name: assessment-objective props: - name: label value: SA-17(04)(a) class: sp800-53a parts: - id: sa-17.4_obj.a-1 name: assessment-objective props: - name: label value: SA-17(04)(a)[01] class: sp800-53a prose: as an integral part of the development process, the developer of the system, system component, or system service is required to produce an informal, descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions; links: - href: '#sa-17.4_smt.a' rel: assessment-for - id: sa-17.4_obj.a-2 name: assessment-objective props: - name: label value: SA-17(04)(a)[02] class: sp800-53a prose: as an integral part of the development process, the developer of the system, system component, or system service is required to produce an informal, descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of error messages; links: - href: '#sa-17.4_smt.a' rel: assessment-for - id: sa-17.4_obj.a-3 name: assessment-objective props: - name: label value: SA-17(04)(a)[03] class: sp800-53a prose: as an integral part of the development process, the developer of the system, system component, or system service is required to produce an informal, descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of effects; links: - href: '#sa-17.4_smt.a' rel: assessment-for links: - href: '#sa-17.4_smt.a' rel: assessment-for - id: sa-17.4_obj.b name: assessment-objective props: - name: label value: SA-17(04)(b) class: sp800-53a prose: 'the developer of the system, system component, or system service is required to show via {{ insert: param, sa-17.04_odp }} that the descriptive top-level specification is consistent with the formal policy model;' links: - href: '#sa-17.4_smt.b' rel: assessment-for - id: sa-17.4_obj.c name: assessment-objective props: - name: label value: SA-17(04)(c) class: sp800-53a prose: the developer of the system, system component, or system service is required to show via informal demonstration that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware; links: - href: '#sa-17.4_smt.c' rel: assessment-for - id: sa-17.4_obj.d name: assessment-objective props: - name: label value: SA-17(04)(d) class: sp800-53a prose: the developer of the system, system component, or system service is required to show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; links: - href: '#sa-17.4_smt.d' rel: assessment-for - id: sa-17.4_obj.e name: assessment-objective props: - name: label value: SA-17(04)(e) class: sp800-53a prose: the developer of the system, system component, or system service is required to describe the security-relevant hardware, software, and firmware mechanisms that are not addressed in the descriptive top-level specification but are strictly internal to the security-relevant hardware, software, and firmware. links: - href: '#sa-17.4_smt.e' rel: assessment-for links: - href: '#sa-17.4_smt' rel: assessment-for - id: sa-17.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-17(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy enterprise architecture policy formal policy model procedures addressing developer security architecture and design specifications for the system solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service informal, descriptive top-level specification documentation system security architecture and design documentation system design documentation system configuration settings and associated documentation documentation describing security-relevant hardware, software, and firmware mechanisms not addressed in the informal, descriptive top-level specification documentation system security plan other relevant documents or records - id: sa-17.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-17(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities system developer organizational personnel with information security architecture and design responsibilities - id: sa-17.5 class: SP800-53-enhancement title: Conceptually Simple Design props: - name: label value: SA-17(05) class: zero-padded - name: label value: SA-17(5) - name: label value: SA-17(05) class: sp800-53a - name: sort-id value: sa-17.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-17' rel: required - href: '#ac-25' rel: related - href: '#sa-8' rel: related - href: '#sc-3' rel: related parts: - id: sa-17.5_smt name: statement prose: 'Require the developer of the system, system component, or system service to:' parts: - id: sa-17.5_smt.a name: item props: - name: label value: (a) prose: Design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and - id: sa-17.5_smt.b name: item props: - name: label value: (b) prose: Internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism. - id: sa-17.5_gdn name: guidance prose: The principle of reduced complexity states that the system design is as simple and small as possible (see [SA-8(7)](#sa-8.7) ). A small and simple design is easier to understand and analyze and is also less prone to error (see [AC-25](#ac-25), [SA-8(13)](#sa-8.13) ). The principle of reduced complexity applies to any aspect of a system, but it has particular importance for security due to the various analyses performed to obtain evidence about the emergent security property of the system. For such analyses to be successful, a small and simple design is essential. Application of the principle of reduced complexity contributes to the ability of system developers to understand the correctness and completeness of system security functions and facilitates the identification of potential vulnerabilities. The corollary of reduced complexity states that the simplicity of the system is directly related to the number of vulnerabilities it will contain. That is, simpler systems contain fewer vulnerabilities. An important benefit of reduced complexity is that it is easier to understand whether the security policy has been captured in the system design and that fewer vulnerabilities are likely to be introduced during engineering development. An additional benefit is that any such conclusion about correctness, completeness, and existence of vulnerabilities can be reached with a higher degree of assurance in contrast to conclusions reached in situations where the system design is inherently more complex. - id: sa-17.5_obj name: assessment-objective props: - name: label value: SA-17(05) class: sp800-53a parts: - id: sa-17.5_obj.a name: assessment-objective props: - name: label value: SA-17(05)(a) class: sp800-53a prose: the developer of the system, system component, or system service is required to design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; links: - href: '#sa-17.5_smt.a' rel: assessment-for - id: sa-17.5_obj.b name: assessment-objective props: - name: label value: SA-17(05)(b) class: sp800-53a prose: the developer of the system, system component, or system service is required to internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism. links: - href: '#sa-17.5_smt.b' rel: assessment-for links: - href: '#sa-17.5_smt' rel: assessment-for - id: sa-17.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-17(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy enterprise architecture policy procedures addressing developer security architecture and design specifications for the system solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system design documentation system security architecture documentation system configuration settings and associated documentation developer documentation describing the design and structure of security-relevant hardware, software, and firmware components system security plan other relevant documents or records - id: sa-17.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-17(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities system developer organizational personnel with information security architecture and design responsibilities - id: sa-17.6 class: SP800-53-enhancement title: Structure for Testing props: - name: label value: SA-17(06) class: zero-padded - name: label value: SA-17(6) - name: label value: SA-17(06) class: sp800-53a - name: sort-id value: sa-17.06 - 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: '#sa-17' rel: required - href: '#sa-5' rel: related - href: '#sa-11' rel: related parts: - id: sa-17.6_smt name: statement prose: Require the developer of the system, system component, or system service to structure security-relevant hardware, software, and firmware to facilitate testing. - id: sa-17.6_gdn name: guidance prose: Applying the security design principles in [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) promotes complete, consistent, and comprehensive testing and evaluation of systems, system components, and services. The thoroughness of such testing contributes to the evidence produced to generate an effective assurance case or argument as to the trustworthiness of the system, system component, or service. - id: sa-17.6_obj name: assessment-objective props: - name: label value: SA-17(06) class: sp800-53a prose: the developer of the system, system component, or system service is required to structure security-relevant hardware, software, and firmware to facilitate testing. links: - href: '#sa-17.6_smt' rel: assessment-for - id: sa-17.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-17(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy enterprise architecture policy procedures addressing developer security architecture and design specifications for the system solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system design documentation system security architecture documentation privacy architecture documentation system configuration settings and associated documentation developer documentation describing the design and structure of security-relevant hardware, software, and firmware components to facilitate testing system security plan privacy plan other relevant documents or records - id: sa-17.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-17(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security and privacy responsibilities system developer organizational personnel with information security and privacy architecture and design responsibilities - id: sa-17.7 class: SP800-53-enhancement title: Structure for Least Privilege props: - name: label value: SA-17(07) class: zero-padded - name: label value: SA-17(7) - name: label value: SA-17(07) class: sp800-53a - name: sort-id value: sa-17.07 - 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: '#sa-17' rel: required - href: '#ac-5' rel: related - href: '#ac-6' rel: related - href: '#sa-8' rel: related parts: - id: sa-17.7_smt name: statement prose: Require the developer of the system, system component, or system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege. - id: sa-17.7_gdn name: guidance prose: |- The principle of least privilege states that each component is allocated sufficient privileges to accomplish its specified functions but no more (see [SA-8(14)](#sa-8.14) ). Applying the principle of least privilege limits the scope of the component’s actions, which has two desirable effects. First, the security impact of a failure, corruption, or misuse of the system component results in a minimized security impact. Second, the security analysis of the component is simplified. Least privilege is a pervasive principle that is reflected in all aspects of the secure system design. Interfaces used to invoke component capability are available to only certain subsets of the user population, and component design supports a sufficiently fine granularity of privilege decomposition. For example, in the case of an audit mechanism, there may be an interface for the audit manager, who configures the audit settings; an interface for the audit operator, who ensures that audit data is safely collected and stored; and, finally, yet another interface for the audit reviewer, who only has a need to view the audit data that has been collected but no need to perform operations on that data. In addition to its manifestations at the system interface, least privilege can be used as a guiding principle for the internal structure of the system itself. One aspect of internal least privilege is to construct modules so that only the elements encapsulated by the module are directly operated upon by the functions within the module. Elements external to a module that may be affected by the module’s operation are indirectly accessed through interaction (e.g., via a function call) with the module that contains those elements. Another aspect of internal least privilege is that the scope of a given module or component includes only those system elements that are necessary for its functionality, and the access modes to the elements (e.g., read, write) are minimal. - id: sa-17.7_obj name: assessment-objective props: - name: label value: SA-17(07) class: sp800-53a prose: the developer of the system, system component, or system service is required to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege. links: - href: '#sa-17.7_smt' rel: assessment-for - id: sa-17.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-17(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy enterprise architecture policy procedures addressing developer security architecture and design specifications for the system solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system design documentation system security architecture documentation system configuration settings and associated documentation developer documentation describing the design and structure of security-relevant hardware, software, and firmware components to facilitate controlling access with least privilege system security plan other relevant documents or records - id: sa-17.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-17(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities system developer organizational personnel with information security architecture and design responsibilities - id: sa-17.8 class: SP800-53-enhancement title: Orchestration params: - id: sa-17.08_odp.01 props: - name: alt-identifier value: sa-17.8_prm_1 - name: alt-label value: critical systems or system components class: sp800-53 - name: label value: SA-17(08)_ODP[01] class: sp800-53a label: critical systems guidelines: - prose: critical systems or system components are defined; - id: sa-17.08_odp.02 props: - name: alt-identifier value: sa-17.8_prm_2 - name: alt-label value: capabilities, by system or component class: sp800-53 - name: label value: SA-17(08)_ODP[02] class: sp800-53a label: capabilities guidelines: - prose: capabilities to be implemented by systems or components are defined; props: - name: label value: SA-17(08) class: zero-padded - name: label value: SA-17(8) - name: label value: SA-17(08) class: sp800-53a - name: sort-id value: sa-17.08 - 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: '#sa-17' rel: required parts: - id: sa-17.8_smt name: statement prose: 'Design {{ insert: param, sa-17.08_odp.01 }} with coordinated behavior to implement the following capabilities: {{ insert: param, sa-17.08_odp.02 }}.' - id: sa-17.8_gdn name: guidance prose: Security resources that are distributed, located at different layers or in different system elements, or are implemented to support different aspects of trustworthiness can interact in unforeseen or incorrect ways. Adverse consequences can include cascading failures, interference, or coverage gaps. Coordination of the behavior of security resources (e.g., by ensuring that one patch is installed across all resources before making a configuration change that assumes that the patch is propagated) can avert such negative interactions. - id: sa-17.8_obj name: assessment-objective props: - name: label value: SA-17(08) class: sp800-53a prose: '{{ insert: param, sa-17.08_odp.01 }} are designed with coordinated behavior to implement {{ insert: param, sa-17.08_odp.02 }}.' links: - href: '#sa-17.8_smt' rel: assessment-for - id: sa-17.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-17(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy enterprise architecture policy procedures addressing developer security and privacy architecture and design enterprise architecture security architecture solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system design documentation system configuration settings and associated documentation developer documentation describing design orchestration system security plan privacy plan other relevant documents or records - id: sa-17.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-17(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security and privacy responsibilities system developer organizational personnel with information security architecture responsibilities - id: sa-17.9 class: SP800-53-enhancement title: Design Diversity params: - id: sa-17.09_odp props: - name: alt-identifier value: sa-17.9_prm_1 - name: alt-label value: critical systems or system components class: sp800-53 - name: label value: SA-17(09)_ODP class: sp800-53a label: critical systems guidelines: - prose: critical systems or system components to be designed differently are defined; props: - name: label value: SA-17(09) class: zero-padded - name: label value: SA-17(9) - name: label value: SA-17(09) class: sp800-53a - name: sort-id value: sa-17.09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sa-17' rel: required parts: - id: sa-17.9_smt name: statement prose: 'Use different designs for {{ insert: param, sa-17.09_odp }} to satisfy a common set of requirements or to provide equivalent functionality.' - id: sa-17.9_gdn name: guidance prose: Design diversity is achieved by supplying the same requirements specification to multiple developers, each of whom is responsible for developing a variant of the system or system component that meets the requirements. Variants can be in software design, in hardware design, or in both hardware and a software design. Differences in the designs of the variants can result from developer experience (e.g., prior use of a design pattern), design style (e.g., when decomposing a required function into smaller tasks, determining what constitutes a separate task and how far to decompose tasks into sub-tasks), selection of libraries to incorporate into the variant, and the development environment (e.g., different design tools make some design patterns easier to visualize). Hardware design diversity includes making different decisions about what information to keep in analog form and what information to convert to digital form, transmitting the same information at different times, and introducing delays in sampling (temporal diversity). Design diversity is commonly used to support fault tolerance. - id: sa-17.9_obj name: assessment-objective props: - name: label value: SA-17(09) class: sp800-53a prose: 'different designs are used for {{ insert: param, sa-17.09_odp }} to satisfy a common set of requirements or to provide equivalent functionality.' links: - href: '#sa-17.9_smt' rel: assessment-for - id: sa-17.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-17(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy enterprise architecture policy procedures addressing developer security architecture and design diversity for the system solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system design documentation system security architecture documentation system configuration settings and associated documentation developer documentation describing design diversity system security plan other relevant documents or records - id: sa-17.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-17(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities system developer organizational personnel with information security architecture responsibilities - id: sa-18 class: SP800-53 title: Tamper Resistance and Detection props: - name: label value: SA-18 class: zero-padded - name: label value: SA-18 - name: label value: SA-18 class: sp800-53a - name: sort-id value: sa-18 - name: status value: withdrawn links: - href: '#sr-9' rel: moved-to controls: - id: sa-18.1 class: SP800-53-enhancement title: Multiple Phases of System Development Life Cycle props: - name: label value: SA-18(01) class: zero-padded - name: label value: SA-18(1) - name: label value: SA-18(01) class: sp800-53a - name: sort-id value: sa-18.01 - name: status value: withdrawn links: - href: '#sr-9.1' rel: moved-to - id: sa-18.2 class: SP800-53-enhancement title: Inspection of Systems or Components props: - name: label value: SA-18(02) class: zero-padded - name: label value: SA-18(2) - name: sort-id value: sa-18.02 - name: status value: withdrawn links: - href: '#sr-10' rel: moved-to - id: sa-19 class: SP800-53 title: Component Authenticity props: - name: label value: SA-19 class: zero-padded - name: label value: SA-19 - name: label value: SA-19 class: sp800-53a - name: sort-id value: sa-19 - name: status value: withdrawn links: - href: '#sr-11' rel: moved-to controls: - id: sa-19.1 class: SP800-53-enhancement title: Anti-counterfeit Training props: - name: label value: SA-19(01) class: zero-padded - name: label value: SA-19(1) - name: label value: SA-19(01) class: sp800-53a - name: sort-id value: sa-19.01 - name: status value: withdrawn links: - href: '#sr-11.1' rel: moved-to - id: sa-19.2 class: SP800-53-enhancement title: Configuration Control for Component Service and Repair props: - name: label value: SA-19(02) class: zero-padded - name: label value: SA-19(2) - name: label value: SA-19(02) class: sp800-53a - name: sort-id value: sa-19.02 - name: status value: withdrawn links: - href: '#sr-11.2' rel: moved-to - id: sa-19.3 class: SP800-53-enhancement title: Component Disposal props: - name: label value: SA-19(03) class: zero-padded - name: label value: SA-19(3) - name: label value: SA-19(03) class: sp800-53a - name: sort-id value: sa-19.03 - name: status value: withdrawn links: - href: '#sr-12' rel: moved-to - id: sa-19.4 class: SP800-53-enhancement title: Anti-counterfeit Scanning props: - name: label value: SA-19(04) class: zero-padded - name: label value: SA-19(4) - name: label value: SA-19(04) class: sp800-53a - name: sort-id value: sa-19.04 - name: status value: withdrawn links: - href: '#sr-11.3' rel: moved-to - id: sa-20 class: SP800-53 title: Customized Development of Critical Components params: - id: sa-20_odp props: - name: alt-identifier value: sa-20_prm_1 - name: alt-label value: critical system components class: sp800-53 - name: label value: SA-20_ODP class: sp800-53a label: critical system guidelines: - prose: critical system components to be reimplemented or custom-developed are defined; props: - name: label value: SA-20 class: zero-padded - name: label value: SA-20 - name: label value: SA-20 class: sp800-53a - name: sort-id value: sa-20 - 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: '#cp-2' rel: related - href: '#ra-9' rel: related - href: '#sa-8' rel: related parts: - id: sa-20_smt name: statement prose: 'Reimplement or custom develop the following critical system components: {{ insert: param, sa-20_odp }}.' - id: sa-20_gdn name: guidance prose: Organizations determine that certain system components likely cannot be trusted due to specific threats to and vulnerabilities in those components for which there are no viable security controls to adequately mitigate risk. Reimplementation or custom development of such components may satisfy requirements for higher assurance and is carried out by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to reimplement or custom develop critical system components, additional controls can be employed. Controls include enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files. - id: sa-20_obj name: assessment-objective props: - name: label value: SA-20 class: sp800-53a prose: '{{ insert: param, sa-20_odp }} are reimplemented or custom-developed.' links: - href: '#sa-20_smt' rel: assessment-for - id: sa-20_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-20-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management plan system and services acquisition policy procedures addressing the customized development of critical system components system design documentation system configuration settings and associated documentation system development life cycle documentation addressing the custom development of critical system components configuration management records system audit records system security plan other relevant documents or records - id: sa-20_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-20-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 responsibility for the reimplementation or customized development of critical system components - id: sa-20_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-20-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for the reimplementation or customized development of critical system components mechanisms supporting and/or implementing the reimplementation or customized development of critical system components - id: sa-21 class: SP800-53 title: Developer Screening params: - id: sa-21_odp.01 props: - name: alt-identifier value: sa-21_prm_1 - name: alt-label value: system, system component, or system service class: sp800-53 - name: label value: SA-21_ODP[01] class: sp800-53a label: system, systems component, or system service guidelines: - prose: the system, systems component, or system service that the developer has access to is/are defined; - id: sa-21_odp.02 props: - name: alt-identifier value: sa-21_prm_2 - name: label value: SA-21_ODP[02] class: sp800-53a label: official government duties guidelines: - prose: official government duties assigned to the developer are defined; - id: sa-21_odp.03 props: - name: alt-identifier value: sa-21_prm_3 - name: label value: SA-21_ODP[03] class: sp800-53a label: additional personnel screening criteria guidelines: - prose: additional personnel screening criteria for the developer are defined; props: - name: label value: SA-21 class: zero-padded - name: label value: SA-21 - name: label value: SA-21 class: sp800-53a - name: sort-id value: sa-21 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ps-2' rel: related - href: '#ps-3' rel: related - href: '#ps-6' rel: related - href: '#ps-7' rel: related - href: '#sa-4' rel: related - href: '#sr-6' rel: related parts: - id: sa-21_smt name: statement prose: 'Require that the developer of {{ insert: param, sa-21_odp.01 }}:' parts: - id: sa-21_smt.a name: item props: - name: label value: a. prose: 'Has appropriate access authorizations as determined by assigned {{ insert: param, sa-21_odp.02 }} ; and' - id: sa-21_smt.b name: item props: - name: label value: b. prose: 'Satisfies the following additional personnel screening criteria: {{ insert: param, sa-21_odp.03 }}.' - id: sa-21_gdn name: guidance prose: Developer screening is directed at external developers. Internal developer screening is addressed by [PS-3](#ps-3) . Because the system, system component, or system service may be used in critical activities essential to the national or economic security interests of the United States, organizations have a strong interest in ensuring that developers are trustworthy. The degree of trust required of developers may need to be consistent with that of the individuals who access the systems, system components, or system services once deployed. Authorization and personnel screening criteria include clearances, background checks, citizenship, and nationality. Developer trustworthiness may also include a review and analysis of company ownership and relationships that the company has with entities that may potentially affect the quality and reliability of the systems, components, or services being developed. Satisfying the required access authorizations and personnel screening criteria includes providing a list of all individuals who are authorized to perform development activities on the selected system, system component, or system service so that organizations can validate that the developer has satisfied the authorization and screening requirements. - id: sa-21_obj name: assessment-objective props: - name: label value: SA-21 class: sp800-53a parts: - id: sa-21_obj.a name: assessment-objective props: - name: label value: SA-21a. class: sp800-53a prose: 'the developer of {{ insert: param, sa-21_odp.01 }} is required to have appropriate access authorizations as determined by assigned {{ insert: param, sa-21_odp.02 }};' links: - href: '#sa-21_smt.a' rel: assessment-for - id: sa-21_obj.b name: assessment-objective props: - name: label value: SA-21b. class: sp800-53a prose: 'the developer of {{ insert: param, sa-21_odp.01 }} is required to satisfy {{ insert: param, sa-21_odp.03 }}.' links: - href: '#sa-21_smt.b' rel: assessment-for links: - href: '#sa-21_smt' rel: assessment-for - id: sa-21_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-21-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy personnel security policy and procedures procedures addressing personnel screening system design documentation acquisition documentation service level agreements acquisition contracts for developer services system configuration settings and associated documentation list of appropriate access authorizations required by the developers of the system personnel screening criteria and associated documentation system security plan supply chain risk management plan other relevant documents or records - id: sa-21_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-21-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel responsible for developer screening - id: sa-21_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-21-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for developer screening mechanisms supporting developer screening controls: - id: sa-21.1 class: SP800-53-enhancement title: Validation of Screening props: - name: label value: SA-21(01) class: zero-padded - name: label value: SA-21(1) - name: label value: SA-21(01) class: sp800-53a - name: sort-id value: sa-21.01 - name: status value: withdrawn links: - href: '#sa-21' rel: incorporated-into - 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: 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: 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: 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: 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 controls: - id: sa-22.1 class: SP800-53-enhancement title: Alternative Sources for Continued Support props: - name: label value: SA-22(01) class: zero-padded - name: label value: SA-22(1) - name: label value: SA-22(01) class: sp800-53a - name: sort-id value: sa-22.01 - name: status value: withdrawn links: - href: '#sa-22' rel: incorporated-into - id: sa-23 class: SP800-53 title: Specialization params: - id: sa-23_odp.01 props: - name: alt-identifier value: sa-23_prm_1 - name: label value: SA-23_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - design modification - augmentation - reconfiguration - id: sa-23_odp.02 props: - name: alt-identifier value: sa-23_prm_2 - name: label value: SA-23_ODP[02] class: sp800-53a label: systems or system components guidelines: - prose: systems or system components supporting mission-essential services or functions are defined; props: - name: label value: SA-23 class: zero-padded - name: label value: SA-23 - name: label value: SA-23 class: sp800-53a - name: sort-id value: sa-23 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference - href: '#ra-9' rel: related - href: '#sa-8' rel: related parts: - id: sa-23_smt name: statement prose: 'Employ {{ insert: param, sa-23_odp.01 }} on {{ insert: param, sa-23_odp.02 }} supporting mission essential services or functions to increase the trustworthiness in those systems or components.' - id: sa-23_gdn name: guidance prose: It is often necessary for a system or system component that supports mission-essential services or functions to be enhanced to maximize the trustworthiness of the resource. Sometimes this enhancement is done at the design level. In other instances, it is done post-design, either through modifications of the system in question or by augmenting the system with additional components. For example, supplemental authentication or non-repudiation functions may be added to the system to enhance the identity of critical resources to other resources that depend on the organization-defined resources. - id: sa-23_obj name: assessment-objective props: - name: label value: SA-23 class: sp800-53a prose: '{{ insert: param, sa-23_odp.01 }} is employed on {{ insert: param, sa-23_odp.02 }} supporting essential services or functions to increase the trustworthiness in those systems or components.' links: - href: '#sa-23_smt' rel: assessment-for - id: sa-23_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SA-23-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and services acquisition policy procedures addressing design modification, augmentation, or reconfiguration of systems or system components documented evidence of design modification, augmentation, or reconfiguration system security plan supply chain risk management plan other relevant documents or records - id: sa-23_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SA-23-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 security architecture organizational personnel responsible for configuration management - id: sa-23_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SA-23-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for the modification of design, augmentation, or reconfiguration of systems or system components mechanisms supporting and/or implementing design modification, augmentation, or reconfiguration of systems or 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 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 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 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: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: label value: SC-01c.02 class: sp800-53a parts: - id: sc-1_obj.c.2-1 name: assessment-objective props: - name: label value: SC-01c.02[01] class: sp800-53a prose: 'the current system and communications protection procedures are reviewed and updated {{ insert: param, sc-01_odp.07 }};' links: - href: '#sc-1_smt.c.2' rel: assessment-for - id: sc-1_obj.c.2-2 name: assessment-objective props: - name: label value: SC-01c.02[02] class: sp800-53a prose: 'the current system and communications protection procedures are reviewed and updated following {{ insert: param, sc-01_odp.08 }}.' links: - href: '#sc-1_smt.c.2' rel: assessment-for links: - href: '#sc-1_smt.c.2' rel: assessment-for links: - href: '#sc-1_smt.c' rel: assessment-for links: - href: '#sc-1_smt' rel: assessment-for - id: sc-1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-01-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy system and communications protection procedures system security plan privacy plan risk management strategy documentation audit findings other relevant documents or records - id: sc-1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-01-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and communications protection responsibilities organizational personnel with information security and privacy responsibilities - id: sc-2 class: SP800-53 title: Separation of System and User Functionality props: - name: label value: SC-02 class: zero-padded - name: label value: SC-2 - name: label value: SC-02 class: sp800-53a - name: sort-id value: sc-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ac-6' rel: related - href: '#sa-4' rel: related - href: '#sa-8' rel: related - href: '#sc-3' rel: related - href: '#sc-7' rel: related - href: '#sc-22' rel: related - href: '#sc-32' rel: related - href: '#sc-39' rel: related parts: - id: sc-2_smt name: statement prose: Separate user functionality, including user interface services, from system management functionality. - id: sc-2_gdn name: guidance prose: System management functionality includes functions that are necessary to administer databases, network components, workstations, or servers. These functions typically require privileged user access. The separation of user functions from system management functions is physical or logical. Organizations may separate system management functions from user functions by using different computers, instances of operating systems, central processing units, or network addresses; by employing virtualization techniques; or some combination of these or other methods. Separation of system management functions from user functions includes web administrative interfaces that employ separate authentication methods for users of any other system resources. Separation of system and user functions may include isolating administrative interfaces on different domains and with additional access controls. The separation of system and user functionality can be achieved by applying the systems security engineering design principles in [SA-8](#sa-8) , including [SA-8(1)](#sa-8.1), [SA-8(3)](#sa-8.3), [SA-8(4)](#sa-8.4), [SA-8(10)](#sa-8.10), [SA-8(12)](#sa-8.12), [SA-8(13)](#sa-8.13), [SA-8(14)](#sa-8.14) , and [SA-8(18)](#sa-8.18). - id: sc-2_obj name: assessment-objective props: - name: label value: SC-02 class: sp800-53a prose: user functionality, including user interface services, is separated from system management functionality. links: - href: '#sc-2_smt' rel: assessment-for - id: sc-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-02-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing application partitioning system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-02-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer - id: sc-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-02-Test class: sp800-53a parts: - name: assessment-objects prose: Separation of user functionality from system management functionality controls: - id: sc-2.1 class: SP800-53-enhancement title: Interfaces for Non-privileged Users props: - name: label value: SC-02(01) class: zero-padded - name: label value: SC-2(1) - name: label value: SC-02(01) class: sp800-53a - name: sort-id value: sc-02.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sc-2' rel: required - href: '#ac-3' rel: related parts: - id: sc-2.1_smt name: statement prose: Prevent the presentation of system management functionality at interfaces to non-privileged users. - id: sc-2.1_gdn name: guidance prose: Preventing the presentation of system management functionality at interfaces to non-privileged users ensures that system administration options, including administrator privileges, are not available to the general user population. Restricting user access also prohibits the use of the grey-out option commonly used to eliminate accessibility to such information. One potential solution is to withhold system administration options until users establish sessions with administrator privileges. - id: sc-2.1_obj name: assessment-objective props: - name: label value: SC-02(01) class: sp800-53a prose: the presentation of system management functionality is prevented at interfaces to non-privileged users. links: - href: '#sc-2.1_smt' rel: assessment-for - id: sc-2.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-02(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing application partitioning system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-2.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-02(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities non-privileged users of the system system developer - id: sc-2.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-02(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Separation of user functionality from system management functionality - id: sc-2.2 class: SP800-53-enhancement title: Disassociability props: - name: label value: SC-02(02) class: zero-padded - name: label value: SC-2(2) - name: label value: SC-02(02) class: sp800-53a - name: sort-id value: sc-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sc-2' rel: required parts: - id: sc-2.2_smt name: statement prose: Store state information from applications and software separately. - id: sc-2.2_gdn name: guidance prose: If a system is compromised, storing applications and software separately from state information about users’ interactions with an application may better protect individuals’ privacy. - id: sc-2.2_obj name: assessment-objective props: - name: label value: SC-02(02) class: sp800-53a prose: state information is stored separately from applications and software. links: - href: '#sc-2.2_smt' rel: assessment-for - id: sc-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing application and software partitioning system design documentation system configuration settings and associated documentation system audit records system security plan privacy plan other relevant documents or records - id: sc-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities system developer - id: sc-2.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-02(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Separation of application state information from software - id: sc-3 class: SP800-53 title: Security Function Isolation props: - name: label value: SC-03 class: zero-padded - name: label value: SC-3 - name: label value: SC-03 class: sp800-53a - name: sort-id value: sc-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ac-3' rel: related - href: '#ac-6' rel: related - href: '#ac-25' rel: related - href: '#cm-2' rel: related - href: '#cm-4' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-15' rel: related - href: '#sa-17' rel: related - href: '#sc-2' rel: related - href: '#sc-7' rel: related - href: '#sc-32' rel: related - href: '#sc-39' rel: related - href: '#si-16' rel: related parts: - id: sc-3_smt name: statement prose: Isolate security functions from nonsecurity functions. - id: sc-3_gdn name: guidance prose: Security functions are isolated from nonsecurity functions by means of an isolation boundary implemented within a system via partitions and domains. The isolation boundary controls access to and protects the integrity of the hardware, software, and firmware that perform system security functions. Systems implement code separation in many ways, such as through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that protect the code on disk and address space protections that protect executing code. Systems can restrict access to security functions using access control mechanisms and by implementing least privilege capabilities. While the ideal is for all code within the defined security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions as an exception. The isolation of security functions from nonsecurity functions can be achieved by applying the systems security engineering design principles in [SA-8](#sa-8) , including [SA-8(1)](#sa-8.1), [SA-8(3)](#sa-8.3), [SA-8(4)](#sa-8.4), [SA-8(10)](#sa-8.10), [SA-8(12)](#sa-8.12), [SA-8(13)](#sa-8.13), [SA-8(14)](#sa-8.14) , and [SA-8(18)](#sa-8.18). - id: sc-3_obj name: assessment-objective props: - name: label value: SC-03 class: sp800-53a prose: security functions are isolated from non-security functions. links: - href: '#sc-3_smt' rel: assessment-for - id: sc-3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-03-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing security function isolation list of security functions to be isolated from non-security functions system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-03-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer - id: sc-3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-03-Test class: sp800-53a parts: - name: assessment-objects prose: Separation of security functions from non-security functions within the system controls: - id: sc-3.1 class: SP800-53-enhancement title: Hardware Separation props: - name: label value: SC-03(01) class: zero-padded - name: label value: SC-3(1) - name: label value: SC-03(01) class: sp800-53a - name: sort-id value: sc-03.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sc-3' rel: required parts: - id: sc-3.1_smt name: statement prose: Employ hardware separation mechanisms to implement security function isolation. - id: sc-3.1_gdn name: guidance prose: Hardware separation mechanisms include hardware ring architectures that are implemented within microprocessors and hardware-enforced address segmentation used to support logically distinct storage objects with separate attributes (i.e., readable, writeable). - id: sc-3.1_obj name: assessment-objective props: - name: label value: SC-03(01) class: sp800-53a prose: hardware separation mechanisms are employed to implement security function isolation. links: - href: '#sc-3.1_smt' rel: assessment-for - id: sc-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing security function isolation system design documentation hardware separation mechanisms system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer - id: sc-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-03(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Separation of security functions from non-security functions within the system - id: sc-3.2 class: SP800-53-enhancement title: Access and Flow Control Functions props: - name: label value: SC-03(02) class: zero-padded - name: label value: SC-3(2) - name: label value: SC-03(02) class: sp800-53a - name: sort-id value: sc-03.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sc-3' rel: required parts: - id: sc-3.2_smt name: statement prose: Isolate security functions enforcing access and information flow control from nonsecurity functions and from other security functions. - id: sc-3.2_gdn name: guidance prose: Security function isolation occurs because of implementation. The functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include auditing, intrusion detection, and malicious code protection functions. - id: sc-3.2_obj name: assessment-objective props: - name: label value: SC-03(02) class: sp800-53a parts: - id: sc-3.2_obj-1 name: assessment-objective props: - name: label value: SC-03(02)[01] class: sp800-53a prose: security functions enforcing access control are isolated from non-security functions; links: - href: '#sc-3.2_smt' rel: assessment-for - id: sc-3.2_obj-2 name: assessment-objective props: - name: label value: SC-03(02)[02] class: sp800-53a prose: security functions enforcing access control are isolated from other security functions; links: - href: '#sc-3.2_smt' rel: assessment-for - id: sc-3.2_obj-3 name: assessment-objective props: - name: label value: SC-03(02)[03] class: sp800-53a prose: security functions enforcing information flow control are isolated from non-security functions; links: - href: '#sc-3.2_smt' rel: assessment-for - id: sc-3.2_obj-4 name: assessment-objective props: - name: label value: SC-03(02)[04] class: sp800-53a prose: security functions enforcing information flow control are isolated from other security functions. links: - href: '#sc-3.2_smt' rel: assessment-for links: - href: '#sc-3.2_smt' rel: assessment-for - id: sc-3.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-03(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing security function isolation list of critical security functions system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-3.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-03(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer - id: sc-3.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-03(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Isolation of security functions enforcing access and information flow control - id: sc-3.3 class: SP800-53-enhancement title: Minimize Nonsecurity Functionality props: - name: label value: SC-03(03) class: zero-padded - name: label value: SC-3(3) - name: label value: SC-03(03) class: sp800-53a - name: sort-id value: sc-03.03 - 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: '#sc-3' rel: required parts: - id: sc-3.3_smt name: statement prose: Minimize the number of nonsecurity functions included within the isolation boundary containing security functions. - id: sc-3.3_gdn name: guidance prose: Where it is not feasible to achieve strict isolation of nonsecurity functions from security functions, it is necessary to take actions to minimize nonsecurity-relevant functions within the security function boundary. Nonsecurity functions contained within the isolation boundary are considered security-relevant because errors or malicious code in the software can directly impact the security functions of systems. The fundamental design objective is that the specific portions of systems that provide information security are of minimal size and complexity. Minimizing the number of nonsecurity functions in the security-relevant system components allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing the nonsecurity functions within the isolation boundaries, the amount of code that is trusted to enforce security policies is significantly reduced, thus contributing to understandability. - id: sc-3.3_obj name: assessment-objective props: - name: label value: SC-03(03) class: sp800-53a prose: the number of non-security functions included within the isolation boundary containing security functions is minimized. links: - href: '#sc-3.3_smt' rel: assessment-for - id: sc-3.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-03(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing security function isolation system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-3.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-03(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: sc-3.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-03(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing an isolation boundary - id: sc-3.4 class: SP800-53-enhancement title: Module Coupling and Cohesiveness props: - name: label value: SC-03(04) class: zero-padded - name: label value: SC-3(4) - name: label value: SC-03(04) class: sp800-53a - name: sort-id value: sc-03.04 - 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: '#sc-3' rel: required parts: - id: sc-3.4_smt name: statement prose: Implement security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules. - id: sc-3.4_gdn name: guidance prose: The reduction of inter-module interactions helps to constrain security functions and manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between functions within a module. Best practices in software engineering and systems security engineering rely on layering, minimization, and modular decomposition to reduce and manage complexity. This produces software modules that are highly cohesive and loosely coupled. - id: sc-3.4_obj name: assessment-objective props: - name: label value: SC-03(04) class: sp800-53a parts: - id: sc-3.4_obj-1 name: assessment-objective props: - name: label value: SC-03(04)[01] class: sp800-53a prose: security functions are implemented as largely independent modules that maximize internal cohesiveness within modules; links: - href: '#sc-3.4_smt' rel: assessment-for - id: sc-3.4_obj-2 name: assessment-objective props: - name: label value: SC-03(04)[02] class: sp800-53a prose: security functions are implemented as largely independent modules that minimize coupling between modules. links: - href: '#sc-3.4_smt' rel: assessment-for links: - href: '#sc-3.4_smt' rel: assessment-for - id: sc-3.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-03(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing security function isolation system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-3.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-03(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: sc-3.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-03(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for maximizing internal cohesiveness within modules and minimizing coupling between modules mechanisms supporting and/or implementing security functions as independent modules - id: sc-3.5 class: SP800-53-enhancement title: Layered Structures props: - name: label value: SC-03(05) class: zero-padded - name: label value: SC-3(5) - name: label value: SC-03(05) class: sp800-53a - name: sort-id value: sc-03.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sc-3' rel: required parts: - id: sc-3.5_smt name: statement prose: Implement security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers. - id: sc-3.5_gdn name: guidance prose: The implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) enables the isolation of security functions and the management of complexity. - id: sc-3.5_obj name: assessment-objective props: - name: label value: SC-03(05) class: sp800-53a prose: security functions are implemented as a layered structure, minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers. links: - href: '#sc-3.5_smt' rel: assessment-for - id: sc-3.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-03(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing security function isolation system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-3.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-03(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: sc-3.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-03(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for implementing security functions as a layered structure that minimizes interactions between layers and avoids dependence by lower layers on functionality/correctness of higher layers mechanisms supporting and/or implementing security functions as a layered structure - id: sc-4 class: SP800-53 title: Information in Shared System Resources props: - name: label value: SC-04 class: zero-padded - name: label value: SC-4 - name: label value: SC-04 class: sp800-53a - name: sort-id value: sc-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#sa-8' rel: related parts: - id: sc-4_smt name: statement prose: Prevent unauthorized and unintended information transfer via shared system resources. - id: sc-4_gdn name: guidance prose: Preventing unauthorized and unintended information transfer via shared system resources stops information produced by the actions of prior users or roles (or the actions of processes acting on behalf of prior users or roles) from being available to current users or roles (or current processes acting on behalf of current users or roles) that obtain access to shared system resources after those resources have been released back to the system. Information in shared system resources also applies to encrypted representations of information. In other contexts, control of information in shared system resources is referred to as object reuse and residual information protection. Information in shared system resources does not address information remanence, which refers to the residual representation of data that has been nominally deleted; covert channels (including storage and timing channels), where shared system resources are manipulated to violate information flow restrictions; or components within systems for which there are only single users or roles. - id: sc-4_obj name: assessment-objective props: - name: label value: SC-04 class: sp800-53a parts: - id: sc-4_obj-1 name: assessment-objective props: - name: label value: SC-04[01] class: sp800-53a prose: unauthorized information transfer via shared system resources is prevented; links: - href: '#sc-4_smt' rel: assessment-for - id: sc-4_obj-2 name: assessment-objective props: - name: label value: SC-04[02] class: sp800-53a prose: unintended information transfer via shared system resources is prevented. links: - href: '#sc-4_smt' rel: assessment-for links: - href: '#sc-4_smt' rel: assessment-for - id: sc-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-04-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing information protection in shared system resources system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-04-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer - id: sc-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-04-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms preventing the unauthorized and unintended transfer of information via shared system resources controls: - id: sc-4.1 class: SP800-53-enhancement title: Security Levels props: - name: label value: SC-04(01) class: zero-padded - name: label value: SC-4(1) - name: label value: SC-04(01) class: sp800-53a - name: sort-id value: sc-04.01 - name: status value: withdrawn links: - href: '#sc-4' rel: incorporated-into - id: sc-4.2 class: SP800-53-enhancement title: Multilevel or Periods Processing params: - id: sc-04.02_odp props: - name: alt-identifier value: sc-4.2_prm_1 - name: label value: SC-04(02)_ODP class: sp800-53a label: procedures guidelines: - prose: procedures to prevent unauthorized information transfer via shared resources are defined; props: - name: label value: SC-04(02) class: zero-padded - name: label value: SC-4(2) - name: label value: SC-04(02) class: sp800-53a - name: sort-id value: sc-04.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-4' rel: required parts: - id: sc-4.2_smt name: statement prose: 'Prevent unauthorized information transfer via shared resources in accordance with {{ insert: param, sc-04.02_odp }} when system processing explicitly switches between different information classification levels or security categories.' - id: sc-4.2_gdn name: guidance prose: Changes in processing levels can occur during multilevel or periods processing with information at different classification levels or security categories. It can also occur during serial reuse of hardware components at different classification levels. Organization-defined procedures can include approved sanitization processes for electronically stored information. - id: sc-4.2_obj name: assessment-objective props: - name: label value: SC-04(02) class: sp800-53a prose: 'unauthorized information transfer via shared resources is prevented in accordance with {{ insert: param, sc-04.02_odp }} when system processing explicitly switches between different information classification levels or security categories.' links: - href: '#sc-4.2_smt' rel: assessment-for - id: sc-4.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-04(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing information protection in shared system resources system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-4.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-04(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer - id: sc-4.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-04(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms preventing the unauthorized transfer of information via shared system resources - id: sc-5 class: SP800-53 title: Denial-of-service Protection params: - id: sc-05_odp.01 props: - name: alt-identifier value: sc-5_prm_2 - name: label value: SC-05_ODP[01] class: sp800-53a label: types of denial-of-service events 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 select: choice: - protect against - limit - 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: '#sc-6' rel: related - href: '#sc-7' rel: related - href: '#sc-40' rel: related parts: - id: sc-5_smt name: statement parts: - id: sc-5_smt.a name: item props: - 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: 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: 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: 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 controls: - id: sc-5.1 class: SP800-53-enhancement title: Restrict Ability to Attack Other Systems params: - id: sc-05.01_odp props: - name: alt-identifier value: sc-5.1_prm_1 - name: label value: SC-05(01)_ODP class: sp800-53a label: denial-of-service attacks guidelines: - prose: denial-of-service attacks for which to restrict the ability of individuals to launch are defined; props: - name: label value: SC-05(01) class: zero-padded - name: label value: SC-5(1) - name: label value: SC-05(01) class: sp800-53a - name: sort-id value: sc-05.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-5' rel: required parts: - id: sc-5.1_smt name: statement prose: 'Restrict the ability of individuals to launch the following denial-of-service attacks against other systems: {{ insert: param, sc-05.01_odp }}.' - id: sc-5.1_gdn name: guidance prose: Restricting the ability of individuals to launch denial-of-service attacks requires the mechanisms commonly used for such attacks to be unavailable. Individuals of concern include hostile insiders or external adversaries who have breached or compromised the system and are using it to launch a denial-of-service attack. Organizations can restrict the ability of individuals to connect and transmit arbitrary information on the transport medium (i.e., wired networks, wireless networks, spoofed Internet protocol packets). Organizations can also limit the ability of individuals to use excessive system resources. Protection against individuals having the ability to launch denial-of-service attacks may be implemented on specific systems or boundary devices that prohibit egress to potential target systems. - id: sc-5.1_obj name: assessment-objective props: - name: label value: SC-05(01) class: sp800-53a prose: 'the ability of individuals to launch {{ insert: param, sc-05.01_odp }} against other systems is restricted.' links: - href: '#sc-5.1_smt' rel: assessment-for - id: sc-5.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-05(01)-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 launched by individuals against systems system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-5.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-05(01)-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-5.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-05(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms restricting the ability to launch denial-of-service attacks against other systems - id: sc-5.2 class: SP800-53-enhancement title: Capacity, Bandwidth, and Redundancy props: - name: label value: SC-05(02) class: zero-padded - name: label value: SC-5(2) - name: label value: SC-05(02) class: sp800-53a - name: sort-id value: sc-05.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-5' rel: required parts: - id: sc-5.2_smt name: statement prose: Manage capacity, bandwidth, or other redundancy to limit the effects of information flooding denial-of-service attacks. - id: sc-5.2_gdn name: guidance prose: Managing capacity ensures that sufficient capacity is available to counter flooding attacks. Managing capacity includes establishing selected usage priorities, quotas, partitioning, or load balancing. - id: sc-5.2_obj name: assessment-objective props: - name: label value: SC-05(02) class: sp800-53a prose: capacity, bandwidth, or other redundancies to limit the effects of information flooding denial-of-service attacks are managed. links: - href: '#sc-5.2_smt' rel: assessment-for - id: sc-5.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-05(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing denial-of-service protection system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-5.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-05(02)-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-5.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-05(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing the management of system bandwidth, capacity, and redundancy to limit the effects of information flooding denial-of-service attacks - id: sc-5.3 class: SP800-53-enhancement title: Detection and Monitoring params: - id: sc-05.03_odp.01 props: - name: alt-identifier value: sc-5.3_prm_1 - name: label value: SC-05(03)_ODP[01] class: sp800-53a label: monitoring tools guidelines: - prose: monitoring tools for detecting indicators of denial-of-service attacks are defined; - id: sc-05.03_odp.02 props: - name: alt-identifier value: sc-5.3_prm_2 - name: label value: SC-05(03)_ODP[02] class: sp800-53a label: system resources guidelines: - prose: system resources to be monitored to determine if sufficient resources exist to prevent effective denial-of-service attacks are defined; props: - name: label value: SC-05(03) class: zero-padded - name: label value: SC-5(3) - name: label value: SC-05(03) class: sp800-53a - name: sort-id value: sc-05.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-5' rel: required - href: '#ca-7' rel: related - href: '#si-4' rel: related parts: - id: sc-5.3_smt name: statement parts: - id: sc-5.3_smt.a name: item props: - name: label value: (a) prose: 'Employ the following monitoring tools to detect indicators of denial-of-service attacks against, or launched from, the system: {{ insert: param, sc-05.03_odp.01 }} ; and' - id: sc-5.3_smt.b name: item props: - name: label value: (b) prose: 'Monitor the following system resources to determine if sufficient resources exist to prevent effective denial-of-service attacks: {{ insert: param, sc-05.03_odp.02 }}.' - id: sc-5.3_gdn name: guidance prose: Organizations consider the utilization and capacity of system resources when managing risk associated with a denial of service due to malicious attacks. Denial-of-service attacks can originate from external or internal sources. System resources that are sensitive to denial of service include physical disk storage, memory, and CPU cycles. Techniques used to prevent denial-of-service attacks related to storage utilization and capacity include instituting disk quotas, configuring systems to automatically alert administrators when specific storage capacity thresholds are reached, using file compression technologies to maximize available storage space, and imposing separate partitions for system and user data. - id: sc-5.3_obj name: assessment-objective props: - name: label value: SC-05(03) class: sp800-53a parts: - id: sc-5.3_obj.a name: assessment-objective props: - name: label value: SC-05(03)(a) class: sp800-53a prose: '{{ insert: param, sc-05.03_odp.01 }} are employed to detect indicators of denial-of-service attacks against or launched from the system;' links: - href: '#sc-5.3_smt.a' rel: assessment-for - id: sc-5.3_obj.b name: assessment-objective props: - name: label value: SC-05(03)(b) class: sp800-53a prose: '{{ insert: param, sc-05.03_odp.02 }} are monitored to determine if sufficient resources exist to prevent effective denial-of-service attacks.' links: - href: '#sc-5.3_smt.b' rel: assessment-for links: - href: '#sc-5.3_smt' rel: assessment-for - id: sc-5.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-05(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing denial-of-service protection system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-5.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-05(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with detection and monitoring responsibilities - id: sc-5.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-05(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms/tools implementing system monitoring for denial-of-service attacks - id: sc-6 class: SP800-53 title: Resource Availability params: - id: sc-06_odp.01 props: - name: alt-identifier value: sc-6_prm_1 - name: label value: SC-06_ODP[01] class: sp800-53a label: resources guidelines: - prose: resources to be allocated to protect the availability of resources are defined; - id: sc-06_odp.02 props: - name: alt-identifier value: sc-6_prm_2 - name: label value: SC-06_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - priority - quota - '{{ insert: param, sc-06_odp.03 }} ' - id: sc-06_odp.03 props: - name: alt-identifier value: sc-6_prm_3 - name: label value: SC-06_ODP[03] class: sp800-53a label: controls guidelines: - prose: controls to protect the availability of resources are defined (if selected); props: - name: label value: SC-06 class: zero-padded - name: label value: SC-6 - name: label value: SC-06 class: sp800-53a - name: sort-id value: sc-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#047b041a-b4b0-4537-ab2d-2b36283eeda0' rel: reference - href: '#4f42ee6e-86cc-403b-a51f-76c2b4f81b54' rel: reference - href: '#sc-5' rel: related parts: - id: sc-6_smt name: statement prose: 'Protect the availability of resources by allocating {{ insert: param, sc-06_odp.01 }} by {{ insert: param, sc-06_odp.02 }}.' - id: sc-6_gdn name: guidance prose: Priority protection prevents lower-priority processes from delaying or interfering with the system that services higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources. - id: sc-6_obj name: assessment-objective props: - name: label value: SC-06 class: sp800-53a prose: 'the availability of resources is protected by allocating {{ insert: param, sc-06_odp.01 }} by {{ insert: param, sc-06_odp.02 }}.' links: - href: '#sc-6_smt' rel: assessment-for - id: sc-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-06-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing prioritization of system resources system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-06-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer - id: sc-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-06-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing a resource allocation capability safeguards employed to protect availability of resources - 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: label value: SC-07 class: zero-padded - name: label value: SC-7 - name: label value: SC-07 class: sp800-53a - name: sort-id value: sc-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8' rel: reference - href: '#a7f0e897-29a3-45c4-bd88-40dfef0e034a' rel: reference - href: '#d4d7c760-2907-403b-8b2a-767ca5370ecd' rel: reference - href: '#f5edfe51-d1f2-422e-9b27-5d0e90b49c72' rel: reference - href: '#ac-4' rel: related - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#ac-20' rel: related - href: '#au-13' rel: related - href: '#ca-3' rel: related - href: '#cm-2' rel: related - href: '#cm-4' rel: related - href: '#cm-7' rel: related - href: '#cm-10' rel: related - href: '#cp-8' rel: related - href: '#cp-10' rel: related - href: '#ir-4' rel: related - href: '#ma-4' rel: related - href: '#pe-3' rel: related - href: '#pl-8' rel: related - href: '#pm-12' rel: related - href: '#sa-8' rel: related - href: '#sa-17' rel: related - href: '#sc-5' rel: related - href: '#sc-26' rel: related - href: '#sc-32' rel: related - href: '#sc-35' rel: related - href: '#sc-43' rel: related parts: - id: sc-7_smt name: statement parts: - id: sc-7_smt.a name: item props: - 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: 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: 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_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: 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: 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: 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: 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: 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: label value: SC-07c. class: sp800-53a prose: external networks or systems are only connected to through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture. links: - href: '#sc-7_smt.c' rel: assessment-for links: - href: '#sc-7_smt' rel: assessment-for - id: sc-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection list of key internal boundaries of the system system design documentation boundary protection hardware and software system configuration settings and associated documentation enterprise security architecture documentation system audit records system security plan other relevant documents or records - id: sc-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer organizational personnel with boundary protection responsibilities - id: sc-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing boundary protection capabilities controls: - id: sc-7.1 class: SP800-53-enhancement title: Physically Separated Subnetworks props: - name: label value: SC-07(01) class: zero-padded - name: label value: SC-7(1) - name: label value: SC-07(01) class: sp800-53a - name: sort-id value: sc-07.01 - name: status value: withdrawn links: - href: '#sc-7' rel: incorporated-into - id: sc-7.2 class: SP800-53-enhancement title: Public Access props: - name: label value: SC-07(02) class: zero-padded - name: label value: SC-7(2) - name: label value: SC-07(02) class: sp800-53a - name: sort-id value: sc-07.02 - name: status value: withdrawn links: - href: '#sc-7' rel: incorporated-into - id: sc-7.3 class: SP800-53-enhancement title: Access Points props: - name: label value: SC-07(03) class: zero-padded - name: label value: SC-7(3) - name: label value: SC-07(03) class: sp800-53a - name: sort-id value: sc-07.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required parts: - id: sc-7.3_smt name: statement prose: Limit the number of external network connections to the system. - id: sc-7.3_gdn name: guidance prose: Limiting the number of external network connections facilitates monitoring of inbound and outbound communications traffic. The Trusted Internet Connection [DHS TIC](#4f42ee6e-86cc-403b-a51f-76c2b4f81b54) initiative is an example of a federal guideline that requires limits on the number of external network connections. Limiting the number of external network connections to the system is important during transition periods from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). Such transitions may require implementing the older and newer technologies simultaneously during the transition period and thus increase the number of access points to the system. - id: sc-7.3_obj name: assessment-objective props: - name: label value: SC-07(03) class: sp800-53a prose: the number of external network connections to the system is limited. links: - href: '#sc-7.3_smt' rel: assessment-for - id: sc-7.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation boundary protection hardware and software system architecture and configuration documentation system configuration settings and associated documentation communications and network traffic monitoring logs system audit records system security plan other relevant documents or records - id: sc-7.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with boundary protection responsibilities - id: sc-7.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing boundary protection capabilities mechanisms limiting the number of external network connections to the system - id: sc-7.4 class: SP800-53-enhancement title: External Telecommunications Services params: - id: sc-07.04_odp props: - name: alt-identifier value: sc-7.4_prm_1 - name: label value: SC-07(04)_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency at which to review exceptions to traffic flow policy is defined; props: - name: label value: SC-07(04) class: zero-padded - name: label value: SC-7(4) - name: label value: SC-07(04) class: sp800-53a - name: sort-id value: sc-07.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#sc-7' rel: required - href: '#ac-3' rel: related - href: '#sc-8' rel: related - href: '#sc-20' rel: related - href: '#sc-21' rel: related - href: '#sc-22' rel: related parts: - id: sc-7.4_smt name: statement parts: - id: sc-7.4_smt.a name: item props: - name: label value: (a) prose: Implement a managed interface for each external telecommunication service; - id: sc-7.4_smt.b name: item props: - name: label value: (b) prose: Establish a traffic flow policy for each managed interface; - id: sc-7.4_smt.c name: item props: - name: label value: (c) prose: Protect the confidentiality and integrity of the information being transmitted across each interface; - id: sc-7.4_smt.d name: item props: - name: label value: (d) prose: Document each exception to the traffic flow policy with a supporting mission or business need and duration of that need; - id: sc-7.4_smt.e name: item props: - name: label value: (e) prose: 'Review exceptions to the traffic flow policy {{ insert: param, sc-07.04_odp }} and remove exceptions that are no longer supported by an explicit mission or business need;' - id: sc-7.4_smt.f name: item props: - name: label value: (f) prose: Prevent unauthorized exchange of control plane traffic with external networks; - id: sc-7.4_smt.g name: item props: - name: label value: (g) prose: Publish information to enable remote networks to detect unauthorized control plane traffic from internal networks; and - id: sc-7.4_smt.h name: item props: - name: label value: (h) prose: Filter unauthorized control plane traffic from external networks. - id: sc-7.4_gdn name: guidance prose: External telecommunications services can provide data and/or voice communications services. Examples of control plane traffic include Border Gateway Protocol (BGP) routing, Domain Name System (DNS), and management protocols. See [SP 800-189](#f5edfe51-d1f2-422e-9b27-5d0e90b49c72) for additional information on the use of the resource public key infrastructure (RPKI) to protect BGP routes and detect unauthorized BGP announcements. - id: sc-7.4_obj name: assessment-objective props: - name: label value: SC-07(04) class: sp800-53a parts: - id: sc-7.4_obj.a name: assessment-objective props: - name: label value: SC-07(04)(a) class: sp800-53a prose: a managed interface is implemented for each external telecommunication service; links: - href: '#sc-7.4_smt.a' rel: assessment-for - id: sc-7.4_obj.b name: assessment-objective props: - name: label value: SC-07(04)(b) class: sp800-53a prose: a traffic flow policy is established for each managed interface; links: - href: '#sc-7.4_smt.b' rel: assessment-for - id: sc-7.4_obj.c name: assessment-objective props: - name: label value: SC-07(04)(c) class: sp800-53a parts: - id: sc-7.4_obj.c-1 name: assessment-objective props: - name: label value: SC-07(04)(c)[01] class: sp800-53a prose: the confidentiality of the information being transmitted across each interface is protected; links: - href: '#sc-7.4_smt.c' rel: assessment-for - id: sc-7.4_obj.c-2 name: assessment-objective props: - name: label value: SC-07(04)(c)[02] class: sp800-53a prose: the integrity of the information being transmitted across each interface is protected; links: - href: '#sc-7.4_smt.c' rel: assessment-for links: - href: '#sc-7.4_smt.c' rel: assessment-for - id: sc-7.4_obj.d name: assessment-objective props: - name: label value: SC-07(04)(d) class: sp800-53a prose: each exception to the traffic flow policy is documented with a supporting mission or business need and duration of that need; links: - href: '#sc-7.4_smt.d' rel: assessment-for - id: sc-7.4_obj.e name: assessment-objective props: - name: label value: SC-07(04)(e) class: sp800-53a parts: - id: sc-7.4_obj.e-1 name: assessment-objective props: - name: label value: SC-07(04)(e)[01] class: sp800-53a prose: 'exceptions to the traffic flow policy are reviewed {{ insert: param, sc-07.04_odp }};' links: - href: '#sc-7.4_smt.e' rel: assessment-for - id: sc-7.4_obj.e-2 name: assessment-objective props: - name: label value: SC-07(04)(e)[02] class: sp800-53a prose: exceptions to the traffic flow policy that are no longer supported by an explicit mission or business need are removed; links: - href: '#sc-7.4_smt.e' rel: assessment-for links: - href: '#sc-7.4_smt.e' rel: assessment-for - id: sc-7.4_obj.f name: assessment-objective props: - name: label value: SC-07(04)(f) class: sp800-53a prose: unauthorized exchanges of control plan traffic with external networks are prevented; links: - href: '#sc-7.4_smt.f' rel: assessment-for - id: sc-7.4_obj.g name: assessment-objective props: - name: label value: SC-07(04)(g) class: sp800-53a prose: information is published to enable remote networks to detect unauthorized control plane traffic from internal networks; links: - href: '#sc-7.4_smt.g' rel: assessment-for - id: sc-7.4_obj.h name: assessment-objective props: - name: label value: SC-07(04)(h) class: sp800-53a prose: unauthorized control plane traffic is filtered from external networks. links: - href: '#sc-7.4_smt.h' rel: assessment-for links: - href: '#sc-7.4_smt' rel: assessment-for - id: sc-7.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy traffic flow policy information flow control policy procedures addressing boundary protection system security architecture system design documentation boundary protection hardware and software system architecture and configuration documentation system configuration settings and associated documentation records of traffic flow policy exceptions system audit records system security plan other relevant documents or records - id: sc-7.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with boundary protection responsibilities - id: sc-7.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for documenting and reviewing exceptions to the traffic flow policy organizational processes for removing exceptions to the traffic flow policy mechanisms implementing boundary protection capabilities managed interfaces implementing traffic flow policy - id: sc-7.5 class: SP800-53-enhancement title: Deny by Default — Allow by Exception params: - id: sc-07.05_odp.01 props: - name: alt-identifier value: sc-7.5_prm_1 - name: label value: SC-07(05)_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - at managed interfaces - 'for {{ insert: param, sc-07.05_odp.02 }} ' - id: sc-07.05_odp.02 props: - name: alt-identifier value: sc-7.5_prm_2 - name: label value: SC-07(05)_ODP[02] class: sp800-53a label: systems guidelines: - prose: systems for which network communications traffic is denied by default and network communications traffic is allowed by exception are defined (if selected). props: - name: label value: SC-07(05) class: zero-padded - name: label value: SC-7(5) - name: label value: SC-07(05) class: sp800-53a - name: sort-id value: sc-07.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required parts: - id: sc-7.5_smt name: statement prose: 'Deny network communications traffic by default and allow network communications traffic by exception {{ insert: param, sc-07.05_odp.01 }}.' - id: sc-7.5_gdn name: guidance prose: Denying by default and allowing by exception applies to inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those system connections that are essential and approved are allowed. Deny by default, allow by exception also applies to a system that is connected to an external system. - id: sc-7.5_obj name: assessment-objective props: - name: label value: SC-07(05) class: sp800-53a parts: - id: sc-7.5_obj-1 name: assessment-objective props: - name: label value: SC-07(05)[01] class: sp800-53a prose: 'network communications traffic is denied by default {{ insert: param, sc-07.05_odp.01 }};' links: - href: '#sc-7.5_smt' rel: assessment-for - id: sc-7.5_obj-2 name: assessment-objective props: - name: label value: SC-07(05)[02] class: sp800-53a prose: 'network communications traffic is allowed by exception {{ insert: param, sc-07.05_odp.01 }}.' links: - href: '#sc-7.5_smt' rel: assessment-for links: - href: '#sc-7.5_smt' rel: assessment-for - id: sc-7.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-7.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer organizational personnel with boundary protection responsibilities - id: sc-7.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing traffic management at managed interfaces - id: sc-7.6 class: SP800-53-enhancement title: Response to Recognized Failures props: - name: label value: SC-07(06) class: zero-padded - name: label value: SC-7(6) - name: label value: SC-07(06) class: sp800-53a - name: sort-id value: sc-07.06 - name: status value: withdrawn links: - href: '#sc-7.18' rel: incorporated-into - id: sc-7.7 class: SP800-53-enhancement title: Split Tunneling for Remote Devices params: - id: sc-07.07_odp props: - name: alt-identifier value: sc-7.7_prm_1 - name: label value: SC-07(07)_ODP class: sp800-53a label: safeguards guidelines: - prose: safeguards to securely provision split tunneling are defined; props: - name: label value: SC-07(07) class: zero-padded - name: label value: SC-7(7) - name: label value: SC-07(07) class: sp800-53a - name: sort-id value: sc-07.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required parts: - id: sc-7.7_smt name: statement prose: 'Prevent split tunneling for remote devices connecting to organizational systems unless the split tunnel is securely provisioned using {{ insert: param, sc-07.07_odp }}.' - id: sc-7.7_gdn name: guidance prose: Split tunneling is the process of allowing a remote user or device to establish a non-remote connection with a system and simultaneously communicate via some other connection to a resource in an external network. This method of network access enables a user to access remote devices and simultaneously, access uncontrolled networks. Split tunneling might be desirable by remote users to communicate with local system resources, such as printers or file servers. However, split tunneling can facilitate unauthorized external connections, making the system vulnerable to attack and to exfiltration of organizational information. Split tunneling can be prevented by disabling configuration settings that allow such capability in remote devices and by preventing those configuration settings from being configurable by users. Prevention can also be achieved by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. A virtual private network (VPN) can be used to securely provision a split tunnel. A securely provisioned VPN includes locking connectivity to exclusive, managed, and named environments, or to a specific set of pre-approved addresses, without user control. - id: sc-7.7_obj name: assessment-objective props: - name: label value: SC-07(07) class: sp800-53a prose: 'split tunneling is prevented for remote devices connecting to organizational systems unless the split tunnel is securely provisioned using {{ insert: param, sc-07.07_odp }}.' links: - href: '#sc-7.7_smt' rel: assessment-for - id: sc-7.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-7.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer organizational personnel with boundary protection responsibilities - id: sc-7.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(07)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing boundary protection capabilities mechanisms supporting/restricting non-remote connections - id: sc-7.8 class: SP800-53-enhancement title: Route Traffic to Authenticated Proxy Servers params: - id: sc-07.08_odp.01 props: - name: alt-identifier value: sc-7.8_prm_1 - name: label value: SC-07(08)_ODP[01] class: sp800-53a label: internal communications traffic guidelines: - prose: internal communications traffic to be routed to external networks is defined; - id: sc-07.08_odp.02 props: - name: alt-identifier value: sc-7.8_prm_2 - name: label value: SC-07(08)_ODP[02] class: sp800-53a label: external networks guidelines: - prose: external networks to which internal communications traffic is to be routed are defined; props: - name: label value: SC-07(08) class: zero-padded - name: label value: SC-7(8) - name: label value: SC-07(08) class: sp800-53a - name: sort-id value: sc-07.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required - href: '#ac-3' rel: related parts: - id: sc-7.8_smt name: statement prose: 'Route {{ insert: param, sc-07.08_odp.01 }} to {{ insert: param, sc-07.08_odp.02 }} through authenticated proxy servers at managed interfaces.' - id: sc-7.8_gdn name: guidance prose: External networks are networks outside of organizational control. A proxy server is a server (i.e., system or application) that acts as an intermediary for clients requesting system resources from non-organizational or other organizational servers. System resources that may be requested include files, connections, web pages, or services. Client requests established through a connection to a proxy server are assessed to manage complexity and provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers that provide access to the Internet. Proxy servers can support the logging of Transmission Control Protocol sessions and the blocking of specific Uniform Resource Locators, Internet Protocol addresses, and domain names. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites. Note that proxy servers may inhibit the use of virtual private networks (VPNs) and create the potential for "man-in-the-middle" attacks (depending on the implementation). - id: sc-7.8_obj name: assessment-objective props: - name: label value: SC-07(08) class: sp800-53a prose: '{{ insert: param, sc-07.08_odp.01 }} is routed to {{ insert: param, sc-07.08_odp.02 }} through authenticated proxy servers at managed interfaces.' links: - href: '#sc-7.8_smt' rel: assessment-for - id: sc-7.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-7.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer organizational personnel with boundary protection responsibilities - id: sc-7.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(08)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing traffic management through authenticated proxy servers at managed interfaces - id: sc-7.9 class: SP800-53-enhancement title: Restrict Threatening Outgoing Communications Traffic props: - name: label value: SC-07(09) class: zero-padded - name: label value: SC-7(9) - name: label value: SC-07(09) class: sp800-53a - name: sort-id value: sc-07.09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#sc-5' rel: related - href: '#sc-38' rel: related - href: '#sc-44' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related parts: - id: sc-7.9_smt name: statement parts: - id: sc-7.9_smt.a name: item props: - name: label value: (a) prose: Detect and deny outgoing communications traffic posing a threat to external systems; and - id: sc-7.9_smt.b name: item props: - name: label value: (b) prose: Audit the identity of internal users associated with denied communications. - id: sc-7.9_gdn name: guidance prose: Detecting outgoing communications traffic from internal actions that may pose threats to external systems is known as extrusion detection. Extrusion detection is carried out within the system at managed interfaces. Extrusion detection includes the analysis of incoming and outgoing communications traffic while searching for indications of internal threats to the security of external systems. Internal threats to external systems include traffic indicative of denial-of-service attacks, traffic with spoofed source addresses, and traffic that contains malicious code. Organizations have criteria to determine, update, and manage identified threats related to extrusion detection. - id: sc-7.9_obj name: assessment-objective props: - name: label value: SC-07(09) class: sp800-53a parts: - id: sc-7.9_obj.a name: assessment-objective props: - name: label value: SC-07(09)(a) class: sp800-53a parts: - id: sc-7.9_obj.a-1 name: assessment-objective props: - name: label value: SC-07(09)(a)[01] class: sp800-53a prose: outgoing communications traffic posing a threat to external systems is detected; links: - href: '#sc-7.9_smt.a' rel: assessment-for - id: sc-7.9_obj.a-2 name: assessment-objective props: - name: label value: SC-07(09)(a)[02] class: sp800-53a prose: outgoing communications traffic posing a threat to external systems is denied; links: - href: '#sc-7.9_smt.a' rel: assessment-for links: - href: '#sc-7.9_smt.a' rel: assessment-for - id: sc-7.9_obj.b name: assessment-objective props: - name: label value: SC-07(09)(b) class: sp800-53a prose: the identity of internal users associated with denied communications is audited. links: - href: '#sc-7.9_smt.b' rel: assessment-for links: - href: '#sc-7.9_smt' rel: assessment-for - id: sc-7.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-7.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(09)-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-7.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(09)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing boundary protection capabilities mechanisms implementing the detection and denial of threatening outgoing communications traffic mechanisms implementing auditing of outgoing communications traffic - id: sc-7.10 class: SP800-53-enhancement title: Prevent Exfiltration params: - id: sc-07.10_odp props: - name: alt-identifier value: sc-7.10_prm_1 - name: label value: SC-07(10)_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency for conducting exfiltration tests is defined; props: - name: label value: SC-07(10) class: zero-padded - name: label value: SC-7(10) - name: label value: SC-07(10) class: sp800-53a - name: sort-id value: sc-07.10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required - href: '#ac-2' rel: related - href: '#ca-8' rel: related - href: '#si-3' rel: related parts: - id: sc-7.10_smt name: statement parts: - id: sc-7.10_smt.a name: item props: - name: label value: (a) prose: Prevent the exfiltration of information; and - id: sc-7.10_smt.b name: item props: - name: label value: (b) prose: 'Conduct exfiltration tests {{ insert: param, sc-07.10_odp }}.' - id: sc-7.10_gdn name: guidance prose: Prevention of exfiltration applies to both the intentional and unintentional exfiltration of information. Techniques used to prevent the exfiltration of information from systems may be implemented at internal endpoints, external boundaries, and across managed interfaces and include adherence to protocol formats, monitoring for beaconing activity from systems, disconnecting external network interfaces except when explicitly needed, employing traffic profile analysis to detect deviations from the volume and types of traffic expected, call backs to command and control centers, conducting penetration testing, monitoring for steganography, disassembling and reassembling packet headers, and using data loss and data leakage prevention tools. Devices that enforce strict adherence to protocol formats include deep packet inspection firewalls and Extensible Markup Language (XML) gateways. The devices verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices that operate at the network or transport layers. The prevention of exfiltration is similar to data loss prevention or data leakage prevention and is closely associated with cross-domain solutions and system guards that enforce information flow requirements. - id: sc-7.10_obj name: assessment-objective props: - name: label value: SC-07(10) class: sp800-53a parts: - id: sc-7.10_obj.a name: assessment-objective props: - name: label value: SC-07(10)(a) class: sp800-53a prose: the exfiltration of information is prevented; links: - href: '#sc-7.10_smt.a' rel: assessment-for - id: sc-7.10_obj.b name: assessment-objective props: - name: label value: SC-07(10)(b) class: sp800-53a prose: 'exfiltration tests are conducted {{ insert: param, sc-07.10_odp }}.' links: - href: '#sc-7.10_smt.b' rel: assessment-for links: - href: '#sc-7.10_smt' rel: assessment-for - id: sc-7.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(10)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-7.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(10)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with boundary protection responsibilities - id: sc-7.10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(10)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing boundary protection capabilities that prevent the unauthorized exfiltration of information across managed interfaces - id: sc-7.11 class: SP800-53-enhancement title: Restrict Incoming Communications Traffic params: - id: sc-07.11_odp.01 props: - name: alt-identifier value: sc-7.11_prm_1 - name: label value: SC-07(11)_ODP[01] class: sp800-53a label: authorized sources guidelines: - prose: authorized sources of incoming communications to be routed are defined; - id: sc-07.11_odp.02 props: - name: alt-identifier value: sc-7.11_prm_2 - name: label value: SC-07(11)_ODP[02] class: sp800-53a label: authorized destinations guidelines: - prose: authorized destinations to which incoming communications from authorized sources may be routed are defined; props: - name: label value: SC-07(11) class: zero-padded - name: label value: SC-7(11) - name: label value: SC-07(11) class: sp800-53a - name: sort-id value: sc-07.11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required - href: '#ac-3' rel: related parts: - id: sc-7.11_smt name: statement prose: 'Only allow incoming communications from {{ insert: param, sc-07.11_odp.01 }} to be routed to {{ insert: param, sc-07.11_odp.02 }}.' - id: sc-7.11_gdn name: guidance prose: General source address validation techniques are applied to restrict the use of illegal and unallocated source addresses as well as source addresses that should only be used within the system. The restriction of incoming communications traffic provides determinations that source and destination address pairs represent authorized or allowed communications. Determinations can be based on several factors, including the presence of such address pairs in the lists of authorized or allowed communications, the absence of such address pairs in lists of unauthorized or disallowed pairs, or meeting more general rules for authorized or allowed source and destination pairs. Strong authentication of network addresses is not possible without the use of explicit security protocols, and thus, addresses can often be spoofed. Further, identity-based incoming traffic restriction methods can be employed, including router access control lists and firewall rules. - id: sc-7.11_obj name: assessment-objective props: - name: label value: SC-07(11) class: sp800-53a prose: 'only incoming communications from {{ insert: param, sc-07.11_odp.01 }} are allowed to be routed to {{ insert: param, sc-07.11_odp.02 }}.' links: - href: '#sc-7.11_smt' rel: assessment-for - id: sc-7.11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(11)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-7.11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(11)-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-7.11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(11)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing boundary protection capabilities with respect to source/destination address pairs - id: sc-7.12 class: SP800-53-enhancement title: Host-based Protection params: - id: sc-07.12_odp.01 props: - name: alt-identifier value: sc-7.12_prm_1 - name: label value: SC-07(12)_ODP[01] class: sp800-53a label: host-based boundary protection mechanisms guidelines: - prose: host-based boundary protection mechanisms to be implemented are defined; - id: sc-07.12_odp.02 props: - name: alt-identifier value: sc-7.12_prm_2 - name: label value: SC-07(12)_ODP[02] class: sp800-53a label: system components guidelines: - prose: system components where host-based boundary protection mechanisms are to be implemented are defined; props: - name: label value: SC-07(12) class: zero-padded - name: label value: SC-7(12) - name: label value: SC-07(12) class: sp800-53a - name: sort-id value: sc-07.12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required parts: - id: sc-7.12_smt name: statement prose: 'Implement {{ insert: param, sc-07.12_odp.01 }} at {{ insert: param, sc-07.12_odp.02 }}.' - id: sc-7.12_gdn name: guidance prose: Host-based boundary protection mechanisms include host-based firewalls. System components that employ host-based boundary protection mechanisms include servers, workstations, notebook computers, and mobile devices. - id: sc-7.12_obj name: assessment-objective props: - name: label value: SC-07(12) class: sp800-53a prose: '{{ insert: param, sc-07.12_odp.01 }} are implemented at {{ insert: param, sc-07.12_odp.02 }}.' links: - href: '#sc-7.12_smt' rel: assessment-for - id: sc-7.12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(12)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation boundary protection hardware and software system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-7.12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(12)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with boundary protection responsibilities system users - id: sc-7.12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(12)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing host-based boundary protection capabilities - id: sc-7.13 class: SP800-53-enhancement title: Isolation of Security Tools, Mechanisms, and Support Components params: - id: sc-07.13_odp props: - name: alt-identifier value: sc-7.13_prm_1 - name: label value: SC-07(13)_ODP class: sp800-53a label: information security tools, mechanisms, and support components guidelines: - prose: information security tools, mechanisms, and support components to be isolated from other internal system components are defined; props: - name: label value: SC-07(13) class: zero-padded - name: label value: SC-7(13) - name: label value: SC-07(13) class: sp800-53a - name: sort-id value: sc-07.13 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required - href: '#sc-2' rel: related - href: '#sc-3' rel: related parts: - id: sc-7.13_smt name: statement prose: 'Isolate {{ insert: param, sc-07.13_odp }} from other internal system components by implementing physically separate subnetworks with managed interfaces to other components of the system.' - id: sc-7.13_gdn name: guidance prose: Physically separate subnetworks with managed interfaces are useful in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques employed by organizations. - id: sc-7.13_obj name: assessment-objective props: - name: label value: SC-07(13) class: sp800-53a prose: '{{ insert: param, sc-07.13_odp }} are isolated from other internal system components by implementing physically separate subnetworks with managed interfaces to other components of the system.' links: - href: '#sc-7.13_smt' rel: assessment-for - id: sc-7.13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(13)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation list of security tools and support components to be isolated from other internal system components system audit records system security plan other relevant documents or records - id: sc-7.13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(13)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with boundary protection responsibilities - id: sc-7.13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(13)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the isolation of information security tools, mechanisms, and support components - id: sc-7.14 class: SP800-53-enhancement title: Protect Against Unauthorized Physical Connections params: - id: sc-07.14_odp props: - name: alt-identifier value: sc-7.14_prm_1 - name: label value: SC-07(14)_ODP class: sp800-53a label: managed interfaces guidelines: - prose: managed interfaces to be protected against unauthorized physical connections are defined; props: - name: label value: SC-07(14) class: zero-padded - name: label value: SC-7(14) - name: label value: SC-07(14) class: sp800-53a - name: sort-id value: sc-07.14 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required - href: '#pe-4' rel: related - href: '#pe-19' rel: related parts: - id: sc-7.14_smt name: statement prose: 'Protect against unauthorized physical connections at {{ insert: param, sc-07.14_odp }}.' - id: sc-7.14_gdn name: guidance prose: Systems that operate at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within the same facilities. In practice, it is possible that these separate systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved by using clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls that enforce limited authorized access to these items. - id: sc-7.14_obj name: assessment-objective props: - name: label value: SC-07(14) class: sp800-53a prose: '{{ insert: param, sc-07.14_odp }} are protected against unauthorized physical connections.' links: - href: '#sc-7.14_smt' rel: assessment-for - id: sc-7.14_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(14)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation facility communications and wiring diagram system security plan other relevant documents or records - id: sc-7.14_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(14)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with boundary protection responsibilities - id: sc-7.14_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(14)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing protection against unauthorized physical connections - id: sc-7.15 class: SP800-53-enhancement title: Networked Privileged Accesses props: - name: label value: SC-07(15) class: zero-padded - name: label value: SC-7(15) - name: label value: SC-07(15) class: sp800-53a - name: sort-id value: sc-07.15 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#au-2' rel: related - href: '#si-4' rel: related parts: - id: sc-7.15_smt name: statement prose: Route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing. - id: sc-7.15_gdn name: guidance prose: Privileged access provides greater accessibility to system functions, including security functions. Adversaries attempt to gain privileged access to systems through remote access to cause adverse mission or business impacts, such as by exfiltrating information or bringing down a critical system capability. Routing networked, privileged access requests through a dedicated, managed interface further restricts privileged access for increased access control and auditing. - id: sc-7.15_obj name: assessment-objective props: - name: label value: SC-07(15) class: sp800-53a parts: - id: sc-7.15_obj-1 name: assessment-objective props: - name: label value: SC-07(15)[01] class: sp800-53a prose: networked, privileged accesses are routed through a dedicated, managed interface for purposes of access control; links: - href: '#sc-7.15_smt' rel: assessment-for - id: sc-7.15_obj-2 name: assessment-objective props: - name: label value: SC-07(15)[02] class: sp800-53a prose: networked, privileged accesses are routed through a dedicated, managed interface for purposes of auditing. links: - href: '#sc-7.15_smt' rel: assessment-for links: - href: '#sc-7.15_smt' rel: assessment-for - id: sc-7.15_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(15)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation audit logs system security plan other relevant documents or records - id: sc-7.15_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(15)-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-7.15_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(15)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the routing of networked, privileged access through dedicated, managed interfaces - id: sc-7.16 class: SP800-53-enhancement title: Prevent Discovery of System Components props: - name: label value: SC-07(16) class: zero-padded - name: label value: SC-7(16) - name: label value: SC-07(16) class: sp800-53a - name: sort-id value: sc-07.16 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required parts: - id: sc-7.16_smt name: statement prose: Prevent the discovery of specific system components that represent a managed interface. - id: sc-7.16_gdn name: guidance prose: Preventing the discovery of system components representing a managed interface helps protect network addresses of those components from discovery through common tools and techniques used to identify devices on networks. Network addresses are not available for discovery and require prior knowledge for access. Preventing the discovery of components and devices can be accomplished by not publishing network addresses, using network address translation, or not entering the addresses in domain name systems. Another prevention technique is to periodically change network addresses. - id: sc-7.16_obj name: assessment-objective props: - name: label value: SC-07(16) class: sp800-53a prose: the discovery of specific system components that represent a managed interface is prevented. links: - href: '#sc-7.16_smt' rel: assessment-for - id: sc-7.16_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(16)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-7.16_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(16)-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-7.16_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(16)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the prevention of discovery of system components at managed interfaces - id: sc-7.17 class: SP800-53-enhancement title: Automated Enforcement of Protocol Formats props: - name: label value: SC-07(17) class: zero-padded - name: label value: SC-7(17) - name: label value: SC-07(17) class: sp800-53a - name: sort-id value: sc-07.17 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required - href: '#sc-4' rel: related parts: - id: sc-7.17_smt name: statement prose: Enforce adherence to protocol formats. - id: sc-7.17_gdn name: guidance prose: System components that enforce protocol formats include deep packet inspection firewalls and XML gateways. The components verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices operating at the network or transport layers. - id: sc-7.17_obj name: assessment-objective props: - name: label value: SC-07(17) class: sp800-53a prose: adherence to protocol formats is enforced. links: - href: '#sc-7.17_smt' rel: assessment-for - id: sc-7.17_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(17)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system architecture system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-7.17_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(17)-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-7.17_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(17)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the enforcement of adherence to protocol formats - id: sc-7.18 class: SP800-53-enhancement title: Fail Secure props: - name: label value: SC-07(18) class: zero-padded - name: label value: SC-7(18) - name: label value: SC-07(18) class: sp800-53a - name: sort-id value: sc-07.18 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sc-7' rel: required - href: '#cp-2' rel: related - href: '#cp-12' rel: related - href: '#sc-24' rel: related parts: - id: sc-7.18_smt name: statement prose: Prevent systems from entering unsecure states in the event of an operational failure of a boundary protection device. - id: sc-7.18_gdn name: guidance prose: Fail secure is a condition achieved by employing mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces, systems do not enter into unsecure states where intended security properties no longer hold. Managed interfaces include routers, firewalls, and application gateways that reside on protected subnetworks (commonly referred to as demilitarized zones). Failures of boundary protection devices cannot lead to or cause information external to the devices to enter the devices nor can failures permit unauthorized information releases. - id: sc-7.18_obj name: assessment-objective props: - name: label value: SC-07(18) class: sp800-53a prose: systems are prevented from entering unsecure states in the event of an operational failure of a boundary protection device. links: - href: '#sc-7.18_smt' rel: assessment-for - id: sc-7.18_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(18)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system architecture system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-7.18_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(18)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer organizational personnel with boundary protection responsibilities - id: sc-7.18_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(18)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing secure failure - id: sc-7.19 class: SP800-53-enhancement title: Block Communication from Non-organizationally Configured Hosts params: - id: sc-07.19_odp props: - name: alt-identifier value: sc-7.19_prm_1 - name: label value: SC-07(19)_ODP class: sp800-53a label: communication clients guidelines: - prose: communication clients that are independently configured by end users and external service providers are defined; props: - name: label value: SC-07(19) class: zero-padded - name: label value: SC-7(19) - name: label value: SC-07(19) class: sp800-53a - name: sort-id value: sc-07.19 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required parts: - id: sc-7.19_smt name: statement prose: 'Block inbound and outbound communications traffic between {{ insert: param, sc-07.19_odp }} that are independently configured by end users and external service providers.' - id: sc-7.19_gdn name: guidance prose: Communication clients independently configured by end users and external service providers include instant messaging clients and video conferencing software and applications. Traffic blocking does not apply to communication clients that are configured by organizations to perform authorized functions. - id: sc-7.19_obj name: assessment-objective props: - name: label value: SC-07(19) class: sp800-53a parts: - id: sc-7.19_obj-1 name: assessment-objective props: - name: label value: SC-07(19)[01] class: sp800-53a prose: 'inbound communications traffic is blocked between {{ insert: param, sc-07.19_odp }} that are independently configured by end users and external service providers;' links: - href: '#sc-7.19_smt' rel: assessment-for - id: sc-7.19_obj-2 name: assessment-objective props: - name: label value: SC-07(19)[02] class: sp800-53a prose: 'outbound communications traffic is blocked between {{ insert: param, sc-07.19_odp }} that are independently configured by end users and external service providers.' links: - href: '#sc-7.19_smt' rel: assessment-for links: - href: '#sc-7.19_smt' rel: assessment-for - id: sc-7.19_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(19)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation list of communication clients independently configured by end users and external service providers system audit records system security plan other relevant documents or records - id: sc-7.19_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(19)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with boundary protection responsibilities - id: sc-7.19_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(19)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the blocking of inbound and outbound communications traffic between communication clients independently configured by end users and external service providers - id: sc-7.20 class: SP800-53-enhancement title: Dynamic Isolation and Segregation params: - id: sc-07.20_odp props: - name: alt-identifier value: sc-7.20_prm_1 - name: label value: SC-07(20)_ODP class: sp800-53a label: system components guidelines: - prose: system components to be dynamically isolated from other system components are defined; props: - name: label value: SC-07(20) class: zero-padded - name: label value: SC-7(20) - name: label value: SC-07(20) class: sp800-53a - name: sort-id value: sc-07.20 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required parts: - id: sc-7.20_smt name: statement prose: 'Provide the capability to dynamically isolate {{ insert: param, sc-07.20_odp }} from other system components.' - id: sc-7.20_gdn name: guidance prose: The capability to dynamically isolate certain internal system components is useful when it is necessary to partition or separate system components of questionable origin from components that possess greater trustworthiness. Component isolation reduces the attack surface of organizational systems. Isolating selected system components can also limit the damage from successful attacks when such attacks occur. - id: sc-7.20_obj name: assessment-objective props: - name: label value: SC-07(20) class: sp800-53a prose: 'the capability to dynamically isolate {{ insert: param, sc-07.20_odp }} from other system components is provided.' links: - href: '#sc-7.20_smt' rel: assessment-for - id: sc-7.20_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(20)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation list of system components to be dynamically isolated/segregated from other components of the system system audit records system security plan other relevant documents or records - id: sc-7.20_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(20)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer organizational personnel with boundary protection responsibilities - id: sc-7.20_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(20)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the capability to dynamically isolate/segregate system components - id: sc-7.21 class: SP800-53-enhancement title: Isolation of System Components params: - id: sc-07.21_odp.01 props: - name: alt-identifier value: sc-7.21_prm_1 - name: label value: SC-07(21)_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components to be isolated by boundary protection mechanisms are defined; - id: sc-07.21_odp.02 props: - name: alt-identifier value: sc-7.21_prm_2 - name: label value: SC-07(21)_ODP[02] class: sp800-53a label: missions and/or business functions guidelines: - prose: missions and/or business functions to be supported by system components isolated by boundary protection mechanisms are defined; props: - name: label value: SC-07(21) class: zero-padded - name: label value: SC-7(21) - name: label value: SC-07(21) class: sp800-53a - name: sort-id value: sc-07.21 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sc-7' rel: required - href: '#ca-9' rel: related parts: - id: sc-7.21_smt name: statement prose: 'Employ boundary protection mechanisms to isolate {{ insert: param, sc-07.21_odp.01 }} supporting {{ insert: param, sc-07.21_odp.02 }}.' - id: sc-7.21_gdn name: guidance prose: Organizations can isolate system components that perform different mission or business functions. Such isolation limits unauthorized information flows among system components and provides the opportunity to deploy greater levels of protection for selected system components. Isolating system components with boundary protection mechanisms provides the capability for increased protection of individual system components and to more effectively control information flows between those components. Isolating system components provides enhanced protection that limits the potential harm from hostile cyber-attacks and errors. The degree of isolation varies depending upon the mechanisms chosen. Boundary protection mechanisms include routers, gateways, and firewalls that separate system components into physically separate networks or subnetworks; cross-domain devices that separate subnetworks; virtualization techniques; and the encryption of information flows among system components using distinct encryption keys. - id: sc-7.21_obj name: assessment-objective props: - name: label value: SC-07(21) class: sp800-53a prose: 'boundary protection mechanisms are employed to isolate {{ insert: param, sc-07.21_odp.01 }} supporting {{ insert: param, sc-07.21_odp.02 }}.' links: - href: '#sc-7.21_smt' rel: assessment-for - id: sc-7.21_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(21)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software enterprise architecture documentation system architecture system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-7.21_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(21)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with boundary protection responsibilities - id: sc-7.21_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(21)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the capability to separate system components supporting organizational missions and/or business functions - id: sc-7.22 class: SP800-53-enhancement title: Separate Subnets for Connecting to Different Security Domains props: - name: label value: SC-07(22) class: zero-padded - name: label value: SC-7(22) - name: label value: SC-07(22) class: sp800-53a - name: sort-id value: sc-07.22 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sc-7' rel: required parts: - id: sc-7.22_smt name: statement prose: Implement separate network addresses to connect to systems in different security domains. - id: sc-7.22_gdn name: guidance prose: The decomposition of systems into subnetworks (i.e., subnets) helps to provide the appropriate level of protection for network connections to different security domains that contain information with different security categories or classification levels. - id: sc-7.22_obj name: assessment-objective props: - name: label value: SC-07(22) class: sp800-53a prose: separate network addresses are implemented to connect to systems in different security domains. links: - href: '#sc-7.22_smt' rel: assessment-for - id: sc-7.22_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(22)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-7.22_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(22)-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-7.22_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(22)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing separate network addresses/different subnets - id: sc-7.23 class: SP800-53-enhancement title: Disable Sender Feedback on Protocol Validation Failure props: - name: label value: SC-07(23) class: zero-padded - name: label value: SC-7(23) - name: label value: SC-07(23) class: sp800-53a - name: sort-id value: sc-07.23 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required parts: - id: sc-7.23_smt name: statement prose: Disable feedback to senders on protocol format validation failure. - id: sc-7.23_gdn name: guidance prose: Disabling feedback to senders when there is a failure in protocol validation format prevents adversaries from obtaining information that would otherwise be unavailable. - id: sc-7.23_obj name: assessment-objective props: - name: label value: SC-07(23) class: sp800-53a prose: feedback to senders is disabled on protocol format validation failure. links: - href: '#sc-7.23_smt' rel: assessment-for - id: sc-7.23_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(23)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-7.23_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(23)-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-7.23_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(23)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the disabling of feedback to senders on protocol format validation failure - id: sc-7.24 class: SP800-53-enhancement title: Personally Identifiable Information params: - id: sc-07.24_odp props: - name: alt-identifier value: sc-7.24_prm_1 - name: label value: SC-07(24)_ODP class: sp800-53a label: processing rules guidelines: - prose: processing rules for systems that process personally identifiable information are defined; props: - name: label value: SC-07(24) class: zero-padded - name: label value: SC-7(24) - name: label value: SC-07(24) class: sp800-53a - name: sort-id value: sc-07.24 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required - href: '#pt-2' rel: related - href: '#si-15' rel: related parts: - id: sc-7.24_smt name: statement prose: 'For systems that process personally identifiable information:' parts: - id: sc-7.24_smt.a name: item props: - name: label value: (a) prose: 'Apply the following processing rules to data elements of personally identifiable information: {{ insert: param, sc-07.24_odp }};' - id: sc-7.24_smt.b name: item props: - name: label value: (b) prose: Monitor for permitted processing at the external interfaces to the system and at key internal boundaries within the system; - id: sc-7.24_smt.c name: item props: - name: label value: (c) prose: Document each processing exception; and - id: sc-7.24_smt.d name: item props: - name: label value: (d) prose: Review and remove exceptions that are no longer supported. - id: sc-7.24_gdn name: guidance prose: Managing the processing of personally identifiable information is an important aspect of protecting an individual’s privacy. Applying, monitoring for, and documenting exceptions to processing rules ensure that personally identifiable information is processed only in accordance with established privacy requirements. - id: sc-7.24_obj name: assessment-objective props: - name: label value: SC-07(24) class: sp800-53a parts: - id: sc-7.24_obj.a name: assessment-objective props: - name: label value: SC-07(24)(a) class: sp800-53a prose: '{{ insert: param, sc-07.24_odp }} are applied to data elements of personally identifiable information on systems that process personally identifiable information;' links: - href: '#sc-7.24_smt.a' rel: assessment-for - id: sc-7.24_obj.b name: assessment-objective props: - name: label value: SC-07(24)(b) class: sp800-53a parts: - id: sc-7.24_obj.b-1 name: assessment-objective props: - name: label value: SC-07(24)(b)[01] class: sp800-53a prose: permitted processing is monitored at the external interfaces to the systems that process personally identifiable information; links: - href: '#sc-7.24_smt.b' rel: assessment-for - id: sc-7.24_obj.b-2 name: assessment-objective props: - name: label value: SC-07(24)(b)[02] class: sp800-53a prose: permitted processing is monitored at key internal boundaries within the systems that process personally identifiable information; links: - href: '#sc-7.24_smt.b' rel: assessment-for links: - href: '#sc-7.24_smt.b' rel: assessment-for - id: sc-7.24_obj.c name: assessment-objective props: - name: label value: SC-07(24)(c) class: sp800-53a prose: each processing exception is documented for systems that process personally identifiable information; links: - href: '#sc-7.24_smt.c' rel: assessment-for - id: sc-7.24_obj.d name: assessment-objective props: - name: label value: SC-07(24)(d) class: sp800-53a parts: - id: sc-7.24_obj.d-1 name: assessment-objective props: - name: label value: SC-07(24)(d)[01] class: sp800-53a prose: exceptions for systems that process personally identifiable information are reviewed; links: - href: '#sc-7.24_smt.d' rel: assessment-for - id: sc-7.24_obj.d-2 name: assessment-objective props: - name: label value: SC-07(24)(d)[02] class: sp800-53a prose: exceptions for systems that process personally identifiable information that are no longer supported are removed. links: - href: '#sc-7.24_smt.d' rel: assessment-for links: - href: '#sc-7.24_smt.d' rel: assessment-for links: - href: '#sc-7.24_smt' rel: assessment-for - id: sc-7.24_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(24)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection personally identifiable information processing policies list of key internal boundaries of the system system design documentation system configuration settings and associated documentation enterprise security and privacy architecture documentation system audit records system security plan privacy plan personally identifiable information inventory documentation data mapping documentation other relevant documents or records - id: sc-7.24_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(24)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities system developer organizational personnel with boundary protection responsibilities - id: sc-7.24_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(24)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing boundary protection capabilities - id: sc-7.25 class: SP800-53-enhancement title: Unclassified National Security System Connections params: - id: sc-07.25_odp.01 props: - name: alt-identifier value: sc-7.25_prm_1 - name: label value: SC-07(25)_ODP[01] class: sp800-53a label: unclassified national security system guidelines: - prose: the unclassified national security system prohibited from directly connecting to an external network is defined; - id: sc-07.25_odp.02 props: - name: alt-identifier value: sc-7.25_prm_2 - name: label value: SC-07(25)_ODP[02] class: sp800-53a label: boundary protection device guidelines: - prose: the boundary protection device required for a direct connection to an external network is defined; props: - name: label value: SC-07(25) class: zero-padded - name: label value: SC-7(25) - name: label value: SC-07(25) class: sp800-53a - name: sort-id value: sc-07.25 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#sc-7' rel: required parts: - id: sc-7.25_smt name: statement prose: 'Prohibit the direct connection of {{ insert: param, sc-07.25_odp.01 }} to an external network without the use of {{ insert: param, sc-07.25_odp.02 }}.' - id: sc-7.25_gdn name: guidance prose: A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices (e.g., firewalls, gateways, and routers) mediate communications and information flows between unclassified national security systems and external networks. - id: sc-7.25_obj name: assessment-objective props: - name: label value: SC-07(25) class: sp800-53a prose: 'the direct connection of {{ insert: param, sc-07.25_odp.01 }} to an external network without the use of {{ insert: param, sc-07.25_odp.02 }} is prohibited.' links: - href: '#sc-7.25_smt' rel: assessment-for - id: sc-7.25_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(25)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-7.25_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(25)-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-7.25_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(25)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms prohibiting the direct connection of unclassified national security systems to an external network - id: sc-7.26 class: SP800-53-enhancement title: Classified National Security System Connections params: - id: sc-07.26_odp props: - name: alt-identifier value: sc-7.26_prm_1 - name: label value: SC-07(26)_ODP class: sp800-53a label: boundary protection device guidelines: - prose: the boundary protection device required for a direct connection to an external network is defined; props: - name: label value: SC-07(26) class: zero-padded - name: label value: SC-7(26) - name: label value: SC-07(26) class: sp800-53a - name: sort-id value: sc-07.26 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#sc-7' rel: required parts: - id: sc-7.26_smt name: statement prose: 'Prohibit the direct connection of a classified national security system to an external network without the use of {{ insert: param, sc-07.26_odp }}.' - id: sc-7.26_gdn name: guidance prose: A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices (e.g., firewalls, gateways, and routers) mediate communications and information flows between classified national security systems and external networks. In addition, approved boundary protection devices (typically managed interface or cross-domain systems) provide information flow enforcement from systems to external networks. - id: sc-7.26_obj name: assessment-objective props: - name: label value: SC-07(26) class: sp800-53a prose: 'the direct connection of classified national security system to an external network without the use of a {{ insert: param, sc-07.26_odp }} is prohibited.' links: - href: '#sc-7.26_smt' rel: assessment-for - id: sc-7.26_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(26)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-7.26_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(26)-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-7.26_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(26)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms prohibiting the direct connection of classified national security systems to an external network - id: sc-7.27 class: SP800-53-enhancement title: Unclassified Non-national Security System Connections params: - id: sc-07.27_odp.01 props: - name: alt-identifier value: sc-7.27_prm_1 - name: alt-label value: unclassified non-national security system class: sp800-53 - name: label value: SC-07(27)_ODP[01] class: sp800-53a label: unclassified, non-national security system guidelines: - prose: the unclassified, non-national security system prohibited from directly connecting to an external network is defined; - id: sc-07.27_odp.02 props: - name: alt-identifier value: sc-7.27_prm_2 - name: label value: SC-07(27)_ODP[02] class: sp800-53a label: boundary protection device guidelines: - prose: the boundary protection device required for a direct connection of unclassified, non-national security system to an external network is defined; props: - name: label value: SC-07(27) class: zero-padded - name: label value: SC-7(27) - name: label value: SC-07(27) class: sp800-53a - name: sort-id value: sc-07.27 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#sc-7' rel: required parts: - id: sc-7.27_smt name: statement prose: 'Prohibit the direct connection of {{ insert: param, sc-07.27_odp.01 }} to an external network without the use of {{ insert: param, sc-07.27_odp.02 }}.' - id: sc-7.27_gdn name: guidance prose: A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices (e.g., firewalls, gateways, and routers) mediate communications and information flows between unclassified non-national security systems and external networks. - id: sc-7.27_obj name: assessment-objective props: - name: label value: SC-07(27) class: sp800-53a prose: 'the direct connection of {{ insert: param, sc-07.27_odp.01 }} to an external network without the use of a {{ insert: param, sc-07.27_odp.02 }} is prohibited.' links: - href: '#sc-7.27_smt' rel: assessment-for - id: sc-7.27_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(27)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-7.27_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(27)-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-7.27_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(27)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms prohibiting the direct connection of unclassified, non-national security systems to an external network - id: sc-7.28 class: SP800-53-enhancement title: Connections to Public Networks params: - id: sc-07.28_odp props: - name: alt-identifier value: sc-7.28_prm_1 - name: label value: SC-07(28)_ODP class: sp800-53a label: system guidelines: - prose: the system that is prohibited from directly connecting to a public network is defined; props: - name: label value: SC-07(28) class: zero-padded - name: label value: SC-7(28) - name: label value: SC-07(28) class: sp800-53a - name: sort-id value: sc-07.28 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#sc-7' rel: required parts: - id: sc-7.28_smt name: statement prose: 'Prohibit the direct connection of {{ insert: param, sc-07.28_odp }} to a public network.' - id: sc-7.28_gdn name: guidance prose: A direct connection is a dedicated physical or virtual connection between two or more systems. A public network is a network accessible to the public, including the Internet and organizational extranets with public access. - id: sc-7.28_obj name: assessment-objective props: - name: label value: SC-07(28) class: sp800-53a prose: 'the direct connection of the {{ insert: param, sc-07.28_odp }} to a public network is prohibited.' links: - href: '#sc-7.28_smt' rel: assessment-for - id: sc-7.28_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(28)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-7.28_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(28)-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-7.28_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(28)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms prohibiting the direct connection of systems to an external network - id: sc-7.29 class: SP800-53-enhancement title: Separate Subnets to Isolate Functions params: - id: sc-07.29_odp.01 props: - name: alt-identifier value: sc-7.29_prm_1 - name: label value: SC-07(29)_ODP[01] class: sp800-53a select: choice: - physically - logically - id: sc-07.29_odp.02 props: - name: alt-identifier value: sc-7.29_prm_2 - name: label value: SC-07(29)_ODP[02] class: sp800-53a label: critical system components and functions guidelines: - prose: critical system components and functions to be isolated are defined; props: - name: label value: SC-07(29) class: zero-padded - name: label value: SC-7(29) - name: label value: SC-07(29) class: sp800-53a - name: sort-id value: sc-07.29 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: required parts: - id: sc-7.29_smt name: statement prose: 'Implement {{ insert: param, sc-07.29_odp.01 }} separate subnetworks to isolate the following critical system components and functions: {{ insert: param, sc-07.29_odp.02 }}.' - id: sc-7.29_gdn name: guidance prose: Separating critical system components and functions from other noncritical system components and functions through separate subnetworks may be necessary to reduce susceptibility to a catastrophic or debilitating breach or compromise that results in system failure. For example, physically separating the command and control function from the in-flight entertainment function through separate subnetworks in a commercial aircraft provides an increased level of assurance in the trustworthiness of critical system functions. - id: sc-7.29_obj name: assessment-objective props: - name: label value: SC-07(29) class: sp800-53a prose: 'subnetworks are separated {{ insert: param, sc-07.29_odp.01 }} to isolate {{ insert: param, sc-07.29_odp.02 }}.' links: - href: '#sc-7.29_smt' rel: assessment-for - id: sc-7.29_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-07(29)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing boundary protection system design documentation system hardware and software system architecture system configuration settings and associated documentation criticality analysis system audit records system security plan other relevant documents or records - id: sc-7.29_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-07(29)-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-7.29_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-07(29)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms separating critical system components and functions - id: sc-8 class: SP800-53 title: Transmission Confidentiality and Integrity params: - id: sc-08_odp props: - name: alt-identifier value: sc-8_prm_1 - name: label value: SC-08_ODP class: sp800-53a select: how-many: one-or-more choice: - confidentiality - integrity props: - name: label value: SC-08 class: zero-padded - name: label value: SC-8 - name: label value: SC-08 class: sp800-53a - name: sort-id value: sc-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#736d6310-e403-4b57-a79d-9967970c66d7' rel: reference - href: '#7537638e-2837-407d-844b-40fb3fafdd99' rel: reference - href: '#d4d7c760-2907-403b-8b2a-767ca5370ecd' rel: reference - href: '#fe209006-bfd4-4033-a79a-9fee1adaf372' rel: reference - href: '#6bc4d137-aece-42a8-8081-9ecb1ebe9fb4' rel: reference - href: '#1c71b420-2bd9-4e52-9fc8-390f58b85b59' rel: reference - href: '#4c501da5-9d79-4cb6-ba80-97260e1ce327' rel: reference - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#au-10' rel: related - href: '#ia-3' rel: related - href: '#ia-8' rel: related - href: '#ia-9' rel: related - href: '#ma-4' rel: related - href: '#pe-4' rel: related - href: '#sa-4' rel: related - href: '#sa-8' rel: related - href: '#sc-7' rel: related - href: '#sc-16' rel: related - href: '#sc-20' rel: related - href: '#sc-23' rel: related - href: '#sc-28' rel: related parts: - id: sc-8_smt name: statement 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_obj name: assessment-objective props: - 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 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_obj name: assessment-objective props: - 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-8.2 class: SP800-53-enhancement title: Pre- and Post-transmission Handling params: - id: sc-08.02_odp props: - name: alt-identifier value: sc-8.2_prm_1 - name: label value: SC-08(02)_ODP class: sp800-53a select: how-many: one-or-more choice: - confidentiality - integrity props: - name: label value: SC-08(02) class: zero-padded - name: label value: SC-8(2) - name: label value: SC-08(02) class: sp800-53a - name: sort-id value: sc-08.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-8' rel: required parts: - id: sc-8.2_smt name: statement prose: 'Maintain the {{ insert: param, sc-08.02_odp }} of information during preparation for transmission and during reception.' - id: sc-8.2_gdn name: guidance prose: Information can be unintentionally or maliciously disclosed or modified during preparation for transmission or during reception, including during aggregation, at protocol transformation points, and during packing and unpacking. Such unauthorized disclosures or modifications compromise the confidentiality or integrity of the information. - id: sc-8.2_obj name: assessment-objective props: - name: label value: SC-08(02) class: sp800-53a parts: - id: sc-8.2_obj-1 name: assessment-objective props: - name: label value: SC-08(02)[01] class: sp800-53a prose: 'information {{ insert: param, sc-08.02_odp }} is/are maintained during preparation for transmission;' links: - href: '#sc-8.2_smt' rel: assessment-for - id: sc-8.2_obj-2 name: assessment-objective props: - name: label value: SC-08(02)[02] class: sp800-53a prose: 'information {{ insert: param, sc-08.02_odp }} is/are maintained during reception.' links: - href: '#sc-8.2_smt' rel: assessment-for links: - href: '#sc-8.2_smt' rel: assessment-for - id: sc-8.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-08(02)-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-8.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-08(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer - id: sc-8.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-08(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing transmission confidentiality and/or integrity - id: sc-8.3 class: SP800-53-enhancement title: Cryptographic Protection for Message Externals params: - id: sc-08.03_odp props: - name: alt-identifier value: sc-8.3_prm_1 - name: label value: SC-08(03)_ODP class: sp800-53a label: alternative physical controls guidelines: - prose: alternative physical controls to protect message externals are defined; props: - name: label value: SC-08(03) class: zero-padded - name: label value: SC-8(3) - name: label value: SC-08(03) class: sp800-53a - name: sort-id value: sc-08.03 - 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-8.3_smt name: statement prose: 'Implement cryptographic mechanisms to protect message externals unless otherwise protected by {{ insert: param, sc-08.03_odp }}.' - id: sc-8.3_gdn name: guidance prose: Cryptographic protection for message externals addresses protection from the unauthorized disclosure of information. Message externals include message headers and routing information. Cryptographic protection prevents the exploitation of message externals and applies to internal and external networks or links that may be visible to individuals who are not authorized users. Header and routing information is sometimes transmitted in clear text (i.e., unencrypted) because the information is not identified by organizations as having significant value or because encrypting the information can result in lower network performance or higher costs. Alternative physical controls include protected distribution systems. - id: sc-8.3_obj name: assessment-objective props: - name: label value: SC-08(03) class: sp800-53a prose: 'cryptographic mechanisms are implemented to protect message externals unless otherwise protected by {{ insert: param, sc-08.03_odp }}.' links: - href: '#sc-8.3_smt' rel: assessment-for - id: sc-8.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-08(03)-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-8.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-08(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer - id: sc-8.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-08(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity for message externals mechanisms supporting and/or implementing alternative physical safeguards organizational processes for defining and implementing alternative physical safeguards - id: sc-8.4 class: SP800-53-enhancement title: Conceal or Randomize Communications params: - id: sc-08.04_odp props: - name: alt-identifier value: sc-8.4_prm_1 - name: label value: SC-08(04)_ODP class: sp800-53a label: alternative physical controls guidelines: - prose: alternative physical controls to protect against unauthorized disclosure of communication patterns are defined; props: - name: label value: SC-08(04) class: zero-padded - name: label value: SC-8(4) - name: label value: SC-08(04) class: sp800-53a - name: sort-id value: sc-08.04 - 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-8.4_smt name: statement prose: 'Implement cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by {{ insert: param, sc-08.04_odp }}.' - id: sc-8.4_gdn name: guidance prose: Concealing or randomizing communication patterns addresses protection from unauthorized disclosure of information. Communication patterns include frequency, periods, predictability, and amount. Changes to communications patterns can reveal information with intelligence value, especially when combined with other available information related to the mission and business functions of the organization. Concealing or randomizing communications prevents the derivation of intelligence based on communications patterns and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed, or random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical controls include protected distribution systems. - id: sc-8.4_obj name: assessment-objective props: - name: label value: SC-08(04) class: sp800-53a prose: 'cryptographic mechanisms are implemented to conceal or randomize communication patterns unless otherwise protected by {{ insert: param, sc-08.04_odp }}.' links: - href: '#sc-8.4_smt' rel: assessment-for - id: sc-8.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-08(04)-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-8.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-08(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer - id: sc-8.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-08(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Cryptographic mechanisms supporting and/or implementing concealment or randomization of communication patterns mechanisms supporting and/or implementing alternative physical safeguards organizational processes for defining and implementing alternative physical safeguards - id: sc-8.5 class: SP800-53-enhancement title: Protected Distribution System params: - id: sc-08.05_odp.01 props: - name: alt-identifier value: sc-8.5_prm_1 - name: label value: SC-08(05)_ODP[01] class: sp800-53a label: protected distribution system guidelines: - prose: the protected distribution system is defined; - id: sc-08.05_odp.02 props: - name: alt-identifier value: sc-8.5_prm_2 - name: label value: SC-08(05)_ODP[02] 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(05) class: zero-padded - name: label value: SC-8(5) - name: label value: SC-08(05) class: sp800-53a - name: sort-id value: sc-08.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-8' rel: required parts: - id: sc-8.5_smt name: statement prose: 'Implement {{ insert: param, sc-08.05_odp.01 }} to {{ insert: param, sc-08.05_odp.02 }} during transmission.' - id: sc-8.5_gdn name: guidance prose: The purpose of a protected distribution system is to deter, detect, and/or make difficult physical access to the communication lines that carry national security information. - id: sc-8.5_obj name: assessment-objective props: - name: label value: SC-08(05) class: sp800-53a prose: 'the {{ insert: param, sc-08.05_odp.01 }} is implemented to {{ insert: param, sc-08.05_odp.02 }} during transmission.' links: - href: '#sc-8.5_smt' rel: assessment-for - id: sc-8.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-08(05)-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-8.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-08(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer - id: sc-8.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-08(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Cryptographic mechanisms supporting and/or implementing concealment or randomization of communication patterns mechanisms supporting and/or implementing protected distribution systems - id: sc-9 class: SP800-53 title: Transmission Confidentiality props: - name: label value: SC-09 class: zero-padded - name: label value: SC-9 - name: label value: SC-09 class: sp800-53a - name: sort-id value: sc-09 - name: status value: withdrawn links: - href: '#sc-8' rel: incorporated-into - id: sc-10 class: SP800-53 title: Network Disconnect params: - id: sc-10_odp props: - name: alt-identifier value: sc-10_prm_1 - name: label value: SC-10_ODP class: sp800-53a label: time period guidelines: - prose: a time period of inactivity after which the system terminates a network connection associated with a communication session is defined; props: - name: label value: SC-10 class: zero-padded - name: label value: SC-10 - name: label value: SC-10 class: sp800-53a - name: sort-id value: sc-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-17' rel: related - href: '#sc-23' rel: related parts: - id: sc-10_smt name: statement prose: 'Terminate the network connection associated with a communications session at the end of the session or after {{ insert: param, sc-10_odp }} of inactivity.' - id: sc-10_gdn name: guidance prose: Network disconnect applies to internal and external networks. Terminating network connections associated with specific communications sessions includes de-allocating TCP/IP address or port pairs at the operating system level and de-allocating the networking assignments at the application level if multiple application sessions are using a single operating system-level network connection. Periods of inactivity may be established by organizations and include time periods by type of network access or for specific network accesses. - id: sc-10_obj name: assessment-objective props: - name: label value: SC-10 class: sp800-53a prose: 'the network connection associated with a communication session is terminated at the end of the session or after {{ insert: param, sc-10_odp }} of inactivity.' links: - href: '#sc-10_smt' rel: assessment-for - id: sc-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-10-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing network disconnect system design documentation security plan system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-10-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer - id: sc-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-10-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing a network disconnect capability - id: sc-11 class: SP800-53 title: Trusted Path params: - id: sc-11_odp.01 props: - name: alt-identifier value: sc-11_prm_1 - name: label value: SC-11_ODP[01] class: sp800-53a select: choice: - physically - logically - id: sc-11_odp.02 props: - name: alt-identifier value: sc-11_prm_2 - name: label value: SC-11_ODP[02] class: sp800-53a label: security functions guidelines: - prose: security functions of the system are defined; props: - name: label value: SC-11 class: zero-padded - name: label value: SC-11 - name: label value: SC-11 class: sp800-53a - name: sort-id value: sc-11 - 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: '#ac-16' rel: related - href: '#ac-25' rel: related - href: '#sc-12' rel: related - href: '#sc-23' rel: related parts: - id: sc-11_smt name: statement parts: - id: sc-11_smt.a name: item props: - name: label value: a. prose: 'Provide a {{ insert: param, sc-11_odp.01 }} isolated trusted communications path for communications between the user and the trusted components of the system; and' - id: sc-11_smt.b name: item props: - name: label value: b. prose: 'Permit users to invoke the trusted communications path for communications between the user and the following security functions of the system, including at a minimum, authentication and re-authentication: {{ insert: param, sc-11_odp.02 }}.' - id: sc-11_gdn name: guidance prose: Trusted paths are mechanisms by which users can communicate (using input devices such as keyboards) directly with the security functions of systems with the requisite assurance to support security policies. Trusted path mechanisms can only be activated by users or the security functions of organizational systems. User responses that occur via trusted paths are protected from modification by and disclosure to untrusted applications. Organizations employ trusted paths for trustworthy, high-assurance connections between security functions of systems and users, including during system logons. The original implementations of trusted paths employed an out-of-band signal to initiate the path, such as using the key, which does not transmit characters that can be spoofed. In later implementations, a key combination that could not be hijacked was used (e.g., the + + keys). Such key combinations, however, are platform-specific and may not provide a trusted path implementation in every case. The enforcement of trusted communications paths is provided by a specific implementation that meets the reference monitor concept. - id: sc-11_obj name: assessment-objective props: - name: label value: SC-11 class: sp800-53a parts: - id: sc-11_obj.a name: assessment-objective props: - name: label value: SC-11a. class: sp800-53a prose: 'a {{ insert: param, sc-11_odp.01 }} isolated trusted communication path is provided for communications between the user and the trusted components of the system;' links: - href: '#sc-11_smt.a' rel: assessment-for - id: sc-11_obj.b name: assessment-objective props: - name: label value: SC-11b. class: sp800-53a prose: 'users are permitted to invoke the trusted communication path for communications between the user and the {{ insert: param, sc-11_odp.02 }} of the system, including authentication and re-authentication, at a minimum.' links: - href: '#sc-11_smt.b' rel: assessment-for links: - href: '#sc-11_smt' rel: assessment-for - id: sc-11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-11-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing trusted communication paths security plan system design documentation system configuration settings and associated documentation assessment results from independent, testing organizations system audit records system security plan other relevant documents or records - id: sc-11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-11-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer - id: sc-11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-11-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing trusted communication paths controls: - id: sc-11.1 class: SP800-53-enhancement title: Irrefutable Communications Path params: - id: sc-11.01_odp props: - name: alt-identifier value: sc-11.1_prm_1 - name: label value: SC-11(01)_ODP class: sp800-53a label: security functions guidelines: - prose: security functions of the system are defined; props: - name: label value: SC-11(01) class: zero-padded - name: label value: SC-11(1) - name: label value: SC-11(01) class: sp800-53a - name: sort-id value: sc-11.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sc-11' rel: required parts: - id: sc-11.1_smt name: statement parts: - id: sc-11.1_smt.a name: item props: - name: label value: (a) prose: Provide a trusted communications path that is irrefutably distinguishable from other communications paths; and - id: sc-11.1_smt.b name: item props: - name: label value: (b) prose: 'Initiate the trusted communications path for communications between the {{ insert: param, sc-11.01_odp }} of the system and the user.' - id: sc-11.1_gdn name: guidance prose: An irrefutable communications path permits the system to initiate a trusted path, which necessitates that the user can unmistakably recognize the source of the communication as a trusted system component. For example, the trusted path may appear in an area of the display that other applications cannot access or be based on the presence of an identifier that cannot be spoofed. - id: sc-11.1_obj name: assessment-objective props: - name: label value: SC-11(01) class: sp800-53a parts: - id: sc-11.1_obj.a name: assessment-objective props: - name: label value: SC-11(01)(a) class: sp800-53a prose: a trusted communication path that is irrefutably distinguishable from other communication paths is provided; links: - href: '#sc-11.1_smt.a' rel: assessment-for - id: sc-11.1_obj.b name: assessment-objective props: - name: label value: SC-11(01)(b) class: sp800-53a prose: 'the trusted communication path for communications between the {{ insert: param, sc-11.01_odp }} of the system and the user is initiated.' links: - href: '#sc-11.1_smt.b' rel: assessment-for links: - href: '#sc-11.1_smt' rel: assessment-for - id: sc-11.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-11(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing trusted communication paths security plan system design documentation system configuration settings and associated documentation assessment results from independent, testing organizations system audit records system security plan other relevant documents or records - id: sc-11.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-11(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer - id: sc-11.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-11(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing trusted communication paths - 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 guidelines: - prose: requirements for key generation, distribution, storage, access, and destruction are defined; props: - name: label value: SC-12 class: zero-padded - name: label value: SC-12 - name: label value: SC-12 class: sp800-53a - name: sort-id value: sc-12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#20957dbb-6a1e-40a2-b38a-66f67d33ac2e' rel: reference - href: '#0d083d8a-5cc6-46f1-8d79-3081d42bcb75' rel: reference - href: '#eef62b16-c796-4554-955c-505824135b8a' rel: reference - href: '#110e26af-4765-49e1-8740-6750f83fcda1' rel: reference - href: '#e7942589-e267-4a5a-a3d9-f39a7aae81f0' rel: reference - href: '#8306620b-1920-4d73-8b21-12008528595f' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#849b2358-683f-4d97-b111-1cc3d522ded5' rel: reference - href: '#3915a084-b87b-4f02-83d4-c369e746292f' rel: reference - href: '#ac-17' rel: related - href: '#au-9' rel: related - href: '#au-10' rel: related - href: '#cm-3' rel: related - href: '#ia-3' rel: related - href: '#ia-7' rel: related - href: '#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: '#sc-11' rel: related - href: '#sc-13' rel: related - href: '#sc-17' rel: related - href: '#sc-20' rel: related - href: '#sc-37' rel: related - href: '#sc-40' rel: related - href: '#si-3' rel: related - href: '#si-7' rel: related parts: - id: sc-12_smt name: statement 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_obj name: assessment-objective props: - name: label value: SC-12 class: sp800-53a parts: - id: sc-12_obj-1 name: assessment-objective props: - name: label value: SC-12[01] class: sp800-53a prose: 'cryptographic keys are established when cryptography is employed within the system in accordance with {{ insert: param, sc-12_odp }};' links: - href: '#sc-12_smt' rel: assessment-for - id: sc-12_obj-2 name: assessment-objective props: - name: label value: SC-12[02] class: sp800-53a prose: 'cryptographic keys are managed when cryptography is employed within the system in accordance with {{ insert: param, sc-12_odp }}.' links: - href: '#sc-12_smt' rel: assessment-for links: - href: '#sc-12_smt' rel: assessment-for - id: sc-12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-12-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing cryptographic key establishment and management system design documentation cryptographic mechanisms system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-12-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with responsibilities for cryptographic key establishment and/or management - id: sc-12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-12-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing cryptographic key establishment and management controls: - id: sc-12.1 class: SP800-53-enhancement title: Availability props: - name: label value: SC-12(01) class: zero-padded - name: label value: SC-12(1) - name: label value: SC-12(01) class: sp800-53a - name: sort-id value: sc-12.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-12' rel: required parts: - id: sc-12.1_smt name: statement prose: Maintain availability of information in the event of the loss of cryptographic keys by users. - id: sc-12.1_gdn name: guidance prose: Escrowing of encryption keys is a common practice for ensuring availability in the event of key loss. A forgotten passphrase is an example of losing a cryptographic key. - id: sc-12.1_obj name: assessment-objective props: - name: label value: SC-12(01) class: sp800-53a prose: information availability is maintained in the event of the loss of cryptographic keys by users. links: - href: '#sc-12.1_smt' rel: assessment-for - id: sc-12.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-12(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing cryptographic key establishment, management, and recovery system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-12.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-12(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with responsibilities for cryptographic key establishment or management - id: sc-12.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-12(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing cryptographic key establishment and management - id: sc-12.2 class: SP800-53-enhancement title: Symmetric Keys params: - id: sc-12.02_odp props: - name: alt-identifier value: sc-12.2_prm_1 - name: label value: SC-12(02)_ODP class: sp800-53a select: choice: - NIST FIPS-validated - NSA-approved props: - name: label value: SC-12(02) class: zero-padded - name: label value: SC-12(2) - name: label value: SC-12(02) class: sp800-53a - name: sort-id value: sc-12.02 - 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: '#sc-12' rel: required parts: - id: sc-12.2_smt name: statement prose: 'Produce, control, and distribute symmetric cryptographic keys using {{ insert: param, sc-12.02_odp }} key management technology and processes.' - id: sc-12.2_gdn name: guidance prose: '[SP 800-56A](#20957dbb-6a1e-40a2-b38a-66f67d33ac2e), [SP 800-56B](#0d083d8a-5cc6-46f1-8d79-3081d42bcb75) , and [SP 800-56C](#eef62b16-c796-4554-955c-505824135b8a) provide guidance on cryptographic key establishment schemes and key derivation methods. [SP 800-57-1](#110e26af-4765-49e1-8740-6750f83fcda1), [SP 800-57-2](#e7942589-e267-4a5a-a3d9-f39a7aae81f0) , and [SP 800-57-3](#8306620b-1920-4d73-8b21-12008528595f) provide guidance on cryptographic key management.' - id: sc-12.2_obj name: assessment-objective props: - name: label value: SC-12(02) class: sp800-53a parts: - id: sc-12.2_obj-1 name: assessment-objective props: - name: label value: SC-12(02)[01] class: sp800-53a prose: 'symmetric cryptographic keys are produced using {{ insert: param, sc-12.02_odp }} key management technology and processes;' links: - href: '#sc-12.2_smt' rel: assessment-for - id: sc-12.2_obj-2 name: assessment-objective props: - name: label value: SC-12(02)[02] class: sp800-53a prose: 'symmetric cryptographic keys are controlled using {{ insert: param, sc-12.02_odp }} key management technology and processes;' links: - href: '#sc-12.2_smt' rel: assessment-for - id: sc-12.2_obj-3 name: assessment-objective props: - name: label value: SC-12(02)[03] class: sp800-53a prose: 'symmetric cryptographic keys are distributed using {{ insert: param, sc-12.02_odp }} key management technology and processes.' links: - href: '#sc-12.2_smt' rel: assessment-for links: - href: '#sc-12.2_smt' rel: assessment-for - id: sc-12.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-12(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing cryptographic key establishment and management system design documentation system configuration settings and associated documentation system audit records list of FIPS-validated cryptographic products list of NSA-approved cryptographic products system security plan other relevant documents or records - id: sc-12.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-12(02)-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 key establishment or management - id: sc-12.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-12(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing symmetric cryptographic key establishment and management - id: sc-12.3 class: SP800-53-enhancement title: Asymmetric Keys params: - id: sc-12.03_odp props: - name: alt-identifier value: sc-12.3_prm_1 - name: label value: SC-12(03)_ODP class: sp800-53a select: choice: - NSA-approved key management technology and processes - prepositioned keying material - DoD-approved or DoD-issued Medium Assurance PKI certificates - DoD-approved or DoD-issued Medium Hardware Assurance PKI certificates and hardware security tokens that protect the user’s private key - certificates issued in accordance with organization-defined requirements props: - name: label value: SC-12(03) class: zero-padded - name: label value: SC-12(3) - name: label value: SC-12(03) class: sp800-53a - name: sort-id value: sc-12.03 - 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: '#sc-12' rel: required parts: - id: sc-12.3_smt name: statement prose: 'Produce, control, and distribute asymmetric cryptographic keys using {{ insert: param, sc-12.03_odp }}.' - id: sc-12.3_gdn name: guidance prose: '[SP 800-56A](#20957dbb-6a1e-40a2-b38a-66f67d33ac2e), [SP 800-56B](#0d083d8a-5cc6-46f1-8d79-3081d42bcb75) , and [SP 800-56C](#eef62b16-c796-4554-955c-505824135b8a) provide guidance on cryptographic key establishment schemes and key derivation methods. [SP 800-57-1](#110e26af-4765-49e1-8740-6750f83fcda1), [SP 800-57-2](#e7942589-e267-4a5a-a3d9-f39a7aae81f0) , and [SP 800-57-3](#8306620b-1920-4d73-8b21-12008528595f) provide guidance on cryptographic key management.' - id: sc-12.3_obj name: assessment-objective props: - name: label value: SC-12(03) class: sp800-53a parts: - id: sc-12.3_obj-1 name: assessment-objective props: - name: label value: SC-12(03)[01] class: sp800-53a prose: 'asymmetric cryptographic keys are produced using {{ insert: param, sc-12.03_odp }};' links: - href: '#sc-12.3_smt' rel: assessment-for - id: sc-12.3_obj-2 name: assessment-objective props: - name: label value: SC-12(03)[02] class: sp800-53a prose: 'asymmetric cryptographic keys are controlled using {{ insert: param, sc-12.03_odp }};' links: - href: '#sc-12.3_smt' rel: assessment-for - id: sc-12.3_obj-3 name: assessment-objective props: - name: label value: SC-12(03)[03] class: sp800-53a prose: 'asymmetric cryptographic keys are distributed using {{ insert: param, sc-12.03_odp }}.' links: - href: '#sc-12.3_smt' rel: assessment-for links: - href: '#sc-12.3_smt' rel: assessment-for - id: sc-12.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-12(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing cryptographic key establishment and management system design documentation system configuration settings and associated documentation system audit records list of NSA-approved cryptographic products list of approved PKI Class 3 and Class 4 certificates system security plan other relevant documents or records - id: sc-12.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-12(03)-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 key establishment or management organizational personnel with responsibilities for PKI certificates - id: sc-12.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-12(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing asymmetric cryptographic key establishment and management - id: sc-12.4 class: SP800-53-enhancement title: PKI Certificates props: - name: label value: SC-12(04) class: zero-padded - name: label value: SC-12(4) - name: label value: SC-12(04) class: sp800-53a - name: sort-id value: sc-12.04 - name: status value: withdrawn links: - href: '#sc-12.3' rel: incorporated-into - id: sc-12.5 class: SP800-53-enhancement title: PKI Certificates / Hardware Tokens props: - name: label value: SC-12(05) class: zero-padded - name: label value: SC-12(5) - name: label value: SC-12(05) class: sp800-53a - name: sort-id value: sc-12.05 - name: status value: withdrawn links: - href: '#sc-12.3' rel: incorporated-into - id: sc-12.6 class: SP800-53-enhancement title: Physical Control of Keys props: - name: label value: SC-12(06) class: zero-padded - name: label value: SC-12(6) - name: label value: SC-12(06) class: sp800-53a - name: sort-id value: sc-12.06 - 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: '#sc-12' rel: required parts: - id: sc-12.6_smt name: statement prose: Maintain physical control of cryptographic keys when stored information is encrypted by external service providers. - id: sc-12.6_gdn name: guidance prose: For organizations that use external service providers (e.g., cloud service or data center providers), physical control of cryptographic keys provides additional assurance that information stored by such external providers is not subject to unauthorized disclosure or modification. - id: sc-12.6_obj name: assessment-objective props: - name: label value: SC-12(06) class: sp800-53a prose: physical control of cryptographic keys is maintained when stored information is encrypted by external service providers. links: - href: '#sc-12.6_smt' rel: assessment-for - id: sc-12.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-12(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing cryptographic key establishment, management, and recovery system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-12.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-12(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with responsibilities for cryptographic key establishment or management - id: sc-12.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-12(06)-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 guidelines: - prose: types of cryptography for each specified cryptographic use are defined; props: - name: label value: SC-13 class: zero-padded - name: label value: SC-13 - name: label value: SC-13 class: sp800-53a - name: sort-id value: sc-13 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-7' rel: related - href: '#ac-17' rel: related - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#au-9' rel: related - href: '#au-10' rel: related - href: '#cm-11' rel: related - href: '#cp-9' rel: related - href: '#ia-3' rel: related - href: '#ia-5' rel: related - href: '#ia-7' rel: related - href: '#ia-13' rel: related - href: '#ma-4' rel: related - href: '#mp-2' rel: related - href: '#mp-4' rel: related - href: '#mp-5' rel: related - href: '#sa-4' rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-20' rel: related - href: '#sc-23' rel: related - href: '#sc-28' rel: related - href: '#sc-40' rel: related - href: '#si-3' rel: related - href: '#si-7' rel: related parts: - id: sc-13_smt name: statement parts: - id: sc-13_smt.a name: item props: - name: label value: a. prose: 'Determine the {{ insert: param, sc-13_odp.01 }} ; and' - id: sc-13_smt.b name: item props: - 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_obj name: assessment-objective props: - name: label value: SC-13 class: sp800-53a parts: - id: sc-13_obj.a name: assessment-objective props: - 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: 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 controls: - id: sc-13.1 class: SP800-53-enhancement title: FIPS-validated Cryptography props: - name: label value: SC-13(01) class: zero-padded - name: label value: SC-13(1) - name: label value: SC-13(01) class: sp800-53a - name: sort-id value: sc-13.01 - name: status value: withdrawn links: - href: '#sc-13' rel: incorporated-into - id: sc-13.2 class: SP800-53-enhancement title: NSA-approved Cryptography props: - name: label value: SC-13(02) class: zero-padded - name: label value: SC-13(2) - name: label value: SC-13(02) class: sp800-53a - name: sort-id value: sc-13.02 - name: status value: withdrawn links: - href: '#sc-13' rel: incorporated-into - id: sc-13.3 class: SP800-53-enhancement title: Individuals Without Formal Access Approvals props: - name: label value: SC-13(03) class: zero-padded - name: label value: SC-13(3) - name: label value: SC-13(03) class: sp800-53a - name: sort-id value: sc-13.03 - name: status value: withdrawn links: - href: '#sc-13' rel: incorporated-into - id: sc-13.4 class: SP800-53-enhancement title: Digital Signatures props: - name: label value: SC-13(04) class: zero-padded - name: label value: SC-13(4) - name: label value: SC-13(04) class: sp800-53a - name: sort-id value: sc-13.04 - name: status value: withdrawn links: - href: '#sc-13' rel: incorporated-into - id: sc-14 class: SP800-53 title: Public Access Protections props: - name: label value: SC-14 class: zero-padded - name: label value: SC-14 - name: label value: SC-14 class: sp800-53a - name: sort-id value: sc-14 - name: status value: withdrawn links: - href: '#ac-2' rel: incorporated-into - href: '#ac-3' rel: incorporated-into - href: '#ac-5' rel: incorporated-into - href: '#ac-6' rel: incorporated-into - href: '#si-3' rel: incorporated-into - href: '#si-4' rel: incorporated-into - href: '#si-5' rel: incorporated-into - href: '#si-7' rel: incorporated-into - href: '#si-10' rel: incorporated-into - 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 guidelines: - prose: exceptions where remote activation is to be allowed are defined; props: - name: label value: SC-15 class: zero-padded - name: label value: SC-15 - name: label value: SC-15 class: sp800-53a - name: sort-id value: sc-15 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-21' rel: related - href: '#sc-42' rel: related parts: - id: sc-15_smt name: statement parts: - id: sc-15_smt.a name: item props: - 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: 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_obj name: assessment-objective props: - name: label value: SC-15 class: sp800-53a parts: - id: sc-15_obj.a name: assessment-objective props: - 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: 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 controls: - id: sc-15.1 class: SP800-53-enhancement title: Physical or Logical Disconnect params: - id: sc-15.01_odp props: - name: alt-identifier value: sc-15.1_prm_1 - name: label value: SC-15(01)_ODP class: sp800-53a select: how-many: one-or-more choice: - physical - logical props: - name: label value: SC-15(01) class: zero-padded - name: label value: SC-15(1) - name: label value: SC-15(01) class: sp800-53a - name: sort-id value: sc-15.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-15' rel: required parts: - id: sc-15.1_smt name: statement prose: 'Provide {{ insert: param, sc-15.01_odp }} disconnect of collaborative computing devices in a manner that supports ease of use.' - id: sc-15.1_gdn name: guidance prose: Failing to disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to disconnect from such devices after a collaborative computing session ensures that participants carry out the disconnect activity without having to go through complex and tedious procedures. Disconnect from collaborative computing devices can be manual or automatic. - id: sc-15.1_obj name: assessment-objective props: - name: label value: SC-15(01) class: sp800-53a prose: 'the {{ insert: param, sc-15.01_odp }} disconnect of collaborative computing devices is/are provided in a manner that supports ease of use.' links: - href: '#sc-15.1_smt' rel: assessment-for - id: sc-15.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-15(01)-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-15.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-15(01)-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-15.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-15(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the physical disconnect of collaborative computing devices - id: sc-15.2 class: SP800-53-enhancement title: Blocking Inbound and Outbound Communications Traffic props: - name: label value: SC-15(02) class: zero-padded - name: label value: SC-15(2) - name: label value: SC-15(02) class: sp800-53a - name: sort-id value: sc-15.02 - name: status value: withdrawn links: - href: '#sc-7' rel: incorporated-into - id: sc-15.3 class: SP800-53-enhancement title: Disabling and Removal in Secure Work Areas params: - id: sc-15.03_odp.01 props: - name: alt-identifier value: sc-15.3_prm_1 - name: label value: SC-15(03)_ODP[01] class: sp800-53a label: systems or system components guidelines: - prose: systems or system components from which collaborative computing devices are to be disabled or removed are defined; - id: sc-15.03_odp.02 props: - name: alt-identifier value: sc-15.3_prm_2 - name: label value: SC-15(03)_ODP[02] class: sp800-53a label: secure work areas guidelines: - prose: secure work areas where collaborative computing devices are to be disabled or removed from systems or system components are defined; props: - name: label value: SC-15(03) class: zero-padded - name: label value: SC-15(3) - name: label value: SC-15(03) class: sp800-53a - name: sort-id value: sc-15.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#sc-15' rel: required parts: - id: sc-15.3_smt name: statement prose: 'Disable or remove collaborative computing devices and applications from {{ insert: param, sc-15.03_odp.01 }} in {{ insert: param, sc-15.03_odp.02 }}.' - id: sc-15.3_gdn name: guidance prose: Failing to disable or remove collaborative computing devices and applications from systems or system components can result in compromises of information, including eavesdropping on conversations. A Sensitive Compartmented Information Facility (SCIF) is an example of a secure work area. - id: sc-15.3_obj name: assessment-objective props: - name: label value: SC-15(03) class: sp800-53a prose: 'collaborative computing devices and applications are disabled or removed from {{ insert: param, sc-15.03_odp.01 }} in {{ insert: param, sc-15.03_odp.02 }}.' links: - href: '#sc-15.3_smt' rel: assessment-for - id: sc-15.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-15(03)-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 list of secure work areas systems or system components in secured work areas where collaborative computing devices are to be disabled or removed system security plan other relevant documents or records - id: sc-15.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-15(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with responsibilities for managing collaborative computing devices - id: sc-15.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-15(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the capability to disable collaborative computing devices - id: sc-15.4 class: SP800-53-enhancement title: Explicitly Indicate Current Participants params: - id: sc-15.04_odp props: - name: alt-identifier value: sc-15.4_prm_1 - name: label value: SC-15(04)_ODP class: sp800-53a label: online meetings and teleconferences guidelines: - prose: online meetings and teleconferences for which an explicit indication of current participants is to be provided are defined; props: - name: label value: SC-15(04) class: zero-padded - name: label value: SC-15(4) - name: label value: SC-15(04) class: sp800-53a - name: sort-id value: sc-15.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-15' rel: required parts: - id: sc-15.4_smt name: statement prose: 'Provide an explicit indication of current participants in {{ insert: param, sc-15.04_odp }}.' - id: sc-15.4_gdn name: guidance prose: Explicitly indicating current participants prevents unauthorized individuals from participating in collaborative computing sessions without the explicit knowledge of other participants. - id: sc-15.4_obj name: assessment-objective props: - name: label value: SC-15(04) class: sp800-53a prose: 'an explicit indication of current participants in {{ insert: param, sc-15.04_odp }} is provided.' links: - href: '#sc-15.4_smt' rel: assessment-for - id: sc-15.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-15(04)-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 list of types of meetings and teleconferences requiring explicit indication of current participants system security plan other relevant documents or records - id: sc-15.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-15(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with responsibilities for managing collaborative computing devices - id: sc-15.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-15(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the capability to indicate participants on collaborative computing devices - id: sc-16 class: SP800-53 title: Transmission of Security and Privacy Attributes params: - id: sc-16_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sc-16_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sc-16_odp.02 label: organization-defined security and privacy attributes - id: sc-16_odp.01 props: - name: label value: SC-16_ODP[01] class: sp800-53a label: security attributes guidelines: - prose: security attributes to be associated with information exchanged are defined; - id: sc-16_odp.02 props: - name: label value: SC-16_ODP[02] class: sp800-53a label: privacy attributes guidelines: - prose: privacy attributes to be associated with information exchanged are defined; props: - name: label value: SC-16 class: zero-padded - name: label value: SC-16 - name: label value: SC-16 class: sp800-53a - name: sort-id value: sc-16 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-16' rel: related parts: - id: sc-16_smt name: statement prose: 'Associate {{ insert: param, sc-16_prm_1 }} with information exchanged between systems and between system components.' - id: sc-16_gdn name: guidance prose: Security and privacy attributes can be explicitly or implicitly associated with the information contained in organizational systems or system components. Attributes are abstractions that represent the basic properties or characteristics of an entity with respect to protecting information or the management of personally identifiable information. Attributes are typically associated with internal data structures, including records, buffers, and files within the system. Security and privacy attributes are used to implement access control and information flow control policies; reflect special dissemination, management, or distribution instructions, including permitted uses of personally identifiable information; or support other aspects of the information security and privacy policies. Privacy attributes may be used independently or in conjunction with security attributes. - id: sc-16_obj name: assessment-objective props: - name: label value: SC-16 class: sp800-53a parts: - id: sc-16_obj-1 name: assessment-objective props: - name: label value: SC-16[01] class: sp800-53a prose: '{{ insert: param, sc-16_odp.01 }} are associated with information exchanged between systems;' links: - href: '#sc-16_smt' rel: assessment-for - id: sc-16_obj-2 name: assessment-objective props: - name: label value: SC-16[02] class: sp800-53a prose: '{{ insert: param, sc-16_odp.01 }} are associated with information exchanged between system components;' links: - href: '#sc-16_smt' rel: assessment-for - id: sc-16_obj-3 name: assessment-objective props: - name: label value: SC-16[03] class: sp800-53a prose: '{{ insert: param, sc-16_odp.02 }} are associated with information exchanged between systems;' links: - href: '#sc-16_smt' rel: assessment-for - id: sc-16_obj-4 name: assessment-objective props: - name: label value: SC-16[04] class: sp800-53a prose: '{{ insert: param, sc-16_odp.02 }} are associated with information exchanged between system components.' links: - href: '#sc-16_smt' rel: assessment-for links: - href: '#sc-16_smt' rel: assessment-for - id: sc-16_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-16-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing the transmission of security and privacy attributes access control policy and procedures information flow control policy system design documentation system configuration settings and associated documentation system audit records system security plan privacy plan other relevant documents or records - id: sc-16_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-16-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities - id: sc-16_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-16-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the transmission of security and privacy attributes between systems controls: - id: sc-16.1 class: SP800-53-enhancement title: Integrity Verification props: - name: label value: SC-16(01) class: zero-padded - name: label value: SC-16(1) - name: label value: SC-16(01) class: sp800-53a - name: sort-id value: sc-16.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-16' rel: required - href: '#au-10' rel: related - href: '#sc-8' rel: related parts: - id: sc-16.1_smt name: statement prose: Verify the integrity of transmitted security and privacy attributes. - id: sc-16.1_gdn name: guidance prose: Part of verifying the integrity of transmitted information is ensuring that security and privacy attributes that are associated with such information have not been modified in an unauthorized manner. Unauthorized modification of security or privacy attributes can result in a loss of integrity for transmitted information. - id: sc-16.1_obj name: assessment-objective props: - name: label value: SC-16(01) class: sp800-53a parts: - id: sc-16.1_obj-1 name: assessment-objective props: - name: label value: SC-16(01)[01] class: sp800-53a prose: the integrity of transmitted security attributes is verified; links: - href: '#sc-16.1_smt' rel: assessment-for - id: sc-16.1_obj-2 name: assessment-objective props: - name: label value: SC-16(01)[02] class: sp800-53a prose: the integrity of transmitted privacy attributes is verified. links: - href: '#sc-16.1_smt' rel: assessment-for links: - href: '#sc-16.1_smt' rel: assessment-for - id: sc-16.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-16(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing the transmission of security and privacy attributes access control policy and procedures system design documentation system configuration settings and associated documentation system audit records system security plan privacy plan other relevant documents or records - id: sc-16.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-16(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities - id: sc-16.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-16(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing verification of the integrity of transmitted security and privacy attributes - id: sc-16.2 class: SP800-53-enhancement title: Anti-spoofing Mechanisms props: - name: label value: SC-16(02) class: zero-padded - name: label value: SC-16(2) - name: label value: SC-16(02) class: sp800-53a - name: sort-id value: sc-16.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-16' rel: required - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related parts: - id: sc-16.2_smt name: statement prose: Implement anti-spoofing mechanisms to prevent adversaries from falsifying the security attributes indicating the successful application of the security process. - id: sc-16.2_gdn name: guidance prose: Some attack vectors operate by altering the security attributes of an information system to intentionally and maliciously implement an insufficient level of security within the system. The alteration of attributes leads organizations to believe that a greater number of security functions are in place and operational than have actually been implemented. - id: sc-16.2_obj name: assessment-objective props: - name: label value: SC-16(02) class: sp800-53a prose: anti-spoofing mechanisms are implemented to prevent adversaries from falsifying the security attributes indicating the successful application of the security process. links: - href: '#sc-16.2_smt' rel: assessment-for - id: sc-16.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-16(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing the transmission of security and privacy attributes 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-16.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-16(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: sc-16.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-16(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing anti-spoofing mechanisms - id: sc-16.3 class: SP800-53-enhancement title: Cryptographic Binding params: - id: sc-16.03_odp props: - name: alt-identifier value: sc-16.3_prm_1 - name: label value: SC-16(03)_ODP class: sp800-53a label: mechanisms or techniques guidelines: - prose: mechanisms or techniques to bind security and privacy attributes to transmitted information are defined; props: - name: label value: SC-16(03) class: zero-padded - name: label value: SC-16(3) - name: label value: SC-16(03) class: sp800-53a - name: sort-id value: sc-16.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-16' rel: required - href: '#ac-16' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: sc-16.3_smt name: statement prose: 'Implement {{ insert: param, sc-16.03_odp }} to bind security and privacy attributes to transmitted information.' - id: sc-16.3_gdn name: guidance prose: Cryptographic mechanisms and techniques can provide strong security and privacy attribute binding to transmitted information to help ensure the integrity of such information. - id: sc-16.3_obj name: assessment-objective props: - name: label value: SC-16(03) class: sp800-53a prose: '{{ insert: param, sc-16.03_odp }} are implemented to bind security and privacy attributes to transmitted information.' links: - href: '#sc-16.3_smt' rel: assessment-for - id: sc-16.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-16(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing the transmission of security and privacy attributes 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-16.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-16(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: sc-16.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-16(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing anti-spoofing mechanisms - id: sc-17 class: SP800-53 title: Public Key Infrastructure Certificates params: - id: sc-17_odp props: - name: alt-identifier value: sc-17_prm_1 - name: label value: SC-17_ODP class: sp800-53a label: certificate policy guidelines: - prose: a certificate policy for issuing public key certificates is defined; props: - name: label value: SC-17 class: zero-padded - name: label value: SC-17 - name: label value: SC-17 class: sp800-53a - name: sort-id value: sc-17 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#8cb338a4-e493-4177-818f-3af18983ddc5' rel: reference - href: '#110e26af-4765-49e1-8740-6750f83fcda1' rel: reference - href: '#e7942589-e267-4a5a-a3d9-f39a7aae81f0' rel: reference - href: '#8306620b-1920-4d73-8b21-12008528595f' rel: reference - href: '#737513fa-6758-403f-831d-5ddab5e23cb3' rel: reference - href: '#au-10' rel: related - href: '#ia-5' rel: related - href: '#sc-12' rel: related parts: - id: sc-17_smt name: statement parts: - id: sc-17_smt.a name: item props: - name: label value: a. prose: 'Issue public key certificates under an {{ insert: param, sc-17_odp }} or obtain public key certificates from an approved service provider; and' - id: sc-17_smt.b name: item props: - name: label value: b. prose: Include only approved trust anchors in trust stores or certificate stores managed by the organization. - id: sc-17_gdn name: guidance prose: Public key infrastructure (PKI) certificates are certificates with visibility external to organizational systems and certificates related to the internal operations of systems, such as application-specific time services. In cryptographic systems with a hierarchical structure, a trust anchor is an authoritative source (i.e., a certificate authority) for which trust is assumed and not derived. A root certificate for a PKI system is an example of a trust anchor. A trust store or certificate store maintains a list of trusted root certificates. - id: sc-17_obj name: assessment-objective props: - name: label value: SC-17 class: sp800-53a parts: - id: sc-17_obj.a name: assessment-objective props: - name: label value: SC-17a. class: sp800-53a prose: 'public key certificates are issued under {{ insert: param, sc-17_odp }} , or public key certificates are obtained from an approved service provider;' links: - href: '#sc-17_smt.a' rel: assessment-for - id: sc-17_obj.b name: assessment-objective props: - name: label value: SC-17b. class: sp800-53a prose: only approved trust anchors are included in trust stores or certificate stores managed by the organization. links: - href: '#sc-17_smt.b' rel: assessment-for links: - href: '#sc-17_smt' rel: assessment-for - id: sc-17_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-17-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing public key infrastructure certificates public key certificate policy or policies public key issuing process system security plan other relevant documents or records - id: sc-17_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-17-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with responsibilities for issuing public key certificates service providers - id: sc-17_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-17-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the management of public key infrastructure certificates - id: sc-18 class: SP800-53 title: Mobile Code props: - name: label value: SC-18 class: zero-padded - name: label value: SC-18 - name: label value: SC-18 class: sp800-53a - name: sort-id value: sc-18 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#f641309f-a3ad-48be-8c67-2b318648b2f5' rel: reference - href: '#au-2' rel: related - href: '#au-12' rel: related - href: '#cm-2' rel: related - href: '#cm-6' rel: related - href: '#si-3' rel: related parts: - id: sc-18_smt name: statement parts: - id: sc-18_smt.a name: item props: - name: label value: a. prose: Define acceptable and unacceptable mobile code and mobile code technologies; and - id: sc-18_smt.b name: item props: - name: label value: b. prose: Authorize, monitor, and control the use of mobile code within the system. - id: sc-18_gdn name: guidance prose: Mobile code includes any program, application, or content that can be transmitted across a network (e.g., embedded in an email, document, or website) and executed on a remote system. Decisions regarding the use of mobile code within organizational systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include Java applets, JavaScript, HTML5, WebGL, and VBScript. Usage restrictions and implementation guidelines apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices, including notebook computers and smart phones. Mobile code policy and procedures address specific actions taken to prevent the development, acquisition, and introduction of unacceptable mobile code within organizational systems, including requiring mobile code to be digitally signed by a trusted source. - id: sc-18_obj name: assessment-objective props: - name: label value: SC-18 class: sp800-53a parts: - id: sc-18_obj.a name: assessment-objective props: - name: label value: SC-18a. class: sp800-53a parts: - id: sc-18_obj.a-1 name: assessment-objective props: - name: label value: SC-18a.[01] class: sp800-53a prose: acceptable mobile code is defined; links: - href: '#sc-18_smt.a' rel: assessment-for - id: sc-18_obj.a-2 name: assessment-objective props: - name: label value: SC-18a.[02] class: sp800-53a prose: unacceptable mobile code is defined; links: - href: '#sc-18_smt.a' rel: assessment-for - id: sc-18_obj.a-3 name: assessment-objective props: - name: label value: SC-18a.[03] class: sp800-53a prose: acceptable mobile code technologies are defined; links: - href: '#sc-18_smt.a' rel: assessment-for - id: sc-18_obj.a-4 name: assessment-objective props: - name: label value: SC-18a.[04] class: sp800-53a prose: unacceptable mobile code technologies are defined; links: - href: '#sc-18_smt.a' rel: assessment-for links: - href: '#sc-18_smt.a' rel: assessment-for - id: sc-18_obj.b name: assessment-objective props: - name: label value: SC-18b. class: sp800-53a parts: - id: sc-18_obj.b-1 name: assessment-objective props: - name: label value: SC-18b.[01] class: sp800-53a prose: the use of mobile code is authorized within the system; links: - href: '#sc-18_smt.b' rel: assessment-for - id: sc-18_obj.b-2 name: assessment-objective props: - name: label value: SC-18b.[02] class: sp800-53a prose: the use of mobile code is monitored within the system; links: - href: '#sc-18_smt.b' rel: assessment-for - id: sc-18_obj.b-3 name: assessment-objective props: - name: label value: SC-18b.[03] class: sp800-53a prose: the use of mobile code is controlled within the system. links: - href: '#sc-18_smt.b' rel: assessment-for links: - href: '#sc-18_smt.b' rel: assessment-for links: - href: '#sc-18_smt' rel: assessment-for - id: sc-18_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-18-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing mobile code mobile code implementation policy and procedures list of acceptable mobile code and mobile code technologies list of unacceptable mobile code and mobile technologies authorization records system monitoring records system audit records system security plan other relevant documents or records - id: sc-18_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-18-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with responsibilities for managing mobile code - id: sc-18_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-18-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational process for authorizing, monitoring, and controlling mobile code mechanisms supporting and/or implementing the management of mobile code mechanisms supporting and/or implementing the monitoring of mobile code controls: - id: sc-18.1 class: SP800-53-enhancement title: Identify Unacceptable Code and Take Corrective Actions params: - id: sc-18.01_odp.01 props: - name: alt-identifier value: sc-18.1_prm_1 - name: label value: SC-18(01)_ODP[01] class: sp800-53a label: unacceptable mobile code guidelines: - prose: unacceptable mobile code to be identified is defined; - id: sc-18.01_odp.02 props: - name: alt-identifier value: sc-18.1_prm_2 - name: label value: SC-18(01)_ODP[02] class: sp800-53a label: corrective actions guidelines: - prose: corrective actions to be taken when unacceptable mobile code is identified are defined; props: - name: label value: SC-18(01) class: zero-padded - name: label value: SC-18(1) - name: label value: SC-18(01) class: sp800-53a - name: sort-id value: sc-18.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-18' rel: required parts: - id: sc-18.1_smt name: statement prose: 'Identify {{ insert: param, sc-18.01_odp.01 }} and take {{ insert: param, sc-18.01_odp.02 }}.' - id: sc-18.1_gdn name: guidance prose: Corrective actions when unacceptable mobile code is detected include blocking, quarantine, or alerting administrators. Blocking includes preventing the transmission of word processing files with embedded macros when such macros have been determined to be unacceptable mobile code. - id: sc-18.1_obj name: assessment-objective props: - name: label value: SC-18(01) class: sp800-53a parts: - id: sc-18.1_obj-1 name: assessment-objective props: - name: label value: SC-18(01)[01] class: sp800-53a prose: '{{ insert: param, sc-18.01_odp.01 }} is identified;' links: - href: '#sc-18.1_smt' rel: assessment-for - id: sc-18.1_obj-2 name: assessment-objective props: - name: label value: SC-18(01)[02] class: sp800-53a prose: '{{ insert: param, sc-18.01_odp.02 }} are taken if unacceptable mobile code is identified.' links: - href: '#sc-18.1_smt' rel: assessment-for links: - href: '#sc-18.1_smt' rel: assessment-for - id: sc-18.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-18(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing mobile code mobile code usage restrictions mobile code implementation policy and procedures system design documentation system configuration settings and associated documentation list of unacceptable mobile code list of corrective actions to be taken when unacceptable mobile code is identified system monitoring records system audit records system security plan other relevant documents or records - id: sc-18.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-18(01)-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 mobile code - id: sc-18.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-18(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing mobile code detection, inspection, and corrective capabilities - id: sc-18.2 class: SP800-53-enhancement title: Acquisition, Development, and Use params: - id: sc-18.02_odp props: - name: alt-identifier value: sc-18.2_prm_1 - name: label value: SC-18(02)_ODP class: sp800-53a label: mobile code requirements guidelines: - prose: mobile code requirements for the acquisition, development, and use of mobile code to be deployed in the system are defined; props: - name: label value: SC-18(02) class: zero-padded - name: label value: SC-18(2) - name: label value: SC-18(02) class: sp800-53a - name: sort-id value: sc-18.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#sc-18' rel: required parts: - id: sc-18.2_smt name: statement prose: 'Verify that the acquisition, development, and use of mobile code to be deployed in the system meets {{ insert: param, sc-18.02_odp }}.' - id: sc-18.2_gdn name: guidance prose: None. - id: sc-18.2_obj name: assessment-objective props: - name: label value: SC-18(02) class: sp800-53a parts: - id: sc-18.2_obj-1 name: assessment-objective props: - name: label value: SC-18(02)[01] class: sp800-53a prose: 'the acquisition of mobile code to be deployed in the system meets {{ insert: param, sc-18.02_odp }};' links: - href: '#sc-18.2_smt' rel: assessment-for - id: sc-18.2_obj-2 name: assessment-objective props: - name: label value: SC-18(02)[02] class: sp800-53a prose: 'the development of mobile code to be deployed in the system meets {{ insert: param, sc-18.02_odp }};' links: - href: '#sc-18.2_smt' rel: assessment-for - id: sc-18.2_obj-3 name: assessment-objective props: - name: label value: SC-18(02)[03] class: sp800-53a prose: 'the use of mobile code to be deployed in the system meets {{ insert: param, sc-18.02_odp }}.' links: - href: '#sc-18.2_smt' rel: assessment-for links: - href: '#sc-18.2_smt' rel: assessment-for - id: sc-18.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-18(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing mobile code mobile code requirements mobile code usage restrictions mobile code implementation policy and procedures acquisition documentation acquisition contracts for system, system component, or system service system development life cycle documentation system security plan other relevant documents or records - id: sc-18.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-18(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with responsibilities for managing mobile code organizational personnel with acquisition and contracting responsibilities - id: sc-18.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-18(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for the acquisition, development, and use of mobile code - id: sc-18.3 class: SP800-53-enhancement title: Prevent Downloading and Execution params: - id: sc-18.03_odp props: - name: alt-identifier value: sc-18.3_prm_1 - name: label value: SC-18(03)_ODP class: sp800-53a label: unacceptable mobile code guidelines: - prose: unacceptable mobile code to be prevented from downloading and executing is defined; props: - name: label value: SC-18(03) class: zero-padded - name: label value: SC-18(3) - name: label value: SC-18(03) class: sp800-53a - name: sort-id value: sc-18.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-18' rel: required parts: - id: sc-18.3_smt name: statement prose: 'Prevent the download and execution of {{ insert: param, sc-18.03_odp }}.' - id: sc-18.3_gdn name: guidance prose: None. - id: sc-18.3_obj name: assessment-objective props: - name: label value: SC-18(03) class: sp800-53a parts: - id: sc-18.3_obj-1 name: assessment-objective props: - name: label value: SC-18(03)[01] class: sp800-53a prose: 'the download of {{ insert: param, sc-18.03_odp }} is prevented;' links: - href: '#sc-18.3_smt' rel: assessment-for - id: sc-18.3_obj-2 name: assessment-objective props: - name: label value: SC-18(03)[02] class: sp800-53a prose: 'the execution of {{ insert: param, sc-18.03_odp }} is prevented.' links: - href: '#sc-18.3_smt' rel: assessment-for links: - href: '#sc-18.3_smt' rel: assessment-for - id: sc-18.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-18(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing mobile code mobile code usage restrictions mobile code implementation 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-18.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-18(03)-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 mobile code - id: sc-18.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-18(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms preventing the download and execution of unacceptable mobile code - id: sc-18.4 class: SP800-53-enhancement title: Prevent Automatic Execution params: - id: sc-18.04_odp.01 props: - name: alt-identifier value: sc-18.4_prm_1 - name: label value: SC-18(04)_ODP[01] class: sp800-53a label: software applications guidelines: - prose: software applications in which the automatic execution of mobile code is to be prevented are defined; - id: sc-18.04_odp.02 props: - name: alt-identifier value: sc-18.4_prm_2 - name: label value: SC-18(04)_ODP[02] class: sp800-53a label: actions guidelines: - prose: actions to be enforced by the system prior to executing mobile code are defined; props: - name: label value: SC-18(04) class: zero-padded - name: label value: SC-18(4) - name: label value: SC-18(04) class: sp800-53a - name: sort-id value: sc-18.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-18' rel: required parts: - id: sc-18.4_smt name: statement prose: 'Prevent the automatic execution of mobile code in {{ insert: param, sc-18.04_odp.01 }} and enforce {{ insert: param, sc-18.04_odp.02 }} prior to executing the code.' - id: sc-18.4_gdn name: guidance prose: Actions enforced before executing mobile code include prompting users prior to opening email attachments or clicking on web links. Preventing the automatic execution of mobile code includes disabling auto-execute features on system components that employ portable storage devices, such as compact discs, digital versatile discs, and universal serial bus devices. - id: sc-18.4_obj name: assessment-objective props: - name: label value: SC-18(04) class: sp800-53a parts: - id: sc-18.4_obj-1 name: assessment-objective props: - name: label value: SC-18(04)[01] class: sp800-53a prose: 'the automatic execution of mobile code in {{ insert: param, sc-18.04_odp.01 }} is prevented;' links: - href: '#sc-18.4_smt' rel: assessment-for - id: sc-18.4_obj-2 name: assessment-objective props: - name: label value: SC-18(04)[02] class: sp800-53a prose: '{{ insert: param, sc-18.04_odp.02 }} are enforced prior to executing mobile code.' links: - href: '#sc-18.4_smt' rel: assessment-for links: - href: '#sc-18.4_smt' rel: assessment-for - id: sc-18.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-18(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing mobile code mobile code usage restrictions mobile code implementation policy and procedures system design documentation system configuration settings and associated documentation list of software applications in which the automatic execution of mobile code must be prohibited list of actions required before execution of mobile code system security plan other relevant documents or records - id: sc-18.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-18(04)-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 mobile code - id: sc-18.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-18(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms preventing the automatic execution of unacceptable mobile code mechanisms enforcing actions to be taken prior to the execution of the mobile code - id: sc-18.5 class: SP800-53-enhancement title: Allow Execution Only in Confined Environments props: - name: label value: SC-18(05) class: zero-padded - name: label value: SC-18(5) - name: label value: SC-18(05) class: sp800-53a - name: sort-id value: sc-18.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-18' rel: required - href: '#sc-44' rel: related - href: '#si-7' rel: related parts: - id: sc-18.5_smt name: statement prose: Allow execution of permitted mobile code only in confined virtual machine environments. - id: sc-18.5_gdn name: guidance prose: Permitting the execution of mobile code only in confined virtual machine environments helps prevent the introduction of malicious code into other systems and system components. - id: sc-18.5_obj name: assessment-objective props: - name: label value: SC-18(05) class: sp800-53a prose: execution of permitted mobile code is allowed only in confined virtual machine environments. links: - href: '#sc-18.5_smt' rel: assessment-for - id: sc-18.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-18(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing mobile code mobile code usage allowances mobile code usage restrictions system design documentation system configuration settings and associated documentation list of confined virtual machine environments in which the execution of organizationally acceptable mobile code is allowed system audit records system security plan other relevant documents or records - id: sc-18.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-18(05)-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 mobile code - id: sc-18.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-18(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms allowing for the execution of permitted mobile code in confined virtual machine environments - id: sc-19 class: SP800-53 title: Voice Over Internet Protocol props: - name: label value: SC-19 class: zero-padded - name: label value: SC-19 - name: label value: SC-19 class: sp800-53a - name: sort-id value: sc-19 - name: status value: withdrawn parts: - id: sc-19_smt name: statement prose: Technology-specific; addressed as any other technology or protocol. - id: sc-20 class: SP800-53 title: Secure Name/Address Resolution Service (Authoritative Source) props: - name: label value: SC-20 class: zero-padded - name: label value: SC-20 - name: label value: SC-20 class: sp800-53a - name: sort-id value: sc-20 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1' rel: reference - href: '#fe209006-bfd4-4033-a79a-9fee1adaf372' rel: reference - href: '#au-10' rel: related - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-21' rel: related - href: '#sc-22' rel: related parts: - id: sc-20_smt name: statement parts: - id: sc-20_smt.a name: item props: - name: 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: 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_obj name: assessment-objective props: - name: label value: SC-20 class: sp800-53a parts: - id: sc-20_obj.a name: assessment-objective props: - 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: 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: 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 controls: - id: sc-20.1 class: SP800-53-enhancement title: Child Subspaces props: - name: label value: SC-20(01) class: zero-padded - name: label value: SC-20(1) - name: label value: SC-20(01) class: sp800-53a - name: sort-id value: sc-20.01 - name: status value: withdrawn links: - href: '#sc-20' rel: incorporated-into - id: sc-20.2 class: SP800-53-enhancement title: Data Origin and Integrity props: - name: label value: SC-20(02) class: zero-padded - name: label value: SC-20(2) - name: label value: SC-20(02) class: sp800-53a - name: sort-id value: sc-20.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-20' rel: required parts: - id: sc-20.2_smt name: statement prose: Provide data origin and integrity protection artifacts for internal name/address resolution queries. - id: sc-20.2_gdn name: guidance prose: None. - id: sc-20.2_obj name: assessment-objective props: - name: label value: SC-20(02) class: sp800-53a parts: - id: sc-20.2_obj-1 name: assessment-objective props: - name: label value: SC-20(02)[01] class: sp800-53a prose: data origin artifacts are provided for internal name/address resolution queries; links: - href: '#sc-20.2_smt' rel: assessment-for - id: sc-20.2_obj-2 name: assessment-objective props: - name: label value: SC-20(02)[02] class: sp800-53a prose: integrity protection artifacts are provided for internal name/address resolution queries. links: - href: '#sc-20.2_smt' rel: assessment-for links: - href: '#sc-20.2_smt' rel: assessment-for - id: sc-20.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-20(02)-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 audit records system security plan other relevant documents or records - id: sc-20.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-20(02)-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-20.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-20(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing data origin and integrity protection for internal name/address resolution service queries - id: sc-21 class: SP800-53 title: Secure Name/Address Resolution Service (Recursive or Caching Resolver) props: - 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 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_obj name: assessment-objective props: - 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 controls: - id: sc-21.1 class: SP800-53-enhancement title: Data Origin and Integrity props: - name: label value: SC-21(01) class: zero-padded - name: label value: SC-21(1) - name: label value: SC-21(01) class: sp800-53a - name: sort-id value: sc-21.01 - name: status value: withdrawn links: - href: '#sc-21' rel: incorporated-into - id: sc-22 class: SP800-53 title: Architecture and Provisioning for Name/Address Resolution Service props: - name: label value: SC-22 class: zero-padded - name: label value: SC-22 - name: label value: SC-22 class: sp800-53a - name: sort-id value: sc-22 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#fe209006-bfd4-4033-a79a-9fee1adaf372' rel: reference - href: '#sc-2' rel: related - href: '#sc-20' rel: related - href: '#sc-21' rel: related - href: '#sc-24' rel: related parts: - id: sc-22_smt name: statement 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: label value: SC-22 class: sp800-53a parts: - id: sc-22_obj-1 name: assessment-objective props: - name: label value: SC-22[01] class: sp800-53a prose: the systems that collectively provide name/address resolution services for an organization are fault-tolerant; links: - href: '#sc-22_smt' rel: assessment-for - id: sc-22_obj-2 name: assessment-objective props: - name: label value: SC-22[02] class: sp800-53a prose: the systems that collectively provide name/address resolution services for an organization implement internal role separation; links: - href: '#sc-22_smt' rel: assessment-for - id: sc-22_obj-3 name: assessment-objective props: - name: label value: SC-22[03] class: sp800-53a prose: the systems that collectively provide name/address resolution services for an organization implement external role separation. links: - href: '#sc-22_smt' rel: assessment-for links: - href: '#sc-22_smt' rel: assessment-for - id: sc-22_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-22-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing architecture and provisioning for name/address resolution services access control policy and procedures system design documentation assessment results from independent testing organizations system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-22_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-22-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with responsibilities for managing DNS - id: sc-22_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-22-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing name/address resolution services for fault tolerance and role separation - id: sc-23 class: SP800-53 title: Session Authenticity props: - name: label value: SC-23 class: zero-padded - name: label value: SC-23 - name: label value: SC-23 class: sp800-53a - name: sort-id value: sc-23 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#7537638e-2837-407d-844b-40fb3fafdd99' rel: reference - href: '#d4d7c760-2907-403b-8b2a-767ca5370ecd' rel: reference - href: '#a6b9907a-2a14-4bb4-a142-d4c73026a8b4' rel: reference - href: '#6bc4d137-aece-42a8-8081-9ecb1ebe9fb4' rel: reference - href: '#au-10' rel: related - href: '#sc-8' rel: related - href: '#sc-10' rel: related - href: '#sc-11' rel: related parts: - id: sc-23_smt name: statement prose: Protect the authenticity of communications sessions. - id: sc-23_gdn name: guidance prose: Protecting session authenticity addresses communications protection at the session level, not at the packet level. Such protection establishes grounds for confidence at both ends of communications sessions in the ongoing identities of other parties and the validity of transmitted information. Authenticity protection includes protecting against "man-in-the-middle" attacks, session hijacking, and the insertion of false information into sessions. - id: sc-23_obj name: assessment-objective props: - name: label value: SC-23 class: sp800-53a prose: the authenticity of communication sessions is protected. links: - href: '#sc-23_smt' rel: assessment-for - id: sc-23_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-23-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing session authenticity system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-23_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-23-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: sc-23_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-23-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing session authenticity controls: - id: sc-23.1 class: SP800-53-enhancement title: Invalidate Session Identifiers at Logout props: - name: label value: SC-23(01) class: zero-padded - name: label value: SC-23(1) - name: label value: SC-23(01) class: sp800-53a - name: sort-id value: sc-23.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-23' rel: required parts: - id: sc-23.1_smt name: statement prose: Invalidate session identifiers upon user logout or other session termination. - id: sc-23.1_gdn name: guidance prose: Invalidating session identifiers at logout curtails the ability of adversaries to capture and continue to employ previously valid session IDs. - id: sc-23.1_obj name: assessment-objective props: - name: label value: SC-23(01) class: sp800-53a prose: session identifiers are invalidated upon user logout or other session termination. links: - href: '#sc-23.1_smt' rel: assessment-for - id: sc-23.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-23(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing session authenticity system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-23.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-23(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: sc-23.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-23(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing session identifier invalidation upon session termination - id: sc-23.2 class: SP800-53-enhancement title: User-initiated Logouts and Message Displays props: - name: label value: SC-23(02) class: zero-padded - name: label value: SC-23(2) - name: label value: SC-23(02) class: sp800-53a - name: sort-id value: sc-23.02 - name: status value: withdrawn links: - href: '#ac-12.1' rel: incorporated-into - id: sc-23.3 class: SP800-53-enhancement title: Unique System-generated Session Identifiers params: - id: sc-23.03_odp props: - name: alt-identifier value: sc-23.3_prm_1 - name: label value: SC-23(03)_ODP class: sp800-53a label: randomness requirements guidelines: - prose: randomness requirements for generating a unique session identifier for each session are defined; props: - name: label value: SC-23(03) class: zero-padded - name: label value: SC-23(3) - name: label value: SC-23(03) class: sp800-53a - name: sort-id value: sc-23.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-23' rel: required - href: '#ac-10' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: sc-23.3_smt name: statement prose: 'Generate a unique session identifier for each session with {{ insert: param, sc-23.03_odp }} and recognize only session identifiers that are system-generated.' - id: sc-23.3_gdn name: guidance prose: Generating unique session identifiers curtails the ability of adversaries to reuse previously valid session IDs. Employing the concept of randomness in the generation of unique session identifiers protects against brute-force attacks to determine future session identifiers. - id: sc-23.3_obj name: assessment-objective props: - name: label value: SC-23(03) class: sp800-53a parts: - id: sc-23.3_obj-1 name: assessment-objective props: - name: label value: SC-23(03)[01] class: sp800-53a prose: 'a unique session identifier is generated for each session with {{ insert: param, sc-23.03_odp }};' links: - href: '#sc-23.3_smt' rel: assessment-for - id: sc-23.3_obj-2 name: assessment-objective props: - name: label value: SC-23(03)[02] class: sp800-53a prose: only system-generated session identifiers are recognized. links: - href: '#sc-23.3_smt' rel: assessment-for links: - href: '#sc-23.3_smt' rel: assessment-for - id: sc-23.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-23(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing session authenticity system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-23.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-23(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: sc-23.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-23(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting, implementing, generating, and monitoring unique session identifiers mechanisms supporting and/or implementing randomness requirements - id: sc-23.4 class: SP800-53-enhancement title: Unique Session Identifiers with Randomization props: - name: label value: SC-23(04) class: zero-padded - name: label value: SC-23(4) - name: label value: SC-23(04) class: sp800-53a - name: sort-id value: sc-23.04 - name: status value: withdrawn links: - href: '#sc-23.3' rel: incorporated-into - id: sc-23.5 class: SP800-53-enhancement title: Allowed Certificate Authorities params: - id: sc-23.05_odp props: - name: alt-identifier value: sc-23.5_prm_1 - name: alt-label value: certificate authorities class: sp800-53 - name: label value: SC-23(05)_ODP class: sp800-53a label: certificated authorities guidelines: - prose: certificate authorities to be allowed for verification of the establishment of protected sessions are defined; props: - name: label value: SC-23(05) class: zero-padded - name: label value: SC-23(5) - name: label value: SC-23(05) class: sp800-53a - name: sort-id value: sc-23.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-23' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: sc-23.5_smt name: statement prose: 'Only allow the use of {{ insert: param, sc-23.05_odp }} for verification of the establishment of protected sessions.' - id: sc-23.5_gdn name: guidance prose: Reliance on certificate authorities for the establishment of secure sessions includes the use of Transport Layer Security (TLS) certificates. These certificates, after verification by their respective certificate authorities, facilitate the establishment of protected sessions between web clients and web servers. - id: sc-23.5_obj name: assessment-objective props: - name: label value: SC-23(05) class: sp800-53a prose: 'only the use of {{ insert: param, sc-23.05_odp }} for verification of the establishment of protected sessions is allowed.' links: - href: '#sc-23.5_smt' rel: assessment-for - id: sc-23.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-23(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing session authenticity system design documentation system configuration settings and associated documentation list of certificate authorities allowed for verification of the establishment of protected sessions system audit records system security plan other relevant documents or records - id: sc-23.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-23(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: sc-23.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-23(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the management of certificate authorities - id: sc-24 class: SP800-53 title: Fail in Known State params: - id: sc-24_odp.01 props: - name: alt-identifier value: sc-24_prm_3 - name: alt-label value: list of organization-defined types of system failures on organization-defined system components class: sp800-53 - name: label value: SC-24_ODP[01] class: sp800-53a label: types of system failures on system components guidelines: - prose: types of system failures for which the system components fail to a known state are defined; - id: sc-24_odp.02 props: - name: alt-identifier value: sc-24_prm_1 - name: label value: SC-24_ODP[02] class: sp800-53a label: known system state guidelines: - prose: known system state to which system components fail in the event of a system failure is defined; - id: sc-24_odp.03 props: - name: alt-identifier value: sc-24_prm_2 - name: label value: SC-24_ODP[03] class: sp800-53a label: system state information guidelines: - prose: system state information to be preserved in the event of a system failure is defined; props: - name: label value: SC-24 class: zero-padded - name: label value: SC-24 - name: label value: SC-24 class: sp800-53a - name: sort-id value: sc-24 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cp-2' rel: related - href: '#cp-4' rel: related - href: '#cp-10' rel: related - href: '#cp-12' rel: related - href: '#sa-8' rel: related - href: '#sc-7' rel: related - href: '#sc-22' rel: related - href: '#si-13' rel: related parts: - id: sc-24_smt name: statement prose: 'Fail to a {{ insert: param, sc-24_odp.02 }} for the following failures on the indicated components while preserving {{ insert: param, sc-24_odp.03 }} in failure: {{ insert: param, sc-24_odp.01 }}.' - id: sc-24_gdn name: guidance prose: Failure in a known state addresses security concerns in accordance with the mission and business needs of organizations. Failure in a known state prevents the loss of confidentiality, integrity, or availability of information in the event of failures of organizational systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving system state information facilitates system restart and return to the operational mode with less disruption of mission and business processes. - id: sc-24_obj name: assessment-objective props: - name: label value: SC-24 class: sp800-53a prose: '{{ insert: param, sc-24_odp.01 }} fail to a {{ insert: param, sc-24_odp.02 }} while preserving {{ insert: param, sc-24_odp.03 }} in failure.' links: - href: '#sc-24_smt' rel: assessment-for - id: sc-24_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-24-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing system failure to known state system design documentation system configuration settings and associated documentation list of failures requiring system to fail in a known state state information to be preserved in system failure system audit records system security plan other relevant documents or records - id: sc-24_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-24-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer - id: sc-24_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-24-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing the fail in known state capability mechanisms preserving system state information in the event of a system failure - id: sc-25 class: SP800-53 title: Thin Nodes params: - id: sc-25_odp props: - name: alt-identifier value: sc-25_prm_1 - name: label value: SC-25_ODP class: sp800-53a label: system components guidelines: - prose: system components to be employed with minimal functionality and information storage are defined; props: - name: label value: SC-25 class: zero-padded - name: label value: SC-25 - name: label value: SC-25 class: sp800-53a - name: sort-id value: sc-25 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-30' rel: related - href: '#sc-44' rel: related parts: - id: sc-25_smt name: statement prose: 'Employ minimal functionality and information storage on the following system components: {{ insert: param, sc-25_odp }}.' - id: sc-25_gdn name: guidance prose: The deployment of system components with minimal functionality reduces the need to secure every endpoint and may reduce the exposure of information, systems, and services to attacks. Reduced or minimal functionality includes diskless nodes and thin client technologies. - id: sc-25_obj name: assessment-objective props: - name: label value: SC-25 class: sp800-53a parts: - id: sc-25_obj-1 name: assessment-objective props: - name: label value: SC-25[01] class: sp800-53a prose: 'minimal functionality for {{ insert: param, sc-25_odp }} is employed;' links: - href: '#sc-25_smt' rel: assessment-for - id: sc-25_obj-2 name: assessment-objective props: - name: label value: SC-25[02] class: sp800-53a prose: 'minimal information storage on {{ insert: param, sc-25_odp }} is allocated.' links: - href: '#sc-25_smt' rel: assessment-for links: - href: '#sc-25_smt' rel: assessment-for - id: sc-25_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-25-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing use of thin nodes system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-25_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-25-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: sc-25_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-25-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing thin nodes - id: sc-26 class: SP800-53 title: Decoys props: - name: label value: SC-26 class: zero-padded - name: label value: SC-26 - name: label value: SC-26 class: sp800-53a - name: sort-id value: sc-26 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ra-5' rel: related - href: '#sc-7' rel: related - href: '#sc-30' rel: related - href: '#sc-35' rel: related - href: '#sc-44' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related parts: - id: sc-26_smt name: statement prose: Include components within organizational systems specifically designed to be the target of malicious attacks for detecting, deflecting, and analyzing such attacks. - id: sc-26_gdn name: guidance prose: Decoys (i.e., honeypots, honeynets, or deception nets) are established to attract adversaries and deflect attacks away from the operational systems that support organizational mission and business functions. Use of decoys requires some supporting isolation measures to ensure that any deflected malicious code does not infect organizational systems. Depending on the specific usage of the decoy, consultation with the Office of the General Counsel before deployment may be needed. - id: sc-26_obj name: assessment-objective props: - name: label value: SC-26 class: sp800-53a parts: - id: sc-26_obj-1 name: assessment-objective props: - name: label value: SC-26[01] class: sp800-53a prose: components within organizational systems specifically designed to be the target of malicious attacks are included to detect such attacks; links: - href: '#sc-26_smt' rel: assessment-for - id: sc-26_obj-2 name: assessment-objective props: - name: label value: SC-26[02] class: sp800-53a prose: components within organizational systems specifically designed to be the target of malicious attacks are included to deflect such attacks; links: - href: '#sc-26_smt' rel: assessment-for - id: sc-26_obj-3 name: assessment-objective props: - name: label value: SC-26[03] class: sp800-53a prose: components within organizational systems specifically designed to be the target of malicious attacks are included to analyze such attacks. links: - href: '#sc-26_smt' rel: assessment-for links: - href: '#sc-26_smt' rel: assessment-for - id: sc-26_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-26-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing the use of decoys system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-26_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-26-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer - id: sc-26_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-26-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing decoys controls: - id: sc-26.1 class: SP800-53-enhancement title: Detection of Malicious Code props: - name: label value: SC-26(01) class: zero-padded - name: label value: SC-26(1) - name: label value: SC-26(01) class: sp800-53a - name: sort-id value: sc-26.01 - name: status value: withdrawn links: - href: '#sc-35' rel: incorporated-into - id: sc-27 class: SP800-53 title: Platform-independent Applications params: - id: sc-27_odp props: - name: alt-identifier value: sc-27_prm_1 - name: label value: SC-27_ODP class: sp800-53a label: platform-independent applications guidelines: - prose: platform-independent applications to be included within organizational systems are defined; props: - name: label value: SC-27 class: zero-padded - name: label value: SC-27 - name: label value: SC-27 class: sp800-53a - name: sort-id value: sc-27 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-29' rel: related parts: - id: sc-27_smt name: statement prose: 'Include within organizational systems the following platform independent applications: {{ insert: param, sc-27_odp }}.' - id: sc-27_gdn name: guidance prose: Platforms are combinations of hardware, firmware, and software components used to execute software applications. Platforms include operating systems, the underlying computer architectures, or both. Platform-independent applications are applications with the capability to execute on multiple platforms. Such applications promote portability and reconstitution on different platforms. Application portability and the ability to reconstitute on different platforms increase the availability of mission-essential functions within organizations in situations where systems with specific operating systems are under attack. - id: sc-27_obj name: assessment-objective props: - name: label value: SC-27 class: sp800-53a prose: '{{ insert: param, sc-27_odp }} are included within organizational systems.' links: - href: '#sc-27_smt' rel: assessment-for - id: sc-27_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-27-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing platform-independent applications system design documentation system configuration settings and associated documentation list of platform-independent applications system audit records system security plan other relevant documents or records - id: sc-27_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-27-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer - id: sc-27_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-27-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing platform-independent applications - 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: label value: SC-28 class: zero-padded - name: label value: SC-28 - name: label value: SC-28 class: sp800-53a - name: sort-id value: sc-28 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#20957dbb-6a1e-40a2-b38a-66f67d33ac2e' rel: reference - href: '#0d083d8a-5cc6-46f1-8d79-3081d42bcb75' rel: reference - href: '#eef62b16-c796-4554-955c-505824135b8a' rel: reference - href: '#110e26af-4765-49e1-8740-6750f83fcda1' rel: reference - href: '#e7942589-e267-4a5a-a3d9-f39a7aae81f0' rel: reference - href: '#8306620b-1920-4d73-8b21-12008528595f' rel: reference - href: '#22f2d4f0-4365-4e88-a30d-275c1f5473ea' rel: reference - href: '#0f66be67-85e7-4ca6-bd19-39453e9f4394' rel: reference - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-6' rel: related - href: '#ac-19' rel: related - href: '#ca-7' rel: related - href: '#cm-3' rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: '#cp-9' rel: related - href: '#mp-4' rel: related - href: '#mp-5' rel: related - href: '#pe-3' rel: related - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-34' rel: related - href: '#si-3' rel: related - href: '#si-7' rel: related - href: '#si-16' rel: related parts: - id: sc-28_smt name: statement 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_obj name: assessment-objective props: - 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 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 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_obj name: assessment-objective props: - 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-28.2 class: SP800-53-enhancement title: Offline Storage params: - id: sc-28.02_odp props: - name: alt-identifier value: sc-28.2_prm_1 - name: label value: SC-28(02)_ODP class: sp800-53a label: information guidelines: - prose: information to be removed from online storage and stored offline in a secure location is defined; props: - name: label value: SC-28(02) class: zero-padded - name: label value: SC-28(2) - name: label value: SC-28(02) class: sp800-53a - name: sort-id value: sc-28.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#sc-28' rel: required parts: - id: sc-28.2_smt name: statement prose: 'Remove the following information from online storage and store offline in a secure location: {{ insert: param, sc-28.02_odp }}.' - id: sc-28.2_gdn name: guidance prose: Removing organizational information from online storage to offline storage eliminates the possibility of individuals gaining unauthorized access to the information through a network. Therefore, organizations may choose to move information to offline storage in lieu of protecting such information in online storage. - id: sc-28.2_obj name: assessment-objective props: - name: label value: SC-28(02) class: sp800-53a parts: - id: sc-28.2_obj-1 name: assessment-objective props: - name: label value: SC-28(02)[01] class: sp800-53a prose: '{{ insert: param, sc-28.02_odp }} is removed from online storage;' links: - href: '#sc-28.2_smt' rel: assessment-for - id: sc-28.2_obj-2 name: assessment-objective props: - name: label value: SC-28(02)[02] class: sp800-53a prose: '{{ insert: param, sc-28.02_odp }} is stored offline in a secure location.' links: - href: '#sc-28.2_smt' rel: assessment-for links: - href: '#sc-28.2_smt' rel: assessment-for - id: sc-28.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-28(02)-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 offline storage locations for information at rest system audit records system security plan other relevant documents or records - id: sc-28.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-28(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: sc-28.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-28(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing the removal of information from online storage mechanisms supporting and/or implementing storage of information offline - id: sc-28.3 class: SP800-53-enhancement title: Cryptographic Keys params: - id: sc-28.03_odp.01 props: - name: alt-identifier value: sc-28.3_prm_1 - name: label value: SC-28(03)_ODP[01] class: sp800-53a select: choice: - '{{ insert: param, sc-28.03_odp.02 }} ' - hardware-protected key store - id: sc-28.03_odp.02 props: - name: alt-identifier value: sc-28.3_prm_2 - name: label value: SC-28(03)_ODP[02] class: sp800-53a label: safeguards guidelines: - prose: safeguards for protecting the storage of cryptographic keys are defined (if selected); props: - name: label value: SC-28(03) class: zero-padded - name: label value: SC-28(3) - name: label value: SC-28(03) class: sp800-53a - name: sort-id value: sc-28.03 - 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: '#sc-28' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: sc-28.3_smt name: statement prose: 'Provide protected storage for cryptographic keys {{ insert: param, sc-28.03_odp.01 }}.' - id: sc-28.3_gdn name: guidance prose: A Trusted Platform Module (TPM) is an example of a hardware-protected data store that can be used to protect cryptographic keys. - id: sc-28.3_obj name: assessment-objective props: - name: label value: SC-28(03) class: sp800-53a prose: 'protected storage for cryptographic keys is provided using {{ insert: param, sc-28.03_odp.01 }}.' links: - href: '#sc-28.3_smt' rel: assessment-for - id: sc-28.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-28(03)-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-28.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-28(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities - id: sc-28.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-28(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing hardware-based key store protection - id: sc-29 class: SP800-53 title: Heterogeneity params: - id: sc-29_odp props: - name: alt-identifier value: sc-29_prm_1 - name: label value: SC-29_ODP class: sp800-53a label: system components guidelines: - prose: system components requiring a diverse set of information technologies to be employed in the implementation of the system are defined; props: - name: label value: SC-29 class: zero-padded - name: label value: SC-29 - name: label value: SC-29 class: sp800-53a - name: sort-id value: sc-29 - 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-9' rel: related - href: '#pl-8' rel: related - href: '#sc-27' rel: related - href: '#sc-30' rel: related - href: '#sr-3' rel: related parts: - id: sc-29_smt name: statement prose: 'Employ a diverse set of information technologies for the following system components in the implementation of the system: {{ insert: param, sc-29_odp }}.' - id: sc-29_gdn name: guidance prose: Increasing the diversity of information technologies within organizational systems reduces the impact of potential exploitations or compromises of specific technologies. Such diversity protects against common mode failures, including those failures induced by supply chain attacks. Diversity in information technologies also reduces the likelihood that the means adversaries use to compromise one system component will be effective against other system components, thus further increasing the adversary work factor to successfully complete planned attacks. An increase in diversity may add complexity and management overhead that could ultimately lead to mistakes and unauthorized configurations. - id: sc-29_obj name: assessment-objective props: - name: label value: SC-29 class: sp800-53a prose: 'a diverse set of information technologies is employed for {{ insert: param, sc-29_odp }} in the implementation of the system.' links: - href: '#sc-29_smt' rel: assessment-for - id: sc-29_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-29-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy system design documentation system configuration settings and associated documentation list of technologies deployed in the system acquisition documentation acquisition contracts for system components or services system security plan other relevant documents or records - id: sc-29_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-29-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with system acquisition, development, and implementation responsibilities - id: sc-29_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-29-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the employment of a diverse set of information technologies controls: - id: sc-29.1 class: SP800-53-enhancement title: Virtualization Techniques params: - id: sc-29.01_odp props: - name: alt-identifier value: sc-29.1_prm_1 - name: label value: SC-29(01)_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency at which to change the diversity of operating systems and applications deployed using virtualization techniques is defined; props: - name: label value: SC-29(01) class: zero-padded - name: label value: SC-29(1) - name: label value: SC-29(01) class: sp800-53a - name: sort-id value: sc-29.01 - 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: '#sc-29' rel: required parts: - id: sc-29.1_smt name: statement prose: 'Employ virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed {{ insert: param, sc-29.01_odp }}.' - id: sc-29.1_gdn name: guidance prose: While frequent changes to operating systems and applications can pose significant configuration management challenges, the changes can result in an increased work factor for adversaries to conduct successful attacks. Changing virtual operating systems or applications, as opposed to changing actual operating systems or applications, provides virtual changes that impede attacker success while reducing configuration management efforts. Virtualization techniques can assist in isolating untrustworthy software or software of dubious provenance into confined execution environments. - id: sc-29.1_obj name: assessment-objective props: - name: label value: SC-29(01) class: sp800-53a prose: 'virtualization techniques are employed to support the deployment of a diverse range of operating systems and applications that are changed {{ insert: param, sc-29.01_odp }}.' links: - href: '#sc-29.1_smt' rel: assessment-for - id: sc-29.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-29(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy configuration management policy and procedures system design documentation system configuration settings and associated documentation system architecture list of operating systems and applications deployed using virtualization techniques change control records configuration management records system audit records system security plan other relevant documents or records - id: sc-29.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-29(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with responsibilities for implementing approved virtualization techniques to the system - id: sc-29.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-29(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing the employment of a diverse set of information technologies mechanisms supporting and/or implementing virtualization techniques - id: sc-30 class: SP800-53 title: Concealment and Misdirection params: - id: sc-30_odp.01 props: - name: alt-identifier value: sc-30_prm_3 - name: label value: SC-30_ODP[01] class: sp800-53a label: concealment and misdirection techniques guidelines: - prose: concealment and misdirection techniques to be employed to confuse and mislead adversaries potentially targeting systems are defined; - id: sc-30_odp.02 props: - name: alt-identifier value: sc-30_prm_1 - name: label value: SC-30_ODP[02] class: sp800-53a label: systems guidelines: - prose: systems for which concealment and misdirection techniques are to be employed are defined; - id: sc-30_odp.03 props: - name: alt-identifier value: sc-30_prm_2 - name: label value: SC-30_ODP[03] class: sp800-53a label: time periods guidelines: - prose: time periods to employ concealment and misdirection techniques for systems are defined; props: - name: label value: SC-30 class: zero-padded - name: label value: SC-30 - name: label value: SC-30 class: sp800-53a - name: sort-id value: sc-30 - 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-6' rel: related - href: '#sc-25' rel: related - href: '#sc-26' rel: related - href: '#sc-29' rel: related - href: '#sc-44' rel: related - href: '#si-14' rel: related parts: - id: sc-30_smt name: statement prose: 'Employ the following concealment and misdirection techniques for {{ insert: param, sc-30_odp.02 }} at {{ insert: param, sc-30_odp.03 }} to confuse and mislead adversaries: {{ insert: param, sc-30_odp.01 }}.' - id: sc-30_gdn name: guidance prose: Concealment and misdirection techniques can significantly reduce the targeting capabilities of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete attacks. For example, virtualization techniques provide organizations with the ability to disguise systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. The increased use of concealment and misdirection techniques and methods—including randomness, uncertainty, and virtualization—may sufficiently confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing tradecraft. Concealment and misdirection techniques may provide additional time to perform core mission and business functions. The implementation of concealment and misdirection techniques may add to the complexity and management overhead required for the system. - id: sc-30_obj name: assessment-objective props: - name: label value: SC-30 class: sp800-53a prose: '{{ insert: param, sc-30_odp.01 }} are employed for {{ insert: param, sc-30_odp.02 }} for {{ insert: param, sc-30_odp.03 }} to confuse and mislead adversaries.' links: - href: '#sc-30_smt' rel: assessment-for - id: sc-30_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-30-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing concealment and misdirection techniques for the system system design documentation system configuration settings and associated documentation system architecture list of concealment and misdirection techniques to be employed for organizational systems system audit records system security plan other relevant documents or records - id: sc-30_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-30-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with the responsibility to implement concealment and misdirection techniques for systems - id: sc-30_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-30-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing concealment and misdirection techniques controls: - id: sc-30.1 class: SP800-53-enhancement title: Virtualization Techniques props: - name: label value: SC-30(01) class: zero-padded - name: label value: SC-30(1) - name: label value: SC-30(01) class: sp800-53a - name: sort-id value: sc-30.01 - name: status value: withdrawn links: - href: '#sc-29.1' rel: incorporated-into - id: sc-30.2 class: SP800-53-enhancement title: Randomness params: - id: sc-30.02_odp props: - name: alt-identifier value: sc-30.2_prm_1 - name: label value: SC-30(02)_ODP class: sp800-53a label: techniques guidelines: - prose: techniques employed to introduce randomness into organizational operations and assets are defined; props: - name: label value: SC-30(02) class: zero-padded - name: label value: SC-30(2) - name: label value: SC-30(02) class: sp800-53a - name: sort-id value: sc-30.02 - 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: '#sc-30' rel: required parts: - id: sc-30.2_smt name: statement prose: 'Employ {{ insert: param, sc-30.02_odp }} to introduce randomness into organizational operations and assets.' - id: sc-30.2_gdn name: guidance prose: Randomness introduces increased levels of uncertainty for adversaries regarding the actions that organizations take to defend their systems against attacks. Such actions may impede the ability of adversaries to correctly target information resources of organizations that support critical missions or business functions. Uncertainty may also cause adversaries to hesitate before initiating or continuing attacks. Misdirection techniques that involve randomness include performing certain routine actions at different times of day, employing different information technologies, using different suppliers, and rotating roles and responsibilities of organizational personnel. - id: sc-30.2_obj name: assessment-objective props: - name: label value: SC-30(02) class: sp800-53a prose: '{{ insert: param, sc-30.02_odp }} are employed to introduce randomness into organizational operations and assets.' links: - href: '#sc-30.2_smt' rel: assessment-for - id: sc-30.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-30(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing concealment and misdirection techniques for the system system design documentation system configuration settings and associated documentation system architecture list of techniques to be employed to introduce randomness into organizational operations and assets system audit records system security plan other relevant documents or records - id: sc-30.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-30(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with the responsibility to implement concealment and misdirection techniques for systems - id: sc-30.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-30(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing randomness as a concealment and misdirection technique - id: sc-30.3 class: SP800-53-enhancement title: Change Processing and Storage Locations params: - id: sc-30.03_odp.01 props: - name: alt-identifier value: sc-30.3_prm_1 - name: label value: SC-30(03)_ODP[01] class: sp800-53a label: processing and/or storage guidelines: - prose: processing and/or storage locations to be changed are defined; - id: sc-30.03_odp.02 props: - name: alt-identifier value: sc-30.3_prm_2 - name: label value: SC-30(03)_ODP[02] class: sp800-53a select: choice: - '{{ insert: param, sc-30.03_odp.03 }} ' - random time intervals - id: sc-30.03_odp.03 props: - name: alt-identifier value: sc-30.3_prm_3 - name: label value: SC-30(03)_ODP[03] class: sp800-53a label: time frequency guidelines: - prose: time frequency at which to change the location of processing and/or storage is defined (if selected); props: - name: label value: SC-30(03) class: zero-padded - name: label value: SC-30(3) - name: label value: SC-30(03) class: sp800-53a - name: sort-id value: sc-30.03 - 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: '#sc-30' rel: required parts: - id: sc-30.3_smt name: statement prose: 'Change the location of {{ insert: param, sc-30.03_odp.01 }} {{ insert: param, sc-30.03_odp.02 }}].' - id: sc-30.3_gdn name: guidance prose: Adversaries target critical mission and business functions and the systems that support those mission and business functions while also trying to minimize the exposure of their existence and tradecraft. The static, homogeneous, and deterministic nature of organizational systems targeted by adversaries make such systems more susceptible to attacks with less adversary cost and effort to be successful. Changing processing and storage locations (also referred to as moving target defense) addresses the advanced persistent threat using techniques such as virtualization, distributed processing, and replication. This enables organizations to relocate the system components (i.e., processing, storage) that support critical mission and business functions. Changing the locations of processing activities and/or storage sites introduces a degree of uncertainty into the targeting activities of adversaries. The targeting uncertainty increases the work factor of adversaries and makes compromises or breaches of the organizational systems more difficult and time-consuming. It also increases the chances that adversaries may inadvertently disclose certain aspects of their tradecraft while attempting to locate critical organizational resources. - id: sc-30.3_obj name: assessment-objective props: - name: label value: SC-30(03) class: sp800-53a prose: 'the location of {{ insert: param, sc-30.03_odp.01 }} is changed {{ insert: param, sc-30.03_odp.02 }}.' links: - href: '#sc-30.3_smt' rel: assessment-for - id: sc-30.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-30(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy configuration management policy and procedures procedures addressing concealment and misdirection techniques for the system list of processing/storage locations to be changed at organizational time intervals change control records configuration management records system audit records system security plan other relevant documents or records - id: sc-30.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-30(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with the responsibility to change processing and/or storage locations - id: sc-30.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-30(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing changing processing and/or storage locations - id: sc-30.4 class: SP800-53-enhancement title: Misleading Information params: - id: sc-30.04_odp props: - name: alt-identifier value: sc-30.4_prm_1 - name: label value: SC-30(04)_ODP class: sp800-53a label: system components guidelines: - prose: system components for which realistic but misleading information about their security state or posture is employed are defined; props: - name: label value: SC-30(04) class: zero-padded - name: label value: SC-30(4) - name: label value: SC-30(04) class: sp800-53a - name: sort-id value: sc-30.04 - 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: '#sc-30' rel: required parts: - id: sc-30.4_smt name: statement prose: 'Employ realistic, but misleading information in {{ insert: param, sc-30.04_odp }} about its security state or posture.' - id: sc-30.4_gdn name: guidance prose: Employing misleading information is intended to confuse potential adversaries regarding the nature and extent of controls deployed by organizations. Thus, adversaries may employ incorrect and ineffective attack techniques. One technique for misleading adversaries is for organizations to place misleading information regarding the specific controls deployed in external systems that are known to be targeted by adversaries. Another technique is the use of deception nets that mimic actual aspects of organizational systems but use, for example, out-of-date software configurations. - id: sc-30.4_obj name: assessment-objective props: - name: label value: SC-30(04) class: sp800-53a prose: 'realistic but misleading information about the security state or posture of {{ insert: param, sc-30.04_odp }} is employed.' links: - href: '#sc-30.4_smt' rel: assessment-for - id: sc-30.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-30(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy configuration management policy and procedures procedures addressing concealment and misdirection techniques for the system system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-30.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-30(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with the responsibility to define and employ realistic but misleading information about the security posture of system components - id: sc-30.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-30(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the employment of realistic but misleading information about the security posture of system components - id: sc-30.5 class: SP800-53-enhancement title: Concealment of System Components params: - id: sc-30.05_odp.01 props: - name: alt-identifier value: sc-30.5_prm_2 - name: label value: SC-30(05)_ODP[01] class: sp800-53a label: techniques guidelines: - prose: techniques to be employed to hide or conceal system components are defined; - id: sc-30.05_odp.02 props: - name: alt-identifier value: sc-30.5_prm_1 - name: label value: SC-30(05)_ODP[02] class: sp800-53a label: system components guidelines: - prose: system components to be hidden or concealed using techniques (defined in SC-30(05)_ODP[01]) are defined; props: - name: label value: SC-30(05) class: zero-padded - name: label value: SC-30(5) - name: label value: SC-30(05) class: sp800-53a - name: sort-id value: sc-30.05 - 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: '#sc-30' rel: required parts: - id: sc-30.5_smt name: statement prose: 'Employ the following techniques to hide or conceal {{ insert: param, sc-30.05_odp.02 }}: {{ insert: param, sc-30.05_odp.01 }}.' - id: sc-30.5_gdn name: guidance prose: By hiding, disguising, or concealing critical system components, organizations may be able to decrease the probability that adversaries target and successfully compromise those assets. Potential means to hide, disguise, or conceal system components include the configuration of routers or the use of encryption or virtualization techniques. - id: sc-30.5_obj name: assessment-objective props: - name: label value: SC-30(05) class: sp800-53a prose: '{{ insert: param, sc-30.05_odp.01 }} are employed to hide or conceal {{ insert: param, sc-30.05_odp.02 }}.' links: - href: '#sc-30.5_smt' rel: assessment-for - id: sc-30.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-30(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy configuration management policy and procedures procedures addressing concealment and misdirection techniques for the system system design documentation system configuration settings and associated documentation list of techniques employed to hide or conceal system components list of system components to be hidden or concealed system security plan other relevant documents or records - id: sc-30.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-30(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with the responsibility to conceal system components - id: sc-30.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-30(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing techniques for the concealment of system components - id: sc-31 class: SP800-53 title: Covert Channel Analysis params: - id: sc-31_odp props: - name: alt-identifier value: sc-31_prm_1 - name: label value: SC-31_ODP class: sp800-53a select: how-many: one-or-more choice: - storage - timing props: - name: label value: SC-31 class: zero-padded - name: label value: SC-31 - name: label value: SC-31 class: sp800-53a - name: sort-id value: sc-31 - 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-3' rel: related - href: '#ac-4' rel: related - href: '#sa-8' rel: related - href: '#si-11' rel: related parts: - id: sc-31_smt name: statement parts: - id: sc-31_smt.a name: item props: - name: label value: a. prose: 'Perform a covert channel analysis to identify those aspects of communications within the system that are potential avenues for covert {{ insert: param, sc-31_odp }} channels; and' - id: sc-31_smt.b name: item props: - name: label value: b. prose: Estimate the maximum bandwidth of those channels. - id: sc-31_gdn name: guidance prose: Developers are in the best position to identify potential areas within systems that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, such as in the case of systems that contain export-controlled information and have connections to external networks (i.e., networks that are not controlled by organizations). Covert channel analysis is also useful for multilevel secure systems, multiple security level systems, and cross-domain systems. - id: sc-31_obj name: assessment-objective props: - name: label value: SC-31 class: sp800-53a parts: - id: sc-31_obj.a name: assessment-objective props: - name: label value: SC-31a. class: sp800-53a prose: 'a covert channel analysis is performed to identify those aspects of communications within the system that are potential avenues for covert {{ insert: param, sc-31_odp }} channels;' links: - href: '#sc-31_smt.a' rel: assessment-for - id: sc-31_obj.b name: assessment-objective props: - name: label value: SC-31b. class: sp800-53a prose: the maximum bandwidth of those channels is estimated. links: - href: '#sc-31_smt.b' rel: assessment-for links: - href: '#sc-31_smt' rel: assessment-for - id: sc-31_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-31-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing covert channel analysis system design documentation system configuration settings and associated documentation covert channel analysis documentation system audit records system security plan other relevant documents or records - id: sc-31_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-31-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with covert channel analysis responsibilities system developers/integrators - id: sc-31_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-31-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational process for conducting covert channel analysis mechanisms supporting and/or implementing covert channel analysis mechanisms supporting and/or implementing the capability to estimate the bandwidth of covert channels controls: - id: sc-31.1 class: SP800-53-enhancement title: Test Covert Channels for Exploitability props: - name: label value: SC-31(01) class: zero-padded - name: label value: SC-31(1) - name: label value: SC-31(01) class: sp800-53a - name: sort-id value: sc-31.01 - 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: '#sc-31' rel: required parts: - id: sc-31.1_smt name: statement prose: Test a subset of the identified covert channels to determine the channels that are exploitable. - id: sc-31.1_gdn name: guidance prose: None. - id: sc-31.1_obj name: assessment-objective props: - name: label value: SC-31(01) class: sp800-53a prose: a subset of the identified covert channels is tested to determine the channels that are exploitable. links: - href: '#sc-31.1_smt' rel: assessment-for - id: sc-31.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-31(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing covert channel analysis system design documentation system configuration settings and associated documentation list of covert channels covert channel analysis documentation system audit records system security plan other relevant documents or records - id: sc-31.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-31(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with covert channel analysis responsibilities - id: sc-31.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-31(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational process for testing covert channels mechanisms supporting and/or implementing the testing of covert channel analysis - id: sc-31.2 class: SP800-53-enhancement title: Maximum Bandwidth params: - id: sc-31.02_odp.01 props: - name: alt-identifier value: sc-31.2_prm_1 - name: label value: SC-31(02)_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - storage - timing - id: sc-31.02_odp.02 props: - name: alt-identifier value: sc-31.2_prm_2 - name: label value: SC-31(02)_ODP[02] class: sp800-53a label: values guidelines: - prose: values for the maximum bandwidth for identified covert channels are defined; props: - name: label value: SC-31(02) class: zero-padded - name: label value: SC-31(2) - name: label value: SC-31(02) class: sp800-53a - name: sort-id value: sc-31.02 - 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: '#sc-31' rel: required parts: - id: sc-31.2_smt name: statement prose: 'Reduce the maximum bandwidth for identified covert {{ insert: param, sc-31.02_odp.01 }} channels to {{ insert: param, sc-31.02_odp.02 }}.' - id: sc-31.2_gdn name: guidance prose: The complete elimination of covert channels, especially covert timing channels, is usually not possible without significant performance impacts. - id: sc-31.2_obj name: assessment-objective props: - name: label value: SC-31(02) class: sp800-53a prose: 'the maximum bandwidth for identified covert {{ insert: param, sc-31.02_odp.01 }} channels is reduced to {{ insert: param, sc-31.02_odp.02 }}.' links: - href: '#sc-31.2_smt' rel: assessment-for - id: sc-31.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-31(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing covert channel analysis acquisition contracts for systems or services acquisition documentation system design documentation system configuration settings and associated documentation covert channel analysis documentation system audit records system security plan other relevant documents or records - id: sc-31.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-31(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with covert channel analysis responsibilities system developers/integrators - id: sc-31.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-31(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational process for conducting covert channel analysis mechanisms supporting and/or implementing covert channel analysis mechanisms supporting and/or implementing the capability to reduce the bandwidth of covert channels - id: sc-31.3 class: SP800-53-enhancement title: Measure Bandwidth in Operational Environments params: - id: sc-31.03_odp props: - name: alt-identifier value: sc-31.3_prm_1 - name: label value: SC-31(03)_ODP class: sp800-53a label: subset of identified covert channels guidelines: - prose: subset of identified covert channels whose bandwidth is to be measured in the operational environment of the system is defined; props: - name: label value: SC-31(03) class: zero-padded - name: label value: SC-31(3) - name: label value: SC-31(03) class: sp800-53a - name: sort-id value: sc-31.03 - 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: '#sc-31' rel: required parts: - id: sc-31.3_smt name: statement prose: 'Measure the bandwidth of {{ insert: param, sc-31.03_odp }} in the operational environment of the system.' - id: sc-31.3_gdn name: guidance prose: Measuring covert channel bandwidth in specified operational environments helps organizations determine how much information can be covertly leaked before such leakage adversely affects mission or business functions. Covert channel bandwidth may be significantly different when measured in settings that are independent of the specific environments of operation, including laboratories or system development environments. - id: sc-31.3_obj name: assessment-objective props: - name: label value: SC-31(03) class: sp800-53a prose: 'the bandwidth of {{ insert: param, sc-31.03_odp }} is measured in the operational environment of the system.' links: - href: '#sc-31.3_smt' rel: assessment-for - id: sc-31.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-31(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing covert channel analysis system design documentation system configuration settings and associated documentation covert channel analysis documentation system audit records system security plan other relevant documents or records - id: sc-31.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-31(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel with covert channel analysis responsibilities system developers/integrators - id: sc-31.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-31(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational process for conducting covert channel analysis mechanisms supporting and/or implementing covert channel analysis mechanisms supporting and/or implementing the capability to measure the bandwidth of covert channels - id: sc-32 class: SP800-53 title: System Partitioning params: - id: sc-32_odp.01 props: - name: alt-identifier value: sc-32_prm_1 - name: label value: SC-32_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components to reside in separate physical or logical domains or environments based on circumstances for the physical or logical separation of components are defined; - id: sc-32_odp.02 props: - name: alt-identifier value: sc-32_prm_2 - name: label value: SC-32_ODP[02] class: sp800-53a select: choice: - physical - logical - id: sc-32_odp.03 props: - name: alt-identifier value: sc-32_prm_3 - name: alt-label value: circumstances for physical or logical separation of components class: sp800-53 - name: label value: SC-32_ODP[03] class: sp800-53a label: circumstances for the physical or logical separation of components guidelines: - prose: circumstances for the physical or logical separation of components are defined; props: - name: label value: SC-32 class: zero-padded - name: label value: SC-32 - name: label value: SC-32 class: sp800-53a - name: sort-id value: sc-32 - 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: '#628d22a1-6a11-4784-bc59-5cd9497b5445' rel: reference - href: '#d4296805-2dca-4c63-a95f-eeccaa826aec' rel: reference - href: '#ac-4' rel: related - href: '#ac-6' rel: related - href: '#sa-8' rel: related - href: '#sc-2' rel: related - href: '#sc-3' rel: related - href: '#sc-7' rel: related - href: '#sc-36' rel: related parts: - id: sc-32_smt name: statement prose: 'Partition the system into {{ insert: param, sc-32_odp.01 }} residing in separate {{ insert: param, sc-32_odp.02 }} domains or environments based on {{ insert: param, sc-32_odp.03 }}.' - id: sc-32_gdn name: guidance prose: System partitioning is part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components. Physical separation options include physically distinct components in separate racks in the same room, critical components in separate rooms, and geographical separation of critical components. Security categorization can guide the selection of candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned system components. - id: sc-32_obj name: assessment-objective props: - name: label value: SC-32 class: sp800-53a prose: 'the system is partitioned into {{ insert: param, sc-32_odp.01 }} residing in separate {{ insert: param, sc-32_odp.02 }} domains or environments based on {{ insert: param, sc-32_odp.03 }}.' links: - href: '#sc-32_smt' rel: assessment-for - id: sc-32_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-32-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing system partitioning system design documentation system configuration settings and associated documentation system architecture list of system physical domains (or environments) system facility diagrams system network diagrams system security plan other relevant documents or records - id: sc-32_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-32-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 system developers/integrators - id: sc-32_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-32-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the physical separation of system components controls: - id: sc-32.1 class: SP800-53-enhancement title: Separate Physical Domains for Privileged Functions props: - name: label value: SC-32(01) class: zero-padded - name: label value: SC-32(1) - name: label value: SC-32(01) class: sp800-53a - name: sort-id value: sc-32.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sc-32' rel: required parts: - id: sc-32.1_smt name: statement prose: Partition privileged functions into separate physical domains. - id: sc-32.1_gdn name: guidance prose: Privileged functions that operate in a single physical domain may represent a single point of failure if that domain becomes compromised or experiences a denial of service. - id: sc-32.1_obj name: assessment-objective props: - name: label value: SC-32(01) class: sp800-53a prose: privileged functions are partitioned into separate physical domains. links: - href: '#sc-32.1_smt' rel: assessment-for - id: sc-32.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-32-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing system partitioning system design documentation system configuration settings and associated documentation system architecture list of system physical domains (or environments) system facility diagrams system network diagrams system security plan other relevant documents or records - id: sc-32.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-32-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 system developers/integrators - id: sc-32.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-32-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the physical separation of system components - id: sc-33 class: SP800-53 title: Transmission Preparation Integrity props: - name: label value: SC-33 class: zero-padded - name: label value: SC-33 - name: label value: SC-33 class: sp800-53a - name: sort-id value: sc-33 - name: status value: withdrawn links: - href: '#sc-8' rel: incorporated-into - id: sc-34 class: SP800-53 title: Non-modifiable Executable Programs params: - id: sc-34_odp.01 props: - name: alt-identifier value: sc-34_prm_1 - name: label value: SC-34_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components for which the operating environment and applications are to be loaded and executed from hardware-enforced, read-only media are defined; - id: sc-34_odp.02 props: - name: alt-identifier value: sc-34_prm_2 - name: label value: SC-34_ODP[02] class: sp800-53a label: applications guidelines: - prose: applications to be loaded and executed from hardware-enforced, read-only media are defined; props: - name: label value: SC-34 class: zero-padded - name: label value: SC-34 - name: label value: SC-34 class: sp800-53a - name: sort-id value: sc-34 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ac-3' rel: related - href: '#si-7' rel: related - href: '#si-14' rel: related parts: - id: sc-34_smt name: statement prose: 'For {{ insert: param, sc-34_odp.01 }} , load and execute:' parts: - id: sc-34_smt.a name: item props: - name: label value: a. prose: The operating environment from hardware-enforced, read-only media; and - id: sc-34_smt.b name: item props: - name: label value: b. prose: 'The following applications from hardware-enforced, read-only media: {{ insert: param, sc-34_odp.02 }}.' - id: sc-34_gdn name: guidance prose: The operating environment for a system contains the code that hosts applications, including operating systems, executives, or virtual machine monitors (i.e., hypervisors). It can also include certain applications that run directly on hardware platforms. Hardware-enforced, read-only media include Compact Disc-Recordable (CD-R) and Digital Versatile Disc-Recordable (DVD-R) disk drives as well as one-time, programmable, read-only memory. The use of non-modifiable storage ensures the integrity of software from the point of creation of the read-only image. The use of reprogrammable, read-only memory can be accepted as read-only media provided that integrity can be adequately protected from the point of initial writing to the insertion of the memory into the system, and there are reliable hardware protections against reprogramming the memory while installed in organizational systems. - id: sc-34_obj name: assessment-objective props: - name: label value: SC-34 class: sp800-53a parts: - id: sc-34_obj.a name: assessment-objective props: - name: label value: SC-34a. class: sp800-53a prose: 'the operating environment for {{ insert: param, sc-34_odp.01 }} is loaded and executed from hardware-enforced, read-only media;' links: - href: '#sc-34_smt.a' rel: assessment-for - id: sc-34_obj.b name: assessment-objective props: - name: label value: SC-34b. class: sp800-53a prose: '{{ insert: param, sc-34_odp.02 }} for {{ insert: param, sc-34_odp.01 }} are loaded and executed from hardware-enforced, read-only media.' links: - href: '#sc-34_smt.b' rel: assessment-for links: - href: '#sc-34_smt' rel: assessment-for - id: sc-34_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-34-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing non-modifiable executable programs system design documentation system configuration settings and associated documentation system architecture list of operating system components to be loaded from hardware-enforced, read-only media list of applications to be loaded from hardware-enforced, read-only media media used to load and execute the system operating environment media used to load and execute system applications system audit records system security plan other relevant documents or records - id: sc-34_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-34-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer organizational personnel installing, configuring, and/or maintaining the system system developers/integrators - id: sc-34_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-34-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing, loading, and executing the operating environment from hardware-enforced, read-only media mechanisms supporting and/or implementing, loading, and executing applications from hardware-enforced, read-only media controls: - id: sc-34.1 class: SP800-53-enhancement title: No Writable Storage params: - id: sc-34.01_odp props: - name: alt-identifier value: sc-34.1_prm_1 - name: label value: SC-34(01)_ODP class: sp800-53a label: system components guidelines: - prose: system components to be employed with no writeable storage are defined; props: - name: label value: SC-34(01) class: zero-padded - name: label value: SC-34(1) - name: label value: SC-34(01) class: sp800-53a - name: sort-id value: sc-34.01 - 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: '#sc-34' rel: required - href: '#ac-19' rel: related - href: '#mp-7' rel: related parts: - id: sc-34.1_smt name: statement prose: 'Employ {{ insert: param, sc-34.01_odp }} with no writeable storage that is persistent across component restart or power on/off.' - id: sc-34.1_gdn name: guidance prose: Disallowing writeable storage eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated system components. The restriction applies to fixed and removable storage, with the latter being addressed either directly or as specific restrictions imposed through access controls for mobile devices. - id: sc-34.1_obj name: assessment-objective props: - name: label value: SC-34(01) class: sp800-53a prose: '{{ insert: param, sc-34.01_odp }} are employed with no writeable storage that is persistent across component restart or power on/off.' links: - href: '#sc-34.1_smt' rel: assessment-for - id: sc-34.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-34(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing non-modifiable executable programs system design documentation system configuration settings and associated documentation system architecture list of system components to be employed without writeable storage capabilities system audit records system security plan other relevant documents or records - id: sc-34.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-34(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system system developers/integrators - id: sc-34.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-34(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing the employment of components with no writeable storage mechanisms supporting and/or implementing persistent non-writeable storage across component restart and power on/off - id: sc-34.2 class: SP800-53-enhancement title: Integrity Protection on Read-only Media props: - name: label value: SC-34(02) class: zero-padded - name: label value: SC-34(2) - name: label value: SC-34(02) class: sp800-53a - name: sort-id value: sc-34.02 - 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: '#sc-34' rel: required - href: '#cm-3' rel: related - href: '#cm-5' rel: related - href: '#cm-9' rel: related - href: '#mp-2' rel: related - href: '#mp-4' rel: related - href: '#mp-5' rel: related - href: '#sc-28' rel: related - href: '#si-3' rel: related parts: - id: sc-34.2_smt name: statement prose: Protect the integrity of information prior to storage on read-only media and control the media after such information has been recorded onto the media. - id: sc-34.2_gdn name: guidance prose: Controls prevent the substitution of media into systems or the reprogramming of programmable read-only media prior to installation into the systems. Integrity protection controls include a combination of prevention, detection, and response. - id: sc-34.2_obj name: assessment-objective props: - name: label value: SC-34(02) class: sp800-53a parts: - id: sc-34.2_obj-1 name: assessment-objective props: - name: label value: SC-34(02)[01] class: sp800-53a prose: the integrity of information is protected prior to storage on read-only media; links: - href: '#sc-34.2_smt' rel: assessment-for - id: sc-34.2_obj-2 name: assessment-objective props: - name: label value: SC-34(02)[02] class: sp800-53a prose: the media is controlled after such information has been recorded onto the media; links: - href: '#sc-34.2_smt' rel: assessment-for links: - href: '#sc-34.2_smt' rel: assessment-for - id: sc-34.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-34(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing non-modifiable executable programs system design documentation system configuration settings and associated documentation system architecture system audit records system security plan other relevant documents or records - id: sc-34.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-34(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system system developers/integrators - id: sc-34.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-34(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the capability to protect information integrity on read-only media prior to storage and after information has been recorded onto the media - id: sc-34.3 class: SP800-53-enhancement title: Hardware-based Protection props: - name: label value: SC-34(03) class: zero-padded - name: label value: SC-34(3) - name: label value: SC-34(03) class: sp800-53a - name: sort-id value: sc-34.03 - name: status value: withdrawn links: - href: '#sc-51' rel: moved-to - id: sc-35 class: SP800-53 title: External Malicious Code Identification props: - name: label value: SC-35 class: zero-padded - name: label value: SC-35 - name: label value: SC-35 class: sp800-53a - name: sort-id value: sc-35 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-7' rel: related - href: '#sc-26' rel: related - href: '#sc-44' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related parts: - id: sc-35_smt name: statement prose: Include system components that proactively seek to identify network-based malicious code or malicious websites. - id: sc-35_gdn name: guidance prose: External malicious code identification differs from decoys in [SC-26](#sc-26) in that the components actively probe networks, including the Internet, in search of malicious code contained on external websites. Like decoys, the use of external malicious code identification techniques requires some supporting isolation measures to ensure that any malicious code discovered during the search and subsequently executed does not infect organizational systems. Virtualization is a common technique for achieving such isolation. - id: sc-35_obj name: assessment-objective props: - name: label value: SC-35 class: sp800-53a prose: system components that proactively seek to identify network-based malicious code or malicious websites are included. links: - href: '#sc-35_smt' rel: assessment-for - id: sc-35_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-35-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing external malicious code identification system design documentation system configuration settings and associated documentation system components deployed to identify malicious websites and/or web-based malicious code system audit records system security plan other relevant documents or records - id: sc-35_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-35-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 system developers/integrators - id: sc-35_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-35-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms supporting and/or implementing external malicious code identification - id: sc-36 class: SP800-53 title: Distributed Processing and Storage params: - id: sc-36_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sc-36_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sc-36_odp.04 select: choice: - physical locations - logical domains - id: sc-36_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sc-36_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sc-36_odp.03 label: organization-defined processing and storage components - id: sc-36_odp.01 props: - name: label value: SC-36_ODP[01] class: sp800-53a label: processing components guidelines: - prose: processing components to be distributed across multiple locations/domains are defined; - id: sc-36_odp.02 props: - name: label value: SC-36_ODP[02] class: sp800-53a select: choice: - physical locations - logical domains - id: sc-36_odp.03 props: - name: label value: SC-36_ODP[03] class: sp800-53a label: storage components guidelines: - prose: storage components to be distributed across multiple locations/domains are defined; - id: sc-36_odp.04 props: - name: label value: SC-36_ODP[04] class: sp800-53a select: choice: - physical locations - logical domains props: - name: label value: SC-36 class: zero-padded - name: label value: SC-36 - name: label value: SC-36 class: sp800-53a - name: sort-id value: sc-36 - 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: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference - href: '#cp-6' rel: related - href: '#cp-7' rel: related - href: '#pl-8' rel: related - href: '#sc-32' rel: related parts: - id: sc-36_smt name: statement prose: 'Distribute the following processing and storage components across multiple {{ insert: param, sc-36_prm_1 }}: {{ insert: param, sc-36_prm_2 }}.' - id: sc-36_gdn name: guidance prose: Distributing processing and storage across multiple physical locations or logical domains provides a degree of redundancy or overlap for organizations. The redundancy and overlap increase the work factor of adversaries to adversely impact organizational operations, assets, and individuals. The use of distributed processing and storage does not assume a single primary processing or storage location. Therefore, it allows for parallel processing and storage. - id: sc-36_obj name: assessment-objective props: - name: label value: SC-36 class: sp800-53a parts: - id: sc-36_obj-1 name: assessment-objective props: - name: label value: SC-36[01] class: sp800-53a prose: '{{ insert: param, sc-36_odp.01 }} are distributed across {{ insert: param, sc-36_odp.02 }};' links: - href: '#sc-36_smt' rel: assessment-for - id: sc-36_obj-2 name: assessment-objective props: - name: label value: SC-36[02] class: sp800-53a prose: '{{ insert: param, sc-36_odp.03 }} are distributed across {{ insert: param, sc-36_odp.04 }}.' links: - href: '#sc-36_smt' rel: assessment-for links: - href: '#sc-36_smt' rel: assessment-for - id: sc-36_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-36-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy contingency planning policy and procedures contingency plan system design documentation system configuration settings and associated documentation system architecture list of system physical locations (or environments) with distributed processing and storage system facility diagrams processing site agreements storage site agreements system security plan other relevant documents or records - id: sc-36_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-36-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 with contingency planning and plan implementation responsibilities system developers/integrators - id: sc-36_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-36-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for distributed processing and storage across multiple physical locations mechanisms supporting and/or implementing the capability to distribute processing and storage across multiple physical locations controls: - id: sc-36.1 class: SP800-53-enhancement title: Polling Techniques params: - id: sc-36.01_odp.01 props: - name: alt-identifier value: sc-36.1_prm_1 - name: label value: SC-36(01)_ODP[01] class: sp800-53a label: distributed processing and storage components guidelines: - prose: distributed processing and storage components for which polling techniques are to be employed to identify potential faults, errors, or compromises are defined; - id: sc-36.01_odp.02 props: - name: alt-identifier value: sc-36.1_prm_2 - name: label value: SC-36(01)_ODP[02] class: sp800-53a label: actions guidelines: - prose: actions to be taken in response to identified faults, errors, or compromise are defined; props: - name: label value: SC-36(01) class: zero-padded - name: label value: SC-36(1) - name: label value: SC-36(01) class: sp800-53a - name: sort-id value: sc-36.01 - 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: '#sc-36' rel: required - href: '#si-4' rel: related parts: - id: sc-36.1_smt name: statement parts: - id: sc-36.1_smt.a name: item props: - name: label value: (a) prose: 'Employ polling techniques to identify potential faults, errors, or compromises to the following processing and storage components: {{ insert: param, sc-36.01_odp.01 }} ; and' - id: sc-36.1_smt.b name: item props: - name: label value: (b) prose: 'Take the following actions in response to identified faults, errors, or compromises: {{ insert: param, sc-36.01_odp.02 }}.' - id: sc-36.1_gdn name: guidance prose: Distributed processing and/or storage may be used to reduce opportunities for adversaries to compromise the confidentiality, integrity, or availability of organizational information and systems. However, the distribution of processing and storage components does not prevent adversaries from compromising one or more of the components. Polling compares the processing results and/or storage content from the distributed components and subsequently votes on the outcomes. Polling identifies potential faults, compromises, or errors in the distributed processing and storage components. - id: sc-36.1_obj name: assessment-objective props: - name: label value: SC-36(01) class: sp800-53a parts: - id: sc-36.1_obj.a name: assessment-objective props: - name: label value: SC-36(01)(a) class: sp800-53a prose: 'polling techniques are employed to identify potential faults, errors, or compromises to {{ insert: param, sc-36.01_odp.01 }};' links: - href: '#sc-36.1_smt.a' rel: assessment-for - id: sc-36.1_obj.b name: assessment-objective props: - name: label value: SC-36(01)(b) class: sp800-53a prose: '{{ insert: param, sc-36.01_odp.02 }} are taken in response to identified faults, errors, or compromise.' links: - href: '#sc-36.1_smt.b' rel: assessment-for links: - href: '#sc-36.1_smt' rel: assessment-for - id: sc-36.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-36(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy system design documentation system configuration settings and associated documentation system architecture list of distributed processing and storage components subject to polling system polling techniques and associated documentation or records system audit records system security plan other relevant documents or records - id: sc-36.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-36(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system system developers/integrators - id: sc-36.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-36(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing polling techniques - id: sc-36.2 class: SP800-53-enhancement title: Synchronization params: - id: sc-36.02_odp props: - name: alt-identifier value: sc-36.2_prm_1 - name: label value: SC-36(02)_ODP class: sp800-53a label: duplicate systems or system components guidelines: - prose: duplicate systems or system components to be synchronized are defined; props: - name: label value: SC-36(02) class: zero-padded - name: label value: SC-36(2) - name: label value: SC-36(02) class: sp800-53a - name: sort-id value: sc-36.02 - 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: '#sc-36' rel: required - href: '#cp-9' rel: related parts: - id: sc-36.2_smt name: statement prose: 'Synchronize the following duplicate systems or system components: {{ insert: param, sc-36.02_odp }}.' - id: sc-36.2_gdn name: guidance prose: '[SC-36](#sc-36) and [CP-9(6)](#cp-9.6) require the duplication of systems or system components in distributed locations. The synchronization of duplicated and redundant services and data helps to ensure that information contained in the distributed locations can be used in the mission or business functions of organizations, as needed.' - id: sc-36.2_obj name: assessment-objective props: - name: label value: SC-36(02) class: sp800-53a prose: '{{ insert: param, sc-36.02_odp }} are synchronized.' links: - href: '#sc-36.2_smt' rel: assessment-for - id: sc-36.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-36(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy system design documentation system configuration settings and associated documentation system architecture list of distributed processing and storage components subject to polling system polling techniques and associated documentation or records system audit records system security plan other relevant documents or records - id: sc-36.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-36(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system system developers/integrators - id: sc-36.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-36(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing duplicate system or system component synchronization - id: sc-37 class: SP800-53 title: Out-of-band Channels params: - id: sc-37_odp.01 props: - name: alt-identifier value: sc-37_prm_3 - name: label value: SC-37_ODP[01] class: sp800-53a label: out-of-band channels guidelines: - prose: out-of-band channels to be employed for the physical delivery or electronic transmission of information, system components, or devices to individuals or the system are defined; - id: sc-37_odp.02 props: - name: alt-identifier value: sc-37_prm_1 - name: label value: SC-37_ODP[02] class: sp800-53a label: information, system components, or devices guidelines: - prose: information, system components, or devices to employ out-of-band-channels for physical delivery or electronic transmission are defined; - id: sc-37_odp.03 props: - name: alt-identifier value: sc-37_prm_2 - name: label value: SC-37_ODP[03] class: sp800-53a label: individuals or systems guidelines: - prose: individuals or systems to which physical delivery or electronic transmission of information, system components, or devices is to be achieved via the employment of out-of-band channels are defined; props: - name: label value: SC-37 class: zero-padded - name: label value: SC-37 - name: label value: SC-37 class: sp800-53a - name: sort-id value: sc-37 - 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: '#110e26af-4765-49e1-8740-6750f83fcda1' rel: reference - href: '#e7942589-e267-4a5a-a3d9-f39a7aae81f0' rel: reference - href: '#8306620b-1920-4d73-8b21-12008528595f' rel: reference - href: '#ac-2' rel: related - href: '#cm-3' rel: related - href: '#cm-5' rel: related - href: '#cm-7' rel: related - href: '#ia-2' rel: related - href: '#ia-4' rel: related - href: '#ia-5' rel: related - href: '#ma-4' rel: related - href: '#sc-12' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related parts: - id: sc-37_smt name: statement prose: 'Employ the following out-of-band channels for the physical delivery or electronic transmission of {{ insert: param, sc-37_odp.02 }} to {{ insert: param, sc-37_odp.03 }}: {{ insert: param, sc-37_odp.01 }}.' - id: sc-37_gdn name: guidance prose: Out-of-band channels include local, non-network accesses to systems; network paths physically separate from network paths used for operational traffic; or non-electronic paths, such as the U.S. Postal Service. The use of out-of-band channels is contrasted with the use of in-band channels (i.e., the same channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability or exposure as in-band channels. Therefore, the confidentiality, integrity, or availability compromises of in-band channels will not compromise or adversely affect the out-of-band channels. Organizations may employ out-of-band channels in the delivery or transmission of organizational items, including authenticators and credentials; cryptographic key management information; system and data backups; configuration management changes for hardware, firmware, or software; security updates; maintenance information; and malicious code protection updates. For example, cryptographic keys for encrypted files are delivered using a different channel than the file. - id: sc-37_obj name: assessment-objective props: - name: label value: SC-37 class: sp800-53a prose: '{{ insert: param, sc-37_odp.01 }} are employed for the physical delivery or electronic transmission of {{ insert: param, sc-37_odp.02 }} to {{ insert: param, sc-37_odp.03 }}.' links: - href: '#sc-37_smt' rel: assessment-for - id: sc-37_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-37-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing the use of out-of-band channels access control policy and procedures identification and authentication policy and procedures system design documentation system architecture system configuration settings and associated documentation list of out-of-band channels types of information, system components, or devices requiring the use of out-of-band channels for physical delivery or electronic transmission to authorized individuals or systems physical delivery records electronic transmission records system audit records system security plan other relevant documents or records - id: sc-37_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-37-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 authorizing, installing, configuring, operating, and/or using out-of-band channels system developers/integrators - id: sc-37_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-37-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for the use of out-of-band channels mechanisms supporting and/or implementing the use of out-of-band channels controls: - id: sc-37.1 class: SP800-53-enhancement title: Ensure Delivery and Transmission params: - id: sc-37.01_odp.01 props: - name: alt-identifier value: sc-37.1_prm_1 - name: label value: SC-37(01)_ODP[01] class: sp800-53a label: controls guidelines: - prose: controls to be employed to ensure that only designated individuals or systems receive specific information, system components, or devices are defined; - id: sc-37.01_odp.02 props: - name: alt-identifier value: sc-37.1_prm_2 - name: label value: SC-37(01)_ODP[02] class: sp800-53a label: individuals or systems guidelines: - prose: individuals or systems designated to receive specific information, system components, or devices are defined; - id: sc-37.01_odp.03 props: - name: alt-identifier value: sc-37.1_prm_3 - name: label value: SC-37(01)_ODP[03] class: sp800-53a label: information, system components, or devices guidelines: - prose: information, system components, or devices that only individuals or systems are designated to receive are defined; props: - name: label value: SC-37(01) class: zero-padded - name: label value: SC-37(1) - name: label value: SC-37(01) class: sp800-53a - name: sort-id value: sc-37.01 - 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: '#sc-37' rel: required parts: - id: sc-37.1_smt name: statement prose: 'Employ {{ insert: param, sc-37.01_odp.01 }} to ensure that only {{ insert: param, sc-37.01_odp.02 }} receive the following information, system components, or devices: {{ insert: param, sc-37.01_odp.03 }}.' - id: sc-37.1_gdn name: guidance prose: Techniques employed by organizations to ensure that only designated systems or individuals receive certain information, system components, or devices include sending authenticators via an approved courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt. - id: sc-37.1_obj name: assessment-objective props: - name: label value: SC-37(01) class: sp800-53a prose: '{{ insert: param, sc-37.01_odp.01 }} are employed to ensure that only {{ insert: param, sc-37.01_odp.02 }} receive {{ insert: param, sc-37.01_odp.03 }}.' links: - href: '#sc-37.1_smt' rel: assessment-for - id: sc-37.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-37(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing the use of out-of-band channels access control policy and procedures identification and authentication policy and procedures system design documentation system architecture system configuration settings and associated documentation list of security safeguards to be employed to ensure that designated individuals or systems receive organization-defined information, system components, or devices list of security safeguards for delivering designated information, system components, or devices to designated individuals or systems list of information, system components, or devices to be delivered to designated individuals or systems system audit records system security plan other relevant documents or records - id: sc-37.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-37(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels system developers/integrators - id: sc-37.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-37(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for the use of out-of-band channels mechanisms supporting and/or implementing the use of out-of-band channels mechanisms supporting/implementing safeguards to ensure the delivery of designated information, system components, or devices - id: sc-38 class: SP800-53 title: Operations Security params: - id: sc-38_odp props: - name: alt-identifier value: sc-38_prm_1 - name: label value: SC-38_ODP class: sp800-53a label: operations security controls guidelines: - prose: operations security controls to be employed to protect key organizational information throughout the system development life cycle are defined; props: - name: label value: SC-38 class: zero-padded - name: label value: SC-38 - name: label value: SC-38 class: sp800-53a - name: sort-id value: sc-38 - 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: related - href: '#ca-7' rel: related - href: '#pl-1' rel: related - href: '#pm-9' rel: related - href: '#pm-12' rel: related - href: '#ra-2' rel: related - href: '#ra-3' rel: related - href: '#ra-5' rel: related - href: '#sc-7' rel: related - href: '#sr-3' rel: related - href: '#sr-7' rel: related parts: - id: sc-38_smt name: statement prose: 'Employ the following operations security controls to protect key organizational information throughout the system development life cycle: {{ insert: param, sc-38_odp }}.' - id: sc-38_gdn name: guidance prose: 'Operations security (OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: identification of critical information, analysis of threats, analysis of vulnerabilities, assessment of risks, and the application of appropriate countermeasures. OPSEC controls are applied to organizational systems and the environments in which those systems operate. OPSEC controls protect the confidentiality of information, including limiting the sharing of information with suppliers, potential suppliers, and other non-organizational elements and individuals. Information critical to organizational mission and business functions includes user identities, element uses, suppliers, supply chain processes, functional requirements, security requirements, system design specifications, testing and evaluation protocols, and security control implementation details.' - id: sc-38_obj name: assessment-objective props: - name: label value: SC-38 class: sp800-53a prose: '{{ insert: param, sc-38_odp }} are employed to protect key organizational information throughout the system development life cycle.' links: - href: '#sc-38_smt' rel: assessment-for - id: sc-38_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-38-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing operations security security plan list of operations security safeguards security control assessments risk assessments threat and vulnerability assessments plans of action and milestones system development life cycle documentation system security plan other relevant documents or records - id: sc-38_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-38-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 system developers/integrators - id: sc-38_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-38-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for protecting organizational information throughout the system development life cycle mechanisms supporting and/or implementing safeguards to protect organizational information throughout the system development life cycle - id: sc-39 class: SP800-53 title: Process Isolation props: - name: label value: SC-39 class: zero-padded - name: label value: SC-39 - name: label value: SC-39 class: sp800-53a - name: sort-id value: sc-39 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-6' rel: related - href: '#ac-25' rel: related - href: '#sa-8' rel: related - href: '#sc-2' rel: related - href: '#sc-3' rel: related - href: '#si-16' rel: related parts: - id: sc-39_smt name: statement 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: 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 controls: - id: sc-39.1 class: SP800-53-enhancement title: Hardware Separation props: - name: label value: SC-39(01) class: zero-padded - name: label value: SC-39(1) - name: label value: SC-39(01) class: sp800-53a - name: sort-id value: sc-39.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sc-39' rel: required parts: - id: sc-39.1_smt name: statement prose: Implement hardware separation mechanisms to facilitate process isolation. - id: sc-39.1_gdn name: guidance prose: Hardware-based separation of system processes is generally less susceptible to compromise than software-based separation, thus providing greater assurance that the separation will be enforced. Hardware separation mechanisms include hardware memory management. - id: sc-39.1_obj name: assessment-objective props: - name: label value: SC-39(01) class: sp800-53a prose: hardware separation is implemented to facilitate process isolation. links: - href: '#sc-39.1_smt' rel: assessment-for - id: sc-39.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-39(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy system design documentation system configuration settings and associated documentation system architecture system documentation for hardware separation mechanisms system documentation from vendors, manufacturers, or developers independent verification and validation documentation system security plan other relevant documents or records - id: sc-39.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-39(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system system developers/integrators - id: sc-39.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-39(01)-Test class: sp800-53a parts: - name: assessment-objects prose: System capability implementing underlying hardware separation mechanisms for process separation - id: sc-39.2 class: SP800-53-enhancement title: Separate Execution Domain Per Thread params: - id: sc-39.02_odp props: - name: alt-identifier value: sc-39.2_prm_1 - name: label value: SC-39(02)_ODP class: sp800-53a label: multi-threaded processing guidelines: - prose: multi-thread processing for which a separate execution domain is to be maintained for each thread is defined; props: - name: label value: SC-39(02) class: zero-padded - name: label value: SC-39(2) - name: label value: SC-39(02) class: sp800-53a - name: sort-id value: sc-39.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sc-39' rel: required parts: - id: sc-39.2_smt name: statement prose: 'Maintain a separate execution domain for each thread in {{ insert: param, sc-39.02_odp }}.' - id: sc-39.2_gdn name: guidance prose: None. - id: sc-39.2_obj name: assessment-objective props: - name: label value: SC-39(02) class: sp800-53a prose: 'a separate execution domain is maintained for each thread in {{ insert: param, sc-39.02_odp }}.' links: - href: '#sc-39.2_smt' rel: assessment-for - id: sc-39.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-39(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy system design documentation system configuration settings and associated documentation system architecture list of system execution domains for each thread in multi-threaded processing system documentation for multi-threaded processing system documentation from vendors, manufacturers, or developers independent verification and validation documentation system security plan other relevant documents or records - id: sc-39.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-39(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer organizational personnel installing, configuring, and/or maintaining the system system developers/integrators - id: sc-39.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-39(02)-Test class: sp800-53a parts: - name: assessment-objects prose: System capability implementing a separate execution domain for each thread in multi-threaded processing - id: sc-40 class: SP800-53 title: Wireless Link Protection params: - id: sc-40_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sc-40_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sc-40_odp.03 label: organization-defined wireless links - id: sc-40_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sc-40_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sc-40_odp.04 label: organization-defined types of signal parameter attacks or references to sources for such attacks - id: sc-40_odp.01 props: - name: label value: SC-40_ODP[01] class: sp800-53a label: wireless links guidelines: - prose: external wireless links to be protected from particular types of signal parameter attacks are defined; - id: sc-40_odp.02 props: - name: label value: SC-40_ODP[02] class: sp800-53a label: types of signal parameter attacks or references to sources for such attacks guidelines: - prose: types of signal parameter attacks or references to sources for such attacks from which to protect external wireless links are defined; - id: sc-40_odp.03 props: - name: label value: SC-40_ODP[03] class: sp800-53a label: wireless links guidelines: - prose: internal wireless links to be protected from particular types of signal parameter attacks are defined; - id: sc-40_odp.04 props: - name: label value: SC-40_ODP[04] class: sp800-53a label: types of signal parameter attacks or references to sources for such attacks guidelines: - prose: types of signal parameter attacks or references to sources for such attacks from which to protect internal wireless links are defined; props: - name: label value: SC-40 class: zero-padded - name: label value: SC-40 - name: label value: SC-40 class: sp800-53a - name: sort-id value: sc-40 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#ac-18' rel: related - href: '#sc-5' rel: related parts: - id: sc-40_smt name: statement prose: 'Protect external and internal {{ insert: param, sc-40_prm_1 }} from the following signal parameter attacks: {{ insert: param, sc-40_prm_2 }}.' - id: sc-40_gdn name: guidance prose: Wireless link protection applies to internal and external wireless communication links that may be visible to individuals who are not authorized system users. Adversaries can exploit the signal parameters of wireless links if such links are not adequately protected. There are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service, or spoof system users. Protection of wireless links reduces the impact of attacks that are unique to wireless systems. If organizations rely on commercial service providers for transmission services as commodity items rather than as fully dedicated services, it may not be possible to implement wireless link protections to the extent necessary to meet organizational security requirements. - id: sc-40_obj name: assessment-objective props: - name: label value: SC-40 class: sp800-53a parts: - id: sc-40_obj-1 name: assessment-objective props: - name: label value: SC-40[01] class: sp800-53a prose: 'external {{ insert: param, sc-40_odp.01 }} are protected from {{ insert: param, sc-40_odp.02 }}.' links: - href: '#sc-40_smt' rel: assessment-for - id: sc-40_obj-2 name: assessment-objective props: - name: label value: SC-40[02] class: sp800-53a prose: 'internal {{ insert: param, sc-40_odp.03 }} are protected from {{ insert: param, sc-40_odp.04 }}.' links: - href: '#sc-40_smt' rel: assessment-for links: - href: '#sc-40_smt' rel: assessment-for - id: sc-40_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-40-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy access control policy and procedures procedures addressing wireless link protection system design documentation wireless network diagrams system configuration settings and associated documentation system architecture list of internal and external wireless links list of signal parameter attacks or references to sources for attacks system audit records system security plan other relevant documents or records - id: sc-40_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-40-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer organizational personnel installing, configuring, and/or maintaining the system organizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links - id: sc-40_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-40-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the protection of wireless links controls: - id: sc-40.1 class: SP800-53-enhancement title: Electromagnetic Interference params: - id: sc-40.01_odp props: - name: alt-identifier value: sc-40.1_prm_1 - name: label value: SC-40(01)_ODP class: sp800-53a label: level of protection guidelines: - prose: level of protection to be employed against the effects of intentional electromagnetic interference is defined; props: - name: label value: SC-40(01) class: zero-padded - name: label value: SC-40(1) - name: label value: SC-40(01) class: sp800-53a - name: sort-id value: sc-40.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-40' rel: required - href: '#pe-21' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: sc-40.1_smt name: statement prose: 'Implement cryptographic mechanisms that achieve {{ insert: param, sc-40.01_odp }} against the effects of intentional electromagnetic interference.' - id: sc-40.1_gdn name: guidance prose: The implementation of cryptographic mechanisms for electromagnetic interference protects systems against intentional jamming that might deny or impair communications by ensuring that wireless spread spectrum waveforms used to provide anti-jam protection are not predictable by unauthorized individuals. The implementation of cryptographic mechanisms may also coincidentally mitigate the effects of unintentional jamming due to interference from legitimate transmitters that share the same spectrum. Mission requirements, projected threats, concept of operations, and laws, executive orders, directives, regulations, policies, and standards determine levels of wireless link availability, cryptography needed, and performance. - id: sc-40.1_obj name: assessment-objective props: - name: label value: SC-40(01) class: sp800-53a prose: 'cryptographic mechanisms that achieve {{ insert: param, sc-40.01_odp }} against the effects of intentional electromagnetic interference are implemented.' links: - href: '#sc-40.1_smt' rel: assessment-for - id: sc-40.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-40(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy access control policy and procedures procedures addressing wireless link protection system design documentation wireless network diagrams system configuration settings and associated documentation system architecture system communications hardware and software security categorization results system audit records system security plan other relevant documents or records - id: sc-40.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-40(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer organizational personnel installing, configuring, and/or maintaining the system organizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links - id: sc-40.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-40(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Cryptographic mechanisms enforcing protections against effects of intentional electromagnetic interference - id: sc-40.2 class: SP800-53-enhancement title: Reduce Detection Potential params: - id: sc-40.02_odp props: - name: alt-identifier value: sc-40.2_prm_1 - name: label value: SC-40(02)_ODP class: sp800-53a label: level of reduction guidelines: - prose: the level of reduction to be achieved to reduce the detection potential of wireless links is defined; props: - name: label value: SC-40(02) class: zero-padded - name: label value: SC-40(2) - name: label value: SC-40(02) class: sp800-53a - name: sort-id value: sc-40.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-40' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: sc-40.2_smt name: statement prose: 'Implement cryptographic mechanisms to reduce the detection potential of wireless links to {{ insert: param, sc-40.02_odp }}.' - id: sc-40.2_gdn name: guidance prose: The implementation of cryptographic mechanisms to reduce detection potential is used for covert communications and to protect wireless transmitters from geo-location. It also ensures that the spread spectrum waveforms used to achieve a low probability of detection are not predictable by unauthorized individuals. Mission requirements, projected threats, concept of operations, and applicable laws, executive orders, directives, regulations, policies, and standards determine the levels to which wireless links are undetectable. - id: sc-40.2_obj name: assessment-objective props: - name: label value: SC-40(02) class: sp800-53a prose: 'cryptographic mechanisms to reduce the detection potential of wireless links to {{ insert: param, sc-40.02_odp }} are implemented.' links: - href: '#sc-40.2_smt' rel: assessment-for - id: sc-40.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-40(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy access control policy and procedures procedures addressing wireless link protection system design documentation wireless network diagrams system configuration settings and associated documentation system architecture system communications hardware and software security categorization results system audit records system security plan other relevant documents or records - id: sc-40.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-40(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer organizational personnel installing, configuring, and/or maintaining the system organizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links - id: sc-40.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-40(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Cryptographic mechanisms enforcing protections to reduce the detection of wireless links - id: sc-40.3 class: SP800-53-enhancement title: Imitative or Manipulative Communications Deception props: - name: label value: SC-40(03) class: zero-padded - name: label value: SC-40(3) - name: label value: SC-40(03) class: sp800-53a - name: sort-id value: sc-40.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-40' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#si-4' rel: related parts: - id: sc-40.3_smt name: statement prose: Implement cryptographic mechanisms to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters. - id: sc-40.3_gdn name: guidance prose: The implementation of cryptographic mechanisms to identify and reject imitative or manipulative communications ensures that the signal parameters of wireless transmissions are not predictable by unauthorized individuals. Such unpredictability reduces the probability of imitative or manipulative communications deception based on signal parameters alone. - id: sc-40.3_obj name: assessment-objective props: - name: label value: SC-40(03) class: sp800-53a prose: cryptographic mechanisms are implemented to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters. links: - href: '#sc-40.3_smt' rel: assessment-for - id: sc-40.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-40(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy access control policy and procedures procedures addressing system design documentation wireless network diagrams system configuration settings and associated documentation system architecture system communications hardware and software system audit records system security plan other relevant documents or records - id: sc-40.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-40(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer organizational personnel installing, configuring, and/or maintaining the system organizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links - id: sc-40.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-40(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Cryptographic mechanisms enforcing wireless link protections against imitative or manipulative communications deception - id: sc-40.4 class: SP800-53-enhancement title: Signal Parameter Identification params: - id: sc-40.04_odp props: - name: alt-identifier value: sc-40.4_prm_1 - name: label value: SC-40(04)_ODP class: sp800-53a label: wireless transmitters guidelines: - prose: wireless transmitters for which cryptographic mechanisms are to be implemented are defined; props: - name: label value: SC-40(04) class: zero-padded - name: label value: SC-40(4) - name: label value: SC-40(04) class: sp800-53a - name: sort-id value: sc-40.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-40' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: sc-40.4_smt name: statement prose: 'Implement cryptographic mechanisms to prevent the identification of {{ insert: param, sc-40.04_odp }} by using the transmitter signal parameters.' - id: sc-40.4_gdn name: guidance prose: The implementation of cryptographic mechanisms to prevent the identification of wireless transmitters protects against the unique identification of wireless transmitters for the purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations to signal parameters are not predictable by unauthorized individuals. It also provides anonymity when required. Radio fingerprinting techniques identify the unique signal parameters of transmitters to fingerprint such transmitters for purposes of tracking and mission or user identification. - id: sc-40.4_obj name: assessment-objective props: - name: label value: SC-40(04) class: sp800-53a prose: 'cryptographic mechanisms are implemented to prevent the identification of {{ insert: param, sc-40.04_odp }} by using the transmitter signal parameters.' links: - href: '#sc-40.4_smt' rel: assessment-for - id: sc-40.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-40(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy access control policy and procedures procedures addressing system design documentation wireless network diagrams system configuration settings and associated documentation system architecture system communications hardware and software system audit records system security plan other relevant documents or records - id: sc-40.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-40(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer organizational personnel installing, configuring, and/or maintaining the system organizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links - id: sc-40.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-40(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Cryptographic mechanisms preventing the identification of wireless transmitters - id: sc-41 class: SP800-53 title: Port and I/O Device Access params: - id: sc-41_odp.01 props: - name: alt-identifier value: sc-41_prm_2 - name: label value: SC-41_ODP[01] class: sp800-53a label: connection ports or input/output devices guidelines: - prose: connection ports or input/output devices to be disabled or removed are defined; - id: sc-41_odp.02 props: - name: alt-identifier value: sc-41_prm_1 - name: label value: SC-41_ODP[02] class: sp800-53a select: choice: - physically - logically - id: sc-41_odp.03 props: - name: alt-identifier value: sc-41_prm_3 - name: label value: SC-41_ODP[03] class: sp800-53a label: systems or system components guidelines: - prose: systems or system components with connection ports or input/output devices to be disabled or removed are defined; props: - name: label value: SC-41 class: zero-padded - name: label value: SC-41 - name: label value: SC-41 class: sp800-53a - name: sort-id value: sc-41 - 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-20' rel: related - href: '#mp-7' rel: related parts: - id: sc-41_smt name: statement prose: '{{ insert: param, sc-41_odp.02 }} disable or remove {{ insert: param, sc-41_odp.01 }} on the following systems or system components: {{ insert: param, sc-41_odp.03 }}.' - id: sc-41_gdn name: guidance prose: Connection ports include Universal Serial Bus (USB), Thunderbolt, and Firewire (IEEE 1394). Input/output (I/O) devices include compact disc and digital versatile disc drives. Disabling or removing such connection ports and I/O devices helps prevent the exfiltration of information from systems and the introduction of malicious code from those ports or devices. Physically disabling or removing ports and/or devices is the stronger action. - id: sc-41_obj name: assessment-objective props: - name: label value: SC-41 class: sp800-53a prose: '{{ insert: param, sc-41_odp.01 }} are {{ insert: param, sc-41_odp.02 }} disabled or removed on {{ insert: param, sc-41_odp.03 }}.' links: - href: '#sc-41_smt' rel: assessment-for - id: sc-41_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-41-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy access control policy and procedures procedures addressing port and input/output device access system design documentation system configuration settings and associated documentation system architecture systems or system components list of connection ports or input/output devices to be physically disabled or removed on systems or system components system security plan other relevant documents or records - id: sc-41_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-41-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system - id: sc-41_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-41-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the disabling of connection ports or input/output devices - id: sc-42 class: SP800-53 title: Sensor Capability and Data params: - id: sc-42_odp.01 props: - name: alt-identifier value: sc-42_prm_1 - name: label value: SC-42_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - 'the use of devices possessing {{ insert: param, sc-42_odp.02 }} in {{ insert: param, sc-42_odp.03 }} ' - 'the remote activation of environmental sensing capabilities on organizational systems or system components with the following exceptions: {{ insert: param, sc-42_odp.04 }} ' - id: sc-42_odp.02 props: - name: alt-identifier value: sc-42_prm_2 - name: label value: SC-42_ODP[02] class: sp800-53a label: environmental sensing capabilities guidelines: - prose: environmental sensing capabilities in devices are defined (if selected); - id: sc-42_odp.03 props: - name: alt-identifier value: sc-42_prm_3 - name: label value: SC-42_ODP[03] class: sp800-53a label: facilities, areas, or systems guidelines: - prose: facilities, areas, or systems where the use of devices possessing environmental sensing capabilities is prohibited are defined (if selected); - id: sc-42_odp.04 props: - name: alt-identifier value: sc-42_prm_4 - name: label value: SC-42_ODP[04] class: sp800-53a label: exceptions where remote activation of sensors is allowed guidelines: - prose: exceptions where remote activation of sensors is allowed are defined (if selected); - id: sc-42_odp.05 props: - name: alt-identifier value: sc-42_prm_5 - name: label value: SC-42_ODP[05] class: sp800-53a label: group of users guidelines: - prose: group of users to whom an explicit indication of sensor use is to be provided is defined; props: - name: label value: SC-42 class: zero-padded - name: label value: SC-42 - name: label value: SC-42 class: sp800-53a - name: sort-id value: sc-42 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#0f66be67-85e7-4ca6-bd19-39453e9f4394' rel: reference - href: '#sc-15' rel: related parts: - id: sc-42_smt name: statement parts: - id: sc-42_smt.a name: item props: - name: label value: a. prose: 'Prohibit {{ insert: param, sc-42_odp.01 }} ; and' - id: sc-42_smt.b name: item props: - name: label value: b. prose: 'Provide an explicit indication of sensor use to {{ insert: param, sc-42_odp.05 }}.' - id: sc-42_gdn name: guidance prose: Sensor capability and data applies to types of systems or system components characterized as mobile devices, such as cellular telephones, smart phones, and tablets. Mobile devices often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include microphones, cameras, Global Positioning System (GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly, such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the movements of an individual. Organizations may prohibit individuals from bringing cellular telephones or digital cameras into certain designated facilities or controlled areas within facilities where classified information is stored or sensitive conversations are taking place. - id: sc-42_obj name: assessment-objective props: - name: label value: SC-42 class: sp800-53a parts: - id: sc-42_obj.a name: assessment-objective props: - name: label value: SC-42a. class: sp800-53a prose: '{{ insert: param, sc-42_odp.01 }} is/are prohibited;' links: - href: '#sc-42_smt.a' rel: assessment-for - id: sc-42_obj.b name: assessment-objective props: - name: label value: SC-42b. class: sp800-53a prose: 'an explicit indication of sensor use is provided to {{ insert: param, sc-42_odp.05 }}.' links: - href: '#sc-42_smt.b' rel: assessment-for links: - href: '#sc-42_smt' rel: assessment-for - id: sc-42_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-42-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing sensor capabilities and data collection access control policy and procedures system design documentation system configuration settings and associated documentation system audit records system security plan privacy plan other relevant documents or records - id: sc-42_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-42-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities system developer organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for sensor capabilities - id: sc-42_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-42-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms implementing access controls for the remote activation of system sensor capabilities mechanisms implementing the capability to indicate sensor use controls: - id: sc-42.1 class: SP800-53-enhancement title: Reporting to Authorized Individuals or Roles params: - id: sc-42.01_odp props: - name: alt-identifier value: sc-42.1_prm_1 - name: alt-identifier value: sc-42.2_prm_1 - name: label value: SC-42(01)_ODP class: sp800-53a label: sensors guidelines: - prose: sensors to be used to collect data or information are defined; props: - name: label value: SC-42(01) class: zero-padded - name: label value: SC-42(1) - name: label value: SC-42(01) class: sp800-53a - name: sort-id value: sc-42.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#sc-42' rel: required parts: - id: sc-42.1_smt name: statement prose: 'Verify that the system is configured so that data or information collected by the {{ insert: param, sc-42.01_odp }} is only reported to authorized individuals or roles.' - id: sc-42.1_gdn name: guidance prose: In situations where sensors are activated by authorized individuals, it is still possible that the data or information collected by the sensors will be sent to unauthorized entities. - id: sc-42.1_obj name: assessment-objective props: - name: label value: SC-42(01) class: sp800-53a prose: 'the system is configured so that data or information collected by the {{ insert: param, sc-42.01_odp }} is only reported to authorized individuals or roles.' links: - href: '#sc-42.1_smt' rel: assessment-for - id: sc-42.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-42(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy access control policy and procedures procedures addressing sensor capability and data collection personally identifiable information processing policy system design documentation system configuration settings and associated documentation system architecture system audit records system security plan privacy plan other relevant documents or records - id: sc-42.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-42(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities system developer organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for the sensor capabilities - id: sc-42.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-42(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms restricting the reporting of sensor information to those authorized sensor data collection and reporting capabilities for the system - id: sc-42.2 class: SP800-53-enhancement title: Authorized Use params: - id: sc-42.02_odp props: - name: alt-identifier value: sc-42.2_prm_2 - name: label value: SC-42(02)_ODP class: sp800-53a label: measures guidelines: - prose: measures to be employed so that data or information collected by sensors is only used for authorized purposes are defined; props: - name: label value: SC-42(02) class: zero-padded - name: label value: SC-42(2) - name: label value: SC-42(02) class: sp800-53a - name: sort-id value: sc-42.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#sc-42' rel: required - href: '#sc-42.1' rel: required - href: '#pt-2' rel: related parts: - id: sc-42.2_smt name: statement prose: 'Employ the following measures so that data or information collected by {{ insert: param, sc-42.01_odp }} is only used for authorized purposes: {{ insert: param, sc-42.02_odp }}.' - id: sc-42.2_gdn name: guidance prose: Information collected by sensors for a specific authorized purpose could be misused for some unauthorized purpose. For example, GPS sensors that are used to support traffic navigation could be misused to track the movements of individuals. Measures to mitigate such activities include additional training to help ensure that authorized individuals do not abuse their authority and, in the case where sensor data is maintained by external parties, contractual restrictions on the use of such data. - id: sc-42.2_obj name: assessment-objective props: - name: label value: SC-42(02) class: sp800-53a prose: '{{ insert: param, sc-42.02_odp }} are employed so that data or information collected by {{ insert: param, sc-42.01_odp }} is only used for authorized purposes.' links: - href: '#sc-42.2_smt' rel: assessment-for - id: sc-42.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-42(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy access control policy and procedures personally identifiable information processing policy sensor capability and data collection system design documentation system configuration settings and associated documentation system architecture list of measures to be employed to that the ensure data or information collected by sensors is only used for authorized purposes system audit records system security plan privacy plan other relevant documents or records - id: sc-42.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-42(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for sensor capabilities - id: sc-42.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-42(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing measures to ensure that sensor information is only used for authorized purposes sensor information collection capability for the system - id: sc-42.3 class: SP800-53-enhancement title: Prohibit Use of Devices props: - name: label value: SC-42(03) class: zero-padded - name: label value: SC-42(3) - name: label value: SC-42(03) class: sp800-53a - name: sort-id value: sc-42.03 - name: status value: withdrawn links: - href: '#sc-42' rel: incorporated-into - id: sc-42.4 class: SP800-53-enhancement title: Notice of Collection params: - id: sc-42.04_odp.01 props: - name: alt-identifier value: sc-42.4_prm_2 - name: label value: SC-42(04)_ODP[01] class: sp800-53a label: measures guidelines: - prose: measures to facilitate an individual’s awareness that personally identifiable information is being collected are defined; - id: sc-42.04_odp.02 props: - name: alt-identifier value: sc-42.4_prm_1 - name: label value: SC-42(04)_ODP[02] class: sp800-53a label: sensors guidelines: - prose: sensors that collect personally identifiable information are defined; props: - name: label value: SC-42(04) class: zero-padded - name: label value: SC-42(4) - name: label value: SC-42(04) class: sp800-53a - name: sort-id value: sc-42.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#sc-42' rel: required - href: '#pt-1' rel: related - href: '#pt-4' rel: related - href: '#pt-5' rel: related parts: - id: sc-42.4_smt name: statement prose: 'Employ the following measures to facilitate an individual’s awareness that personally identifiable information is being collected by {{ insert: param, sc-42.04_odp.02 }}: {{ insert: param, sc-42.04_odp.01 }}.' - id: sc-42.4_gdn name: guidance prose: Awareness that organizational sensors are collecting data enables individuals to more effectively engage in managing their privacy. Measures can include conventional written notices and sensor configurations that make individuals directly or indirectly aware through other devices that the sensor is collecting information. The usability and efficacy of the notice are important considerations. - id: sc-42.4_obj name: assessment-objective props: - name: label value: SC-42(04) class: sp800-53a prose: '{{ insert: param, sc-42.04_odp.01 }} are employed to facilitate an individual’s awareness that personally identifiable information is being collected by {{ insert: param, sc-42.04_odp.02 }} ' links: - href: '#sc-42.4_smt' rel: assessment-for - id: sc-42.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-42(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy access control policy and procedures personally identifiable information processing policy sensor capability and data collection policy and procedures system design documentation system configuration settings and associated documentation privacy risk assessment documentation privacy impact assessments system architecture list of measures to be employed to ensure that individuals are aware that personally identifiable information is being collected by sensors examples of notifications provided to individuals that personally identifiable information is being collected by sensors system audit records system security plan privacy plan other relevant documents or records - id: sc-42.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-42(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for sensor capabilities - id: sc-42.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-42(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing measures to facilitate an individual’s awareness that personally identifiable information is being collected by sensors sensor information collection capabilities for the system - id: sc-42.5 class: SP800-53-enhancement title: Collection Minimization params: - id: sc-42.05_odp props: - name: alt-identifier value: sc-42.5_prm_1 - name: label value: SC-42(05)_ODP class: sp800-53a label: sensors guidelines: - prose: the sensors that are configured to minimize the collection of unneeded information about individuals are defined; props: - name: label value: SC-42(05) class: zero-padded - name: label value: SC-42(5) - name: label value: SC-42(05) class: sp800-53a - name: sort-id value: sc-42.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#sc-42' rel: required - href: '#sa-8' rel: related - href: '#si-12' rel: related parts: - id: sc-42.5_smt name: statement prose: 'Employ {{ insert: param, sc-42.05_odp }} that are configured to minimize the collection of information about individuals that is not needed.' - id: sc-42.5_gdn name: guidance prose: Although policies to control for authorized use can be applied to information once it is collected, minimizing the collection of information that is not needed mitigates privacy risk at the system entry point and mitigates the risk of policy control failures. Sensor configurations include the obscuring of human features, such as blurring or pixelating flesh tones. - id: sc-42.5_obj name: assessment-objective props: - name: label value: SC-42(05) class: sp800-53a prose: 'the {{ insert: param, sc-42.05_odp }} configured to minimize the collection of information about individuals that is not needed are employed.' links: - href: '#sc-42.5_smt' rel: assessment-for - id: sc-42.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-42(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy access control policy and procedures personally identifiable information processing policy sensor capability and data collection policy and procedures system design documentation system configuration settings and associated documentation privacy risk assessment documentation privacy impact assessments system architecture list of information being collected by sensors list of sensor configurations that minimize the collection of personally identifiable information (e.g., obscure human features) system audit records system security plan privacy plan other relevant documents or records - id: sc-42.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-42(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for sensor capabilities - id: sc-42.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-42(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing measures to facilitate the review of information that is being collected by sensors sensor information collection capabilities for the system - id: sc-43 class: SP800-53 title: Usage Restrictions params: - id: sc-43_odp props: - name: alt-identifier value: sc-43_prm_1 - name: alt-label value: system components class: sp800-53 - name: label value: SC-43_ODP class: sp800-53a label: components guidelines: - prose: the components for which usage restrictions and implementation guidance are to be established are defined; props: - name: label value: SC-43 class: zero-padded - name: label value: SC-43 - name: label value: SC-43 class: sp800-53a - name: sort-id value: sc-43 - 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: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#0f66be67-85e7-4ca6-bd19-39453e9f4394' rel: reference - href: '#ac-18' rel: related - href: '#ac-19' rel: related - href: '#cm-6' rel: related - href: '#sc-7' rel: related - href: '#sc-18' rel: related parts: - id: sc-43_smt name: statement parts: - id: sc-43_smt.a name: item props: - name: label value: a. prose: 'Establish usage restrictions and implementation guidelines for the following system components: {{ insert: param, sc-43_odp }} ; and' - id: sc-43_smt.b name: item props: - name: label value: b. prose: Authorize, monitor, and control the use of such components within the system. - id: sc-43_gdn name: guidance prose: Usage restrictions apply to all system components including but not limited to mobile code, mobile devices, wireless access, and wired and wireless peripheral components (e.g., copiers, printers, scanners, optical devices, and other similar technologies). The usage restrictions and implementation guidelines are based on the potential for system components to cause damage to the system and help to ensure that only authorized system use occurs. - id: sc-43_obj name: assessment-objective props: - name: label value: SC-43 class: sp800-53a parts: - id: sc-43_obj.a name: assessment-objective props: - name: label value: SC-43a. class: sp800-53a prose: 'usage restrictions and implementation guidelines are established for {{ insert: param, sc-43_odp }};' links: - href: '#sc-43_smt.a' rel: assessment-for - id: sc-43_obj.b name: assessment-objective props: - name: label value: SC-43b. class: sp800-53a parts: - id: sc-43_obj.b-1 name: assessment-objective props: - name: label value: SC-43b.[01] class: sp800-53a prose: 'the use of {{ insert: param, sc-43_odp }} is authorized within the system;' links: - href: '#sc-43_smt.b' rel: assessment-for - id: sc-43_obj.b-2 name: assessment-objective props: - name: label value: SC-43b.[02] class: sp800-53a prose: 'the use of {{ insert: param, sc-43_odp }} is monitored within the system;' links: - href: '#sc-43_smt.b' rel: assessment-for - id: sc-43_obj.b-3 name: assessment-objective props: - name: label value: SC-43b.[03] class: sp800-53a prose: 'the use of {{ insert: param, sc-43_odp }} is controlled within the system.' links: - href: '#sc-43_smt.b' rel: assessment-for links: - href: '#sc-43_smt.b' rel: assessment-for links: - href: '#sc-43_smt' rel: assessment-for - id: sc-43_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-43-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy usage restrictions procedures addressing usage restrictions implementation policy and procedures authorization records system monitoring records system audit records system security plan other relevant documents or records - id: sc-43_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-43-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system - id: sc-43_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-43-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for authorizing, monitoring, and controlling the use of components with usage restrictions mechanisms supporting and/or implementing, authorizing, monitoring, and controlling the use of components with usage restrictions - id: sc-44 class: SP800-53 title: Detonation Chambers params: - id: sc-44_odp props: - name: alt-identifier value: sc-44_prm_1 - name: label value: SC-44_ODP class: sp800-53a label: system, system component, or location guidelines: - prose: the system, system component, or location where a detonation chamber capability is to be employed is defined; props: - name: label value: SC-44 class: zero-padded - name: label value: SC-44 - name: label value: SC-44 class: sp800-53a - name: sort-id value: sc-44 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#1c71b420-2bd9-4e52-9fc8-390f58b85b59' rel: reference - href: '#sc-7' rel: related - href: '#sc-18' rel: related - href: '#sc-25' rel: related - href: '#sc-26' rel: related - href: '#sc-30' rel: related - href: '#sc-35' rel: related - href: '#sc-39' rel: related - href: '#si-3' rel: related - href: '#si-7' rel: related parts: - id: sc-44_smt name: statement prose: 'Employ a detonation chamber capability within {{ insert: param, sc-44_odp }}.' - id: sc-44_gdn name: guidance prose: Detonation chambers, also known as dynamic execution environments, allow organizations to open email attachments, execute untrusted or suspicious applications, and execute Universal Resource Locator requests in the safety of an isolated environment or a virtualized sandbox. Protected and isolated execution environments provide a means of determining whether the associated attachments or applications contain malicious code. While related to the concept of deception nets, the employment of detonation chambers is not intended to maintain a long-term environment in which adversaries can operate and their actions can be observed. Rather, detonation chambers are intended to quickly identify malicious code and either reduce the likelihood that the code is propagated to user environments of operation or prevent such propagation completely. - id: sc-44_obj name: assessment-objective props: - name: label value: SC-44 class: sp800-53a prose: 'a detonation chamber capability is employed within the {{ insert: param, sc-44_odp }}.' links: - href: '#sc-44_smt' rel: assessment-for - id: sc-44_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-44-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing detonation chambers system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-44_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-44-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system - id: sc-44_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-44-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the detonation chamber capability - id: sc-45 class: SP800-53 title: System Time Synchronization props: - name: label value: SC-45 class: zero-padded - name: label value: SC-45 - name: label value: SC-45 class: sp800-53a - name: sort-id value: sc-45 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#e4d37285-1e79-4029-8b6a-42df39cace30' rel: reference - href: '#ac-3' rel: related - href: '#au-8' rel: related - href: '#ia-2' rel: related - href: '#ia-8' rel: related parts: - id: sc-45_smt name: statement prose: Synchronize system clocks within and between systems and system components. - id: sc-45_gdn name: guidance prose: Time synchronization of system clocks is essential for the correct execution of many system services, including identification and authentication processes that involve certificates and time-of-day restrictions as part of access control. Denial of service or failure to deny expired credentials may result without properly synchronized clocks within and between systems and system components. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. The granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks, such as clocks synchronizing within hundreds of milliseconds or tens of milliseconds. Organizations may define different time granularities for system components. Time service can be critical to other security capabilities—such as access control and identification and authentication—depending on the nature of the mechanisms used to support the capabilities. - id: sc-45_obj name: assessment-objective props: - name: label value: SC-45 class: sp800-53a prose: system clocks are synchronized within and between systems and system components. links: - href: '#sc-45_smt' rel: assessment-for - id: sc-45_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-45-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing time synchronization system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-45_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-45-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system - id: sc-45_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-45-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing system time synchronization controls: - id: sc-45.1 class: SP800-53-enhancement title: Synchronization with Authoritative Time Source params: - id: sc-45.01_odp.01 props: - name: alt-identifier value: sc-45.1_prm_1 - name: label value: SC-45(01)_ODP[01] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to compare the internal system clocks with the authoritative time source is defined; - id: sc-45.01_odp.02 props: - name: alt-identifier value: sc-45.1_prm_2 - name: label value: SC-45(01)_ODP[02] class: sp800-53a label: authoritative time source guidelines: - prose: the authoritative time source to which internal system clocks are to be compared is defined; - id: sc-45.01_odp.03 props: - name: alt-identifier value: sc-45.1_prm_3 - name: label value: SC-45(01)_ODP[03] class: sp800-53a label: time period guidelines: - prose: the time period to compare the internal system clocks with the authoritative time source is defined; props: - name: label value: SC-45(01) class: zero-padded - name: label value: SC-45(1) - name: label value: SC-45(01) class: sp800-53a - name: sort-id value: sc-45.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-45' rel: required parts: - id: sc-45.1_smt name: statement parts: - id: sc-45.1_smt.a name: item props: - name: label value: (a) prose: 'Compare the internal system clocks {{ insert: param, sc-45.01_odp.01 }} with {{ insert: param, sc-45.01_odp.02 }} ; and' - id: sc-45.1_smt.b name: item props: - name: label value: (b) prose: 'Synchronize the internal system clocks to the authoritative time source when the time difference is greater than {{ insert: param, sc-45.01_odp.03 }}.' - id: sc-45.1_gdn name: guidance prose: Synchronization of internal system clocks with an authoritative source provides uniformity of time stamps for systems with multiple system clocks and systems connected over a network. - id: sc-45.1_obj name: assessment-objective props: - name: label value: SC-45(01) class: sp800-53a parts: - id: sc-45.1_obj.a name: assessment-objective props: - name: label value: SC-45(01)(a) class: sp800-53a prose: 'the internal system clocks are compared {{ insert: param, sc-45.01_odp.01 }} with {{ insert: param, sc-45.01_odp.02 }};' links: - href: '#sc-45.1_smt.a' rel: assessment-for - id: sc-45.1_obj.b name: assessment-objective props: - name: label value: SC-45(01)(b) class: sp800-53a prose: 'the internal system clocks are synchronized with the authoritative time source when the time difference is greater than {{ insert: param, sc-45.01_odp.03 }}.' links: - href: '#sc-45.1_smt.b' rel: assessment-for links: - href: '#sc-45.1_smt' rel: assessment-for - id: sc-45.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-45(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing time synchronization system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-45.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-45(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system - id: sc-45.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-45(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing system time synchronization - id: sc-45.2 class: SP800-53-enhancement title: Secondary Authoritative Time Source props: - name: label value: SC-45(02) class: zero-padded - name: label value: SC-45(2) - name: label value: SC-45(02) class: sp800-53a - name: sort-id value: sc-45.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-45' rel: required parts: - id: sc-45.2_smt name: statement parts: - id: sc-45.2_smt.a name: item props: - name: label value: (a) prose: Identify a secondary authoritative time source that is in a different geographic region than the primary authoritative time source; and - id: sc-45.2_smt.b name: item props: - name: label value: (b) prose: Synchronize the internal system clocks to the secondary authoritative time source if the primary authoritative time source is unavailable. - id: sc-45.2_gdn name: guidance prose: It may be necessary to employ geolocation information to determine that the secondary authoritative time source is in a different geographic region. - id: sc-45.2_obj name: assessment-objective props: - name: label value: SC-45(02) class: sp800-53a parts: - id: sc-45.2_obj.a name: assessment-objective props: - name: label value: SC-45(02)(a) class: sp800-53a prose: a secondary authoritative time source is identified that is in a different geographic region than the primary authoritative time source; links: - href: '#sc-45.2_smt.a' rel: assessment-for - id: sc-45.2_obj.b name: assessment-objective props: - name: label value: SC-45(02)(b) class: sp800-53a prose: the internal system clocks are synchronized to the secondary authoritative time source if the primary authoritative time source is unavailable. links: - href: '#sc-45.2_smt.b' rel: assessment-for links: - href: '#sc-45.2_smt' rel: assessment-for - id: sc-45.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-45(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing time synchronization system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-45.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-45(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system - id: sc-45.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-45(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing system time synchronization with secondary authoritative time sources - id: sc-46 class: SP800-53 title: Cross Domain Policy Enforcement params: - id: sc-46_odp props: - name: alt-identifier value: sc-46_prm_1 - name: label value: SC-46_ODP class: sp800-53a select: choice: - physically - logically props: - name: label value: SC-46 class: zero-padded - name: label value: SC-46 - name: label value: SC-46 class: sp800-53a - name: sort-id value: sc-46 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#ac-4' rel: related - href: '#sc-7' rel: related parts: - id: sc-46_smt name: statement prose: 'Implement a policy enforcement mechanism {{ insert: param, sc-46_odp }} between the physical and/or network interfaces for the connecting security domains.' - id: sc-46_gdn name: guidance prose: For logical policy enforcement mechanisms, organizations avoid creating a logical path between interfaces to prevent the ability to bypass the policy enforcement mechanism. For physical policy enforcement mechanisms, the robustness of physical isolation afforded by the physical implementation of policy enforcement to preclude the presence of logical covert channels penetrating the security domain may be needed. Contact [ncdsmo@nsa.gov](mailto:ncdsmo@nsa.gov) for more information. - id: sc-46_obj name: assessment-objective props: - name: label value: SC-46 class: sp800-53a prose: 'a policy enforcement mechanism is {{ insert: param, sc-46_odp }} implemented between the physical and/or network interfaces for the connecting security domains.' links: - href: '#sc-46_smt' rel: assessment-for - id: sc-46_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-46-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing cross-domain policy enforcement system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-46_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-46-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system - id: sc-46_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-46-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing cross-domain policy enforcement - id: sc-47 class: SP800-53 title: Alternate Communications Paths params: - id: sc-47_odp props: - name: alt-identifier value: sc-47_prm_1 - name: alt-label value: alternate communications paths class: sp800-53 - name: label value: SC-47_ODP class: sp800-53a label: alternate communication paths guidelines: - prose: alternate communication paths for system operations and operational command and control are defined; props: - name: label value: SC-47 class: zero-padded - name: label value: SC-47 - name: label value: SC-47 class: sp800-53a - name: sort-id value: sc-47 - 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: '#bc39f179-c735-4da2-b7a7-b2b622119755' rel: reference - href: '#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb' rel: reference - href: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference - href: '#cp-2' rel: related - href: '#cp-8' rel: related parts: - id: sc-47_smt name: statement prose: 'Establish {{ insert: param, sc-47_odp }} for system operations organizational command and control.' - id: sc-47_gdn name: guidance prose: An incident, whether adversarial- or nonadversarial-based, can disrupt established communications paths used for system operations and organizational command and control. Alternate communications paths reduce the risk of all communications paths being affected by the same incident. To compound the problem, the inability of organizational officials to obtain timely information about disruptions or to provide timely direction to operational elements after a communications path incident, can impact the ability of the organization to respond to such incidents in a timely manner. Establishing alternate communications paths for command and control purposes, including designating alternative decision makers if primary decision makers are unavailable and establishing the extent and limitations of their actions, can greatly facilitate the organization’s ability to continue to operate and take appropriate actions during an incident. - id: sc-47_obj name: assessment-objective props: - name: label value: SC-47 class: sp800-53a prose: '{{ insert: param, sc-47_odp }} are established for system operations and operational command and control.' links: - href: '#sc-47_smt' rel: assessment-for - id: sc-47_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-47-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing communication paths system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-47_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-47-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers - id: sc-47_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-47-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing alternate communication paths for system operations - id: sc-48 class: SP800-53 title: Sensor Relocation params: - id: sc-48_odp.01 props: - name: alt-identifier value: sc-48_prm_1 - name: label value: SC-48_ODP[01] class: sp800-53a label: sensors and monitoring capabilities guidelines: - prose: sensors and monitoring capabilities to be relocated are defined; - id: sc-48_odp.02 props: - name: alt-identifier value: sc-48_prm_2 - name: label value: SC-48_ODP[02] class: sp800-53a label: locations guidelines: - prose: locations to where sensors and monitoring capabilities are to be relocated are defined; - id: sc-48_odp.03 props: - name: alt-identifier value: sc-48_prm_3 - name: label value: SC-48_ODP[03] class: sp800-53a label: conditions or circumstances guidelines: - prose: conditions or circumstances for relocating sensors and monitoring capabilities are defined; props: - name: label value: SC-48 class: zero-padded - name: label value: SC-48 - name: label value: SC-48 class: sp800-53a - name: sort-id value: sc-48 - 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: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference - href: '#au-2' rel: related - href: '#sc-7' rel: related - href: '#si-4' rel: related parts: - id: sc-48_smt name: statement prose: 'Relocate {{ insert: param, sc-48_odp.01 }} to {{ insert: param, sc-48_odp.02 }} under the following conditions or circumstances: {{ insert: param, sc-48_odp.03 }}.' - id: sc-48_gdn name: guidance prose: Adversaries may take various paths and use different approaches as they move laterally through an organization (including its systems) to reach their target or as they attempt to exfiltrate information from the organization. The organization often only has a limited set of monitoring and detection capabilities, and they may be focused on the critical or likely infiltration or exfiltration paths. By using communications paths that the organization typically does not monitor, the adversary can increase its chances of achieving its desired goals. By relocating its sensors or monitoring capabilities to new locations, the organization can impede the adversary’s ability to achieve its goals. The relocation of the sensors or monitoring capabilities might be done based on threat information that the organization has acquired or randomly to confuse the adversary and make its lateral transition through the system or organization more challenging. - id: sc-48_obj name: assessment-objective props: - name: label value: SC-48 class: sp800-53a prose: '{{ insert: param, sc-48_odp.01 }} are relocated to {{ insert: param, sc-48_odp.02 }} under {{ insert: param, sc-48_odp.03 }}.' links: - href: '#sc-48_smt' rel: assessment-for - id: sc-48_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-48-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing sensor and monitoring capability relocation list of sensors/monitoring capabilities to be relocated change control records configuration management records system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-48_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-48-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system - id: sc-48_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-48-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing sensor relocation controls: - id: sc-48.1 class: SP800-53-enhancement title: Dynamic Relocation of Sensors or Monitoring Capabilities params: - id: sc-48.01_odp.01 props: - name: alt-identifier value: sc-48.1_prm_1 - name: label value: SC-48(01)_ODP[01] class: sp800-53a label: sensors and monitoring capabilities guidelines: - prose: sensors and monitoring capabilities to be dynamically relocated are defined; - id: sc-48.01_odp.02 props: - name: alt-identifier value: sc-48.1_prm_2 - name: label value: SC-48(01)_ODP[02] class: sp800-53a label: locations guidelines: - prose: locations to where sensors and monitoring capabilities are to be dynamically relocated are defined; - id: sc-48.01_odp.03 props: - name: alt-identifier value: sc-48.1_prm_3 - name: label value: SC-48(01)_ODP[03] class: sp800-53a label: conditions or circumstances guidelines: - prose: conditions or circumstances for dynamically relocating sensors and monitoring capabilities are defined; props: - name: label value: SC-48(01) class: zero-padded - name: label value: SC-48(1) - name: label value: SC-48(01) class: sp800-53a - name: sort-id value: sc-48.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#sc-48' rel: required parts: - id: sc-48.1_smt name: statement prose: 'Dynamically relocate {{ insert: param, sc-48.01_odp.01 }} to {{ insert: param, sc-48.01_odp.02 }} under the following conditions or circumstances: {{ insert: param, sc-48.01_odp.03 }}.' - id: sc-48.1_gdn name: guidance prose: None. - id: sc-48.1_obj name: assessment-objective props: - name: label value: SC-48(01) class: sp800-53a prose: '{{ insert: param, sc-48.01_odp.01 }} are dynamically relocated to {{ insert: param, sc-48.01_odp.02 }} under {{ insert: param, sc-48.01_odp.03 }}.' links: - href: '#sc-48.1_smt' rel: assessment-for - id: sc-48.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-48(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing sensor and monitoring capability relocation list of sensors/monitoring capabilities to be relocated change control records configuration management records system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-48.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-48(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system - id: sc-48.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-48(01)-Test class: sp800-53a parts: - name: assessment-objects prose: 'SELECT FROM: Mechanisms supporting and/or implementing sensor relocation' - id: sc-49 class: SP800-53 title: Hardware-enforced Separation and Policy Enforcement params: - id: sc-49_odp props: - name: alt-identifier value: sc-49_prm_1 - name: label value: SC-49_ODP class: sp800-53a label: security domains guidelines: - prose: security domains requiring hardware-enforced separation and policy enforcement mechanisms are defined; props: - name: label value: SC-49 class: zero-padded - name: label value: SC-49 - name: label value: SC-49 class: sp800-53a - name: sort-id value: sc-49 - 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: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#ac-4' rel: related - href: '#sa-8' rel: related - href: '#sc-50' rel: related parts: - id: sc-49_smt name: statement prose: 'Implement hardware-enforced separation and policy enforcement mechanisms between {{ insert: param, sc-49_odp }}.' - id: sc-49_gdn name: guidance prose: System owners may require additional strength of mechanism and robustness to ensure domain separation and policy enforcement for specific types of threats and environments of operation. Hardware-enforced separation and policy enforcement provide greater strength of mechanism than software-enforced separation and policy enforcement. - id: sc-49_obj name: assessment-objective props: - name: label value: SC-49 class: sp800-53a prose: 'hardware-enforced separation and policy enforcement mechanisms are implemented between {{ insert: param, sc-49_odp }}.' links: - href: '#sc-49_smt' rel: assessment-for - id: sc-49_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-49-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing cross-domain policy enforcement system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-49_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-49-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system - id: sc-49_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-49-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing hardware-enforced security domain separation and policy enforcement - id: sc-50 class: SP800-53 title: Software-enforced Separation and Policy Enforcement params: - id: sc-50_odp props: - name: alt-identifier value: sc-50_prm_1 - name: label value: SC-50_ODP class: sp800-53a label: security domains guidelines: - prose: security domains requiring software-enforced separation and policy enforcement mechanisms are defined; props: - name: label value: SC-50 class: zero-padded - name: label value: SC-50 - name: label value: SC-50 class: sp800-53a - name: sort-id value: sc-50 - 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: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#sa-8' rel: related - href: '#sc-2' rel: related - href: '#sc-3' rel: related - href: '#sc-49' rel: related parts: - id: sc-50_smt name: statement prose: 'Implement software-enforced separation and policy enforcement mechanisms between {{ insert: param, sc-50_odp }}.' - id: sc-50_gdn name: guidance prose: System owners may require additional strength of mechanism to ensure domain separation and policy enforcement for specific types of threats and environments of operation. - id: sc-50_obj name: assessment-objective props: - name: label value: SC-50 class: sp800-53a prose: 'software-enforced separation and policy enforcement mechanisms are implemented between {{ insert: param, sc-50_odp }}.' links: - href: '#sc-50_smt' rel: assessment-for - id: sc-50_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-50-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing cross-domain policy enforcement system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: sc-50_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-50-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system - id: sc-50_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-50-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing software-enforced separation and policy enforcement - id: sc-51 class: SP800-53 title: Hardware-based Protection params: - id: sc-51_odp.01 props: - name: alt-identifier value: sc-51_prm_1 - name: label value: SC-51_ODP[01] class: sp800-53a label: system firmware components guidelines: - prose: system firmware components requiring hardware-based write-protect are defined; - id: sc-51_odp.02 props: - name: alt-identifier value: sc-51_prm_2 - name: label value: SC-51_ODP[02] class: sp800-53a label: authorized individuals guidelines: - prose: authorized individuals requiring procedures for disabling and re-enabling hardware write-protect are defined; props: - name: label value: SC-51 class: zero-padded - name: label value: SC-51 - name: label value: SC-51 class: sp800-53a - name: sort-id value: sc-51 - 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" parts: - id: sc-51_smt name: statement parts: - id: sc-51_smt.a name: item props: - name: label value: a. prose: 'Employ hardware-based, write-protect for {{ insert: param, sc-51_odp.01 }} ; and' - id: sc-51_smt.b name: item props: - name: label value: b. prose: 'Implement specific procedures for {{ insert: param, sc-51_odp.02 }} to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.' - id: sc-51_gdn name: guidance prose: None. - id: sc-51_obj name: assessment-objective props: - name: label value: SC-51 class: sp800-53a parts: - id: sc-51_obj.a name: assessment-objective props: - name: label value: SC-51a. class: sp800-53a prose: 'hardware-based write-protect for {{ insert: param, sc-51_odp.01 }} is employed;' links: - href: '#sc-51_smt.a' rel: assessment-for - id: sc-51_obj.b name: assessment-objective props: - name: label value: SC-51b. class: sp800-53a parts: - id: sc-51_obj.b-1 name: assessment-objective props: - name: label value: SC-51b.[01] class: sp800-53a prose: 'specific procedures are implemented for {{ insert: param, sc-51_odp.02 }} to manually disable hardware write-protect for firmware modifications;' links: - href: '#sc-51_smt.b' rel: assessment-for - id: sc-51_obj.b-2 name: assessment-objective props: - name: label value: SC-51b.[02] class: sp800-53a prose: 'specific procedures are implemented for {{ insert: param, sc-51_odp.02 }} to re-enable the write-protect prior to returning to operational mode.' links: - href: '#sc-51_smt.b' rel: assessment-for links: - href: '#sc-51_smt.b' rel: assessment-for links: - href: '#sc-51_smt' rel: assessment-for - id: sc-51_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SC-51-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and communications protection policy procedures addressing firmware modifications system design documentation system configuration settings and associated documentation system architecture system audit records system security plan other relevant documents or records - id: sc-51_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SC-51-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 system developers/integrators - id: sc-51_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SC-51-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for modifying system firmware mechanisms supporting and/or implementing hardware-based write-protection for system firmware - 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 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 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 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: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 guidelines: - prose: time period within which to install security-relevant software updates after the release of the updates is defined; props: - name: label value: SI-02 class: zero-padded - name: label value: SI-2 - name: label value: SI-02 class: sp800-53a - name: sort-id value: si-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#155f941a-cba9-4afd-9ca6-5d040d697ba9' rel: reference - href: '#20db4e66-e257-450c-b2e4-2bb9a62a2c88' rel: reference - href: '#aa5d04e0-6090-4e17-84d4-b9963d55fc2c' rel: reference - href: '#ca-5' rel: related - href: '#cm-3' rel: related - href: '#cm-4' rel: related - href: '#cm-5' rel: related - href: '#cm-6' rel: related - href: '#cm-8' rel: related - href: '#ma-2' rel: related - href: '#ra-5' rel: related - href: '#sa-8' rel: related - href: '#sa-10' rel: related - href: '#sa-11' rel: related - href: '#si-3' rel: related - href: '#si-5' rel: related - href: '#si-7' rel: related - href: '#si-11' rel: related parts: - id: si-2_smt name: statement parts: - id: si-2_smt.a name: item props: - name: label value: a. prose: Identify, report, and correct system flaws; - id: si-2_smt.b name: item props: - 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: 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: 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: 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: 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: 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: label value: SI-02d. class: sp800-53a prose: flaw remediation is incorporated into the organizational configuration management process. links: - href: '#si-2_smt.d' rel: assessment-for links: - href: '#si-2_smt' rel: assessment-for - id: si-2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-02-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing flaw remediation procedures addressing configuration management list of flaws and vulnerabilities potentially affecting the system list of recent security flaw remediation actions performed on the system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct system flaws) test results from the installation of software and firmware updates to correct system flaws installation/change control records for security-relevant software and firmware updates system security plan privacy plan other relevant documents or records - id: si-2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-02-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities organizational personnel responsible for installing, configuring, and/or maintaining the system organizational personnel responsible for flaw remediation organizational personnel with configuration management responsibilities - id: si-2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-02-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for identifying, reporting, and correcting system flaws organizational process for installing software and firmware updates mechanisms supporting and/or implementing the reporting and correcting of system flaws mechanisms supporting and/or implementing testing software and firmware updates controls: - id: si-2.1 class: SP800-53-enhancement title: Central Management props: - name: label value: SI-02(01) class: zero-padded - name: label value: SI-2(1) - name: label value: SI-02(01) class: sp800-53a - name: sort-id value: si-02.01 - name: status value: withdrawn links: - href: '#pl-9' rel: incorporated-into - id: si-2.2 class: SP800-53-enhancement title: Automated Flaw Remediation Status params: - id: si-02.02_odp.01 props: - name: alt-identifier value: si-2.2_prm_1 - name: label value: SI-02(02)_ODP[01] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms to determine if applicable security-relevant software and firmware updates are installed on system components are defined; - id: si-02.02_odp.02 props: - name: alt-identifier value: si-2.2_prm_2 - name: label value: SI-02(02)_ODP[02] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to determine if applicable security-relevant software and firmware updates are installed on system components is defined; props: - name: label value: SI-02(02) class: zero-padded - name: label value: SI-2(2) - name: label value: SI-02(02) class: sp800-53a - name: sort-id value: si-02.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#si-2' rel: required - href: '#ca-7' rel: related - href: '#si-4' rel: related parts: - id: si-2.2_smt name: statement prose: 'Determine if system components have applicable security-relevant software and firmware updates installed using {{ insert: param, si-02.02_odp.01 }} {{ insert: param, si-02.02_odp.02 }}.' - id: si-2.2_gdn name: guidance prose: Automated mechanisms can track and determine the status of known flaws for system components. - id: si-2.2_obj name: assessment-objective props: - name: label value: SI-02(02) class: sp800-53a prose: 'system components have applicable security-relevant software and firmware updates installed {{ insert: param, si-02.02_odp.02 }} using {{ insert: param, si-02.02_odp.01 }}.' links: - href: '#si-2.2_smt' rel: assessment-for - id: si-2.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-02(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing flaw remediation automated mechanisms supporting centralized management of flaw remediation system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-2.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-02(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for flaw remediation - id: si-2.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-02(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms used to determine the state of system components with regard to flaw remediation - id: si-2.3 class: SP800-53-enhancement title: Time to Remediate Flaws and Benchmarks for Corrective Actions params: - id: si-02.03_odp props: - name: alt-identifier value: si-2.3_prm_1 - name: label value: SI-02(03)_ODP class: sp800-53a label: benchmarks guidelines: - prose: the benchmarks for taking corrective actions are defined; props: - name: label value: SI-02(03) class: zero-padded - name: label value: SI-2(3) - name: label value: SI-02(03) class: sp800-53a - name: sort-id value: si-02.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#si-2' rel: required parts: - id: si-2.3_smt name: statement parts: - id: si-2.3_smt.a name: item props: - name: label value: (a) prose: Measure the time between flaw identification and flaw remediation; and - id: si-2.3_smt.b name: item props: - name: label value: (b) prose: 'Establish the following benchmarks for taking corrective actions: {{ insert: param, si-02.03_odp }}.' - id: si-2.3_gdn name: guidance prose: Organizations determine the time it takes on average to correct system flaws after such flaws have been identified and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by the type of flaw or the severity of the potential vulnerability if the flaw can be exploited. - id: si-2.3_obj name: assessment-objective props: - name: label value: SI-02(03) class: sp800-53a parts: - id: si-2.3_obj.a name: assessment-objective props: - name: label value: SI-02(03)(a) class: sp800-53a prose: the time between flaw identification and flaw remediation is measured; links: - href: '#si-2.3_smt.a' rel: assessment-for - id: si-2.3_obj.b name: assessment-objective props: - name: label value: SI-02(03)(b) class: sp800-53a prose: '{{ insert: param, si-02.03_odp }} for taking corrective actions have been established.' links: - href: '#si-2.3_smt.b' rel: assessment-for links: - href: '#si-2.3_smt' rel: assessment-for - id: si-2.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-02(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing flaw remediation system design documentation system configuration settings and associated documentation list of benchmarks for taking corrective action on identified flaws records that provide timestamps of flaw identification and subsequent flaw remediation activities system security plan other relevant documents or records - id: si-2.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-02(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for flaw remediation - id: si-2.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-02(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for identifying, reporting, and correcting system flaws mechanisms used to measure the time between flaw identification and flaw remediation - id: si-2.4 class: SP800-53-enhancement title: Automated Patch Management Tools params: - id: si-02.04_odp props: - name: alt-identifier value: si-2.4_prm_1 - name: alt-label value: system components class: sp800-53 - name: label value: SI-02(04)_ODP class: sp800-53a label: components guidelines: - prose: the system components requiring automated patch management tools to facilitate flaw remediation are defined; props: - name: label value: SI-02(04) class: zero-padded - name: label value: SI-2(4) - name: label value: SI-02(04) class: sp800-53a - name: sort-id value: si-02.04 - 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: '#si-2' rel: required parts: - id: si-2.4_smt name: statement prose: 'Employ automated patch management tools to facilitate flaw remediation to the following system components: {{ insert: param, si-02.04_odp }}.' - id: si-2.4_gdn name: guidance prose: Using automated tools to support patch management helps to ensure the timeliness and completeness of system patching operations. - id: si-2.4_obj name: assessment-objective props: - name: label value: SI-02(04) class: sp800-53a prose: 'automated patch management tools are employed to facilitate flaw remediation to {{ insert: param, si-02.04_odp }}.' links: - href: '#si-2.4_smt' rel: assessment-for - id: si-2.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-02(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing flaw remediation mechanisms supporting flaw remediation and automatic software/firmware updates system design documentation system configuration settings and associated documentation list of system flaws records of recent security-relevant software and firmware updates that are automatically installed to system components system audit records system security plan other relevant documents or records - id: si-2.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-02(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 flaw remediation - id: si-2.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-02(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Automated patch management tools mechanisms implementing automatic software/firmware updates mechanisms facilitating flaw remediation to system components - id: si-2.5 class: SP800-53-enhancement title: Automatic Software and Firmware Updates params: - id: si-02.05_odp.01 props: - name: alt-identifier value: si-2.5_prm_1 - name: label value: SI-02(05)_ODP[01] class: sp800-53a label: security-relevant software and firmware updates guidelines: - prose: security-relevant software and firmware updates to be automatically installed to system components are defined; - id: si-02.05_odp.02 props: - name: alt-identifier value: si-2.5_prm_2 - name: label value: SI-02(05)_ODP[02] class: sp800-53a label: system components guidelines: - prose: system components requiring security-relevant software updates to be automatically installed are defined; props: - name: label value: SI-02(05) class: zero-padded - name: label value: SI-2(5) - name: label value: SI-02(05) class: sp800-53a - name: sort-id value: si-02.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#si-2' rel: required parts: - id: si-2.5_smt name: statement prose: 'Install {{ insert: param, si-02.05_odp.01 }} automatically to {{ insert: param, si-02.05_odp.02 }}.' - id: si-2.5_gdn name: guidance prose: Due to system integrity and availability concerns, organizations consider the methodology used to carry out automatic updates. Organizations balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and control with any mission or operational impacts that automatic updates might impose. - id: si-2.5_obj name: assessment-objective props: - name: label value: SI-02(05) class: sp800-53a prose: '{{ insert: param, si-02.05_odp.01 }} are installed automatically to {{ insert: param, si-02.05_odp.02 }}.' links: - href: '#si-2.5_smt' rel: assessment-for - id: si-2.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-02(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing flaw remediation mechanisms supporting flaw remediation and automatic software/firmware updates system design documentation system configuration settings and associated documentation records of recent security-relevant software and firmware updates automatically installed to system components system audit records system security plan other relevant documents or records - id: si-2.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-02(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for flaw remediation - id: si-2.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-02(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms implementing automatic software/firmware updates - id: si-2.6 class: SP800-53-enhancement title: Removal of Previous Versions of Software and Firmware params: - id: si-02.06_odp props: - name: alt-identifier value: si-2.6_prm_1 - name: label value: SI-02(06)_ODP class: sp800-53a label: software and firmware components guidelines: - prose: software and firmware components to be removed after updated versions have been installed are defined; props: - name: label value: SI-02(06) class: zero-padded - name: label value: SI-2(6) - name: label value: SI-02(06) class: sp800-53a - name: sort-id value: si-02.06 - 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: '#si-2' rel: required parts: - id: si-2.6_smt name: statement prose: 'Remove previous versions of {{ insert: param, si-02.06_odp }} after updated versions have been installed.' - id: si-2.6_gdn name: guidance prose: Previous versions of software or firmware components that are not removed from the system after updates have been installed may be exploited by adversaries. Some products may automatically remove previous versions of software and firmware from the system. - id: si-2.6_obj name: assessment-objective props: - name: label value: SI-02(06) class: sp800-53a prose: 'previous versions of {{ insert: param, si-02.06_odp }} are removed after updated versions have been installed.' links: - href: '#si-2.6_smt' rel: assessment-for - id: si-2.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-02(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing flaw remediation mechanisms supporting flaw remediation system design documentation system configuration settings and associated documentation records of software and firmware component removals after updated versions are installed system audit records system security plan other relevant documents or records - id: si-2.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-02(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for flaw remediation - id: si-2.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-02(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the removal of previous versions of software/firmware - 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 select: how-many: one-or-more choice: - signature-based - 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 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 select: how-many: one-or-more choice: - endpoint - 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 select: how-many: one-or-more choice: - block malicious code - quarantine malicious code - 'take {{ insert: param, si-03_odp.05 }} ' - 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 guidelines: - prose: personnel or roles to be alerted when malicious code is detected is/are defined; props: - name: label value: SI-03 class: zero-padded - name: label value: SI-3 - name: label value: SI-03 class: sp800-53a - name: sort-id value: si-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#3dd249b0-f57d-44ba-a03e-c3eab1b835ff' rel: reference - href: '#88660532-2dcf-442e-845c-03340ce48999' rel: reference - href: '#1c71b420-2bd9-4e52-9fc8-390f58b85b59' rel: reference - href: '#ac-4' rel: related - href: '#ac-19' rel: related - href: '#cm-3' rel: related - href: '#cm-8' rel: related - href: '#ir-4' rel: related - href: '#ma-3' rel: related - href: '#ma-4' rel: related - href: '#pl-9' rel: related - href: '#ra-5' rel: related - href: '#sc-7' rel: related - href: '#sc-23' rel: related - href: '#sc-26' rel: related - href: '#sc-28' rel: related - href: '#sc-44' rel: related - href: '#si-2' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related - href: '#si-8' rel: related - href: '#si-15' rel: related parts: - id: si-3_smt name: statement parts: - id: si-3_smt.a name: item props: - 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 controls: - id: si-3.1 class: SP800-53-enhancement title: Central Management props: - name: label value: SI-03(01) class: zero-padded - name: label value: SI-3(1) - name: label value: SI-03(01) class: sp800-53a - name: sort-id value: si-03.01 - name: status value: withdrawn links: - href: '#pl-9' rel: incorporated-into - id: si-3.2 class: SP800-53-enhancement title: Automatic Updates props: - name: label value: SI-03(02) class: zero-padded - name: label value: SI-3(2) - name: label value: SI-03(02) class: sp800-53a - name: sort-id value: si-03.02 - name: status value: withdrawn links: - href: '#si-3' rel: incorporated-into - id: si-3.3 class: SP800-53-enhancement title: Non-privileged Users props: - name: label value: SI-03(03) class: zero-padded - name: label value: SI-3(3) - name: label value: SI-03(03) class: sp800-53a - name: sort-id value: si-03.03 - name: status value: withdrawn links: - href: '#ac-6.10' rel: incorporated-into - id: si-3.4 class: SP800-53-enhancement title: Updates Only by Privileged Users props: - name: label value: SI-03(04) class: zero-padded - name: label value: SI-3(4) - name: label value: SI-03(04) class: sp800-53a - name: sort-id value: si-03.04 - 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: '#si-3' rel: required - href: '#cm-5' rel: related parts: - id: si-3.4_smt name: statement prose: Update malicious code protection mechanisms only when directed by a privileged user. - id: si-3.4_gdn name: guidance prose: Protection mechanisms for malicious code are typically categorized as security-related software and, as such, are only updated by organizational personnel with appropriate access privileges. - id: si-3.4_obj name: assessment-objective props: - name: label value: SI-03(04) class: sp800-53a prose: malicious code protection mechanisms are updated only when directed by a privileged user. links: - href: '#si-3.4_smt' rel: assessment-for - id: si-3.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-03(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing malicious code protection list of privileged users on system system design documentation malicious code protection mechanisms records of malicious code protection updates system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-3.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-03(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for malicious code protection - id: si-3.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-03(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing malicious code protection capabilities - id: si-3.5 class: SP800-53-enhancement title: Portable Storage Devices props: - name: label value: SI-03(05) class: zero-padded - name: label value: SI-3(5) - name: label value: SI-03(05) class: sp800-53a - name: sort-id value: si-03.05 - name: status value: withdrawn links: - href: '#mp-7' rel: incorporated-into - id: si-3.6 class: SP800-53-enhancement title: Testing and Verification params: - id: si-03.06_odp props: - name: alt-identifier value: si-3.6_prm_1 - name: label value: SI-03(06)_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency at which to test malicious code protection mechanisms is defined; props: - name: label value: SI-03(06) class: zero-padded - name: label value: SI-3(6) - name: label value: SI-03(06) class: sp800-53a - name: sort-id value: si-03.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#si-3' rel: required - href: '#ca-2' rel: related - href: '#ca-7' rel: related - href: '#ra-5' rel: related parts: - id: si-3.6_smt name: statement parts: - id: si-3.6_smt.a name: item props: - name: label value: (a) prose: 'Test malicious code protection mechanisms {{ insert: param, si-03.06_odp }} by introducing known benign code into the system; and' - id: si-3.6_smt.b name: item props: - name: label value: (b) prose: Verify that the detection of the code and the associated incident reporting occur. - id: si-3.6_gdn name: guidance prose: None. - id: si-3.6_obj name: assessment-objective props: - name: label value: SI-03(06) class: sp800-53a parts: - id: si-3.6_obj.a name: assessment-objective props: - name: label value: SI-03(06)(a) class: sp800-53a prose: 'malicious code protection mechanisms are tested {{ insert: param, si-03.06_odp }} by introducing known benign code into the system;' links: - href: '#si-3.6_smt.a' rel: assessment-for - id: si-3.6_obj.b name: assessment-objective props: - name: label value: SI-03(06)(b) class: sp800-53a parts: - id: si-3.6_obj.b-1 name: assessment-objective props: - name: label value: SI-03(06)(b)[01] class: sp800-53a prose: the detection of (benign test) code occurs; links: - href: '#si-3.6_smt.b' rel: assessment-for - id: si-3.6_obj.b-2 name: assessment-objective props: - name: label value: SI-03(06)(b)[02] class: sp800-53a prose: the associated incident reporting occurs. links: - href: '#si-3.6_smt.b' rel: assessment-for links: - href: '#si-3.6_smt.b' rel: assessment-for links: - href: '#si-3.6_smt' rel: assessment-for - id: si-3.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-03(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing malicious code protection system design documentation system configuration settings and associated documentation test cases records providing evidence of test cases executed on malicious code protection mechanisms system audit records system security plan other relevant documents or records - id: si-3.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-03(06)-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 - id: si-3.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-03(06)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the testing and verification of malicious code protection capabilities - id: si-3.7 class: SP800-53-enhancement title: Nonsignature-based Detection props: - name: label value: SI-03(07) class: zero-padded - name: label value: SI-3(7) - name: label value: SI-03(07) class: sp800-53a - name: sort-id value: si-03.07 - name: status value: withdrawn links: - href: '#si-3' rel: incorporated-into - id: si-3.8 class: SP800-53-enhancement title: Detect Unauthorized Commands params: - id: si-03.08_odp.01 props: - name: alt-identifier value: si-3.8_prm_2 - name: label value: SI-03(08)_ODP[01] class: sp800-53a label: unauthorized operating system commands guidelines: - prose: system hardware components for which unauthorized operating system commands are to be detected through the kernel application programming interface are defined; - id: si-03.08_odp.02 props: - name: alt-identifier value: si-3.8_prm_1 - name: label value: SI-03(08)_ODP[02] class: sp800-53a label: system hardware components guidelines: - prose: unauthorized operating system commands to be detected are defined; - id: si-03.08_odp.03 props: - name: alt-identifier value: si-3.8_prm_3 - name: label value: SI-03(08)_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - issue a warning - audit the command execution - prevent the execution of the command props: - name: label value: SI-03(08) class: zero-padded - name: label value: SI-3(8) - name: label value: SI-03(08) class: sp800-53a - name: sort-id value: si-03.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#si-3' rel: required - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#au-12' rel: related parts: - id: si-3.8_smt name: statement parts: - id: si-3.8_smt.a name: item props: - name: label value: (a) prose: 'Detect the following unauthorized operating system commands through the kernel application programming interface on {{ insert: param, si-03.08_odp.02 }}: {{ insert: param, si-03.08_odp.01 }} ; and' - id: si-3.8_smt.b name: item props: - name: label value: (b) prose: '{{ insert: param, si-03.08_odp.03 }}.' - id: si-3.8_gdn name: guidance prose: Detecting unauthorized commands can be applied to critical interfaces other than kernel-based interfaces, including interfaces with virtual machines and privileged applications. Unauthorized operating system commands include commands for kernel functions from system processes that are not trusted to initiate such commands as well as commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can also define hardware components by component type, component, component location in the network, or a combination thereof. Organizations may select different actions for different types, classes, or instances of malicious commands. - id: si-3.8_obj name: assessment-objective props: - name: label value: SI-03(08) class: sp800-53a parts: - id: si-3.8_obj.a name: assessment-objective props: - name: label value: SI-03(08)(a) class: sp800-53a prose: '{{ insert: param, si-03.08_odp.01 }} are detected through the kernel application programming interface on {{ insert: param, si-03.08_odp.02 }};' links: - href: '#si-3.8_smt.a' rel: assessment-for - id: si-3.8_obj.b name: assessment-objective props: - name: label value: SI-03(08)(b) class: sp800-53a prose: '{{ insert: param, si-03.08_odp.03 }} is/are performed.' links: - href: '#si-3.8_smt.b' rel: assessment-for links: - href: '#si-3.8_smt' rel: assessment-for - id: si-3.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-03(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing malicious code protection system design documentation malicious code protection mechanisms warning messages sent upon the detection of unauthorized operating system command execution system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-3.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-03(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for malicious code protection - id: si-3.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-03(08)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms supporting and/or implementing malicious code protection capabilities mechanisms supporting and/or implementing the detection of unauthorized operating system commands through the kernel application programming interface - id: si-3.9 class: SP800-53-enhancement title: Authenticate Remote Commands props: - name: label value: SI-03(09) class: sp800-53a - name: label value: SI-03(09) class: sp800-53a - name: sort-id value: si-03.09 - name: status value: withdrawn links: - href: '#ac-17.10' rel: moved-to - id: si-3.10 class: SP800-53-enhancement title: Malicious Code Analysis params: - id: si-03.10_odp props: - name: alt-identifier value: si-3.10_prm_1 - name: label value: SI-03(10)_ODP class: sp800-53a label: tools and techniques guidelines: - prose: tools and techniques to be employed to analyze the characteristics and behavior of malicious code are defined; props: - name: label value: SI-03(10) class: zero-padded - name: label value: SI-3(10) - name: label value: SI-03(10) class: sp800-53a - name: sort-id value: si-03.10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#si-3' rel: required parts: - id: si-3.10_smt name: statement parts: - id: si-3.10_smt.a name: item props: - name: label value: (a) prose: 'Employ the following tools and techniques to analyze the characteristics and behavior of malicious code: {{ insert: param, si-03.10_odp }} ; and' - id: si-3.10_smt.b name: item props: - name: label value: (b) prose: Incorporate the results from malicious code analysis into organizational incident response and flaw remediation processes. - id: si-3.10_gdn name: guidance prose: The use of malicious code analysis tools provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by employing reverse engineering techniques or by monitoring the behavior of executing code. - id: si-3.10_obj name: assessment-objective props: - name: label value: SI-03(10) class: sp800-53a parts: - id: si-3.10_obj.a name: assessment-objective props: - name: label value: SI-03(10)(a) class: sp800-53a prose: '{{ insert: param, si-03.10_odp }} are employed to analyze the characteristics and behavior of malicious code;' links: - href: '#si-3.10_smt.a' rel: assessment-for - id: si-3.10_obj.b name: assessment-objective props: - name: label value: SI-03(10)(b) class: sp800-53a parts: - id: si-3.10_obj.b-1 name: assessment-objective props: - name: label value: SI-03(10)(b)[01] class: sp800-53a prose: the results from malicious code analysis are incorporated into organizational incident response processes; links: - href: '#si-3.10_smt.b' rel: assessment-for - id: si-3.10_obj.b-2 name: assessment-objective props: - name: label value: SI-03(10)(b)[02] class: sp800-53a prose: the results from malicious code analysis are incorporated into organizational flaw remediation processes. links: - href: '#si-3.10_smt.b' rel: assessment-for links: - href: '#si-3.10_smt.b' rel: assessment-for links: - href: '#si-3.10_smt' rel: assessment-for - id: si-3.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-03(10)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing malicious code protection procedures addressing incident response procedures addressing flaw remediation system design documentation malicious code protection mechanisms, tools, and techniques system configuration settings and associated documentation results from malicious code analyses records of flaw remediation events resulting from malicious code analyses system audit records system security plan other relevant documents or records - id: si-3.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-03(10)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for malicious code protection organizational personnel responsible for flaw remediation organizational personnel responsible for incident response/management - id: si-3.10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-03(10)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational process for incident response organizational process for flaw remediation mechanisms supporting and/or implementing malicious code protection capabilities tools and techniques for the analysis of malicious code characteristics and behavior - id: si-4 class: SP800-53 title: System Monitoring params: - id: si-04_odp.01 props: - name: alt-identifier value: si-4_prm_1 - name: label value: SI-04_ODP[01] class: sp800-53a label: monitoring objectives guidelines: - prose: monitoring objectives to detect attacks and indicators of potential attacks on the system are defined; - id: si-04_odp.02 props: - name: alt-identifier value: si-4_prm_2 - name: label value: SI-04_ODP[02] class: sp800-53a label: techniques and methods guidelines: - prose: techniques and methods used to identify unauthorized use of the system are defined; - id: si-04_odp.03 props: - name: alt-identifier value: si-4_prm_3 - name: label value: SI-04_ODP[03] class: sp800-53a label: system monitoring information guidelines: - prose: system monitoring information to be provided to personnel or roles is defined; - id: si-04_odp.04 props: - name: alt-identifier value: si-4_prm_4 - name: label value: SI-04_ODP[04] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom system monitoring information is to be provided is/are defined; - id: si-04_odp.05 props: - name: alt-identifier value: si-4_prm_5 - name: label value: SI-04_ODP[05] class: sp800-53a select: how-many: one-or-more choice: - as needed - '{{ insert: param, si-04_odp.06 }} ' - id: si-04_odp.06 props: - name: alt-identifier value: si-4_prm_6 - name: label value: SI-04_ODP[06] class: sp800-53a label: frequency guidelines: - prose: a frequency for providing system monitoring to personnel or roles is defined (if selected); props: - name: label value: SI-04 class: zero-padded - name: label value: SI-4 - name: label value: SI-04 class: sp800-53a - name: sort-id value: si-04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb' rel: reference - href: '#3dd249b0-f57d-44ba-a03e-c3eab1b835ff' rel: reference - href: '#5eee45d8-3313-4fdc-8d54-1742092bbdd6' rel: reference - href: '#25e3e57b-dc2f-4934-af9b-050b020c6f0e' rel: reference - href: '#067223d8-1ec7-45c5-b21b-c848da6de8fb' rel: reference - href: '#ac-2' rel: related - href: '#ac-3' rel: related - href: '#ac-4' rel: related - href: '#ac-8' rel: related - href: '#ac-17' rel: related - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#au-7' rel: related - href: '#au-9' rel: related - href: '#au-12' rel: related - href: '#au-13' rel: related - href: '#au-14' rel: related - href: '#ca-7' rel: related - href: '#cm-3' rel: related - href: '#cm-6' rel: related - href: '#cm-8' rel: related - href: '#cm-11' rel: related - href: '#ia-10' rel: related - href: '#ir-4' rel: related - href: '#ma-3' rel: related - href: '#ma-4' rel: related - href: '#pl-9' rel: related - href: '#pm-12' rel: related - href: '#ra-5' rel: related - href: '#ra-10' rel: related - href: '#sc-5' rel: related - href: '#sc-7' rel: related - href: '#sc-18' rel: related - href: '#sc-26' rel: related - href: '#sc-31' rel: related - href: '#sc-35' rel: related - href: '#sc-36' rel: related - href: '#sc-37' rel: related - href: '#sc-43' rel: related - href: '#si-3' rel: related - href: '#si-6' rel: related - href: '#si-7' rel: related - href: '#sr-9' rel: related - href: '#sr-10' rel: related parts: - id: si-4_smt name: statement parts: - id: si-4_smt.a name: item props: - name: 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: 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: 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: label value: d. prose: Analyze detected events and anomalies; - id: si-4_smt.e name: item props: - 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: label value: f. prose: Obtain legal opinion regarding system monitoring activities; and - id: si-4_smt.g name: item props: - name: label value: g. prose: 'Provide {{ insert: param, si-04_odp.03 }} to {{ insert: param, si-04_odp.04 }} {{ insert: param, si-04_odp.05 }}.' - id: si-4_gdn name: guidance prose: |- System monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at external interfaces to the system. Internal monitoring includes the observation of events occurring within the system. Organizations monitor systems by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives guide and inform the determination of the events. System monitoring capabilities are achieved through a variety of tools and techniques, including intrusion detection and prevention systems, malicious code protection software, scanning tools, audit record monitoring software, and network monitoring software. Depending on the security architecture, the distribution and configuration of monitoring devices may impact throughput at key internal and external boundaries as well as at other locations across a network due to the introduction of network throughput latency. If throughput management is needed, such devices are strategically located and deployed as part of an established organization-wide security architecture. Strategic locations for monitoring devices include selected perimeter locations and near key servers and server farms that support critical applications. Monitoring devices are typically employed at the managed interfaces associated with controls [SC-7](#sc-7) and [AC-17](#ac-17) . The information collected is a function of the organizational monitoring objectives and the capability of systems to support such objectives. Specific types of transactions of interest include Hypertext Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. System monitoring is an integral part of organizational continuous monitoring and incident response programs, and output from system monitoring serves as input to those programs. System monitoring requirements, including the need for specific types of system monitoring, may be referenced in other controls (e.g., [AC-2g](#ac-2_smt.g), [AC-2(7)](#ac-2.7), [AC-2(12)(a)](#ac-2.12_smt.a), [AC-17(1)](#ac-17.1), [AU-13](#au-13), [AU-13(1)](#au-13.1), [AU-13(2)](#au-13.2), [CM-3f](#cm-3_smt.f), [CM-6d](#cm-6_smt.d), [MA-3a](#ma-3_smt.a), [MA-4a](#ma-4_smt.a), [SC-5(3)(b)](#sc-5.3_smt.b), [SC-7a](#sc-7_smt.a), [SC-7(24)(b)](#sc-7.24_smt.b), [SC-18b](#sc-18_smt.b), [SC-43b](#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_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: 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: 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: 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: 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: 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: 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: 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: 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: label value: SI-04g. class: sp800-53a prose: '{{ insert: param, si-04_odp.03 }} is provided to {{ insert: param, si-04_odp.04 }} {{ insert: param, si-04_odp.05 }}.' links: - href: '#si-4_smt.g' rel: assessment-for links: - href: '#si-4_smt' rel: assessment-for - id: si-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques continuous monitoring strategy facility diagram/layout system design documentation system monitoring tools and techniques documentation locations within the system where monitoring devices are deployed system configuration settings and associated documentation system security plan other relevant documents or records - id: si-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system - id: si-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for system monitoring mechanisms supporting and/or implementing system monitoring capabilities controls: - id: si-4.1 class: SP800-53-enhancement title: System-wide Intrusion Detection System props: - name: label value: SI-04(01) class: zero-padded - name: label value: SI-4(1) - name: label value: SI-04(01) class: sp800-53a - name: sort-id value: si-04.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required parts: - id: si-4.1_smt name: statement prose: Connect and configure individual intrusion detection tools into a system-wide intrusion detection system. - id: si-4.1_gdn name: guidance prose: Linking individual intrusion detection tools into a system-wide intrusion detection system provides additional coverage and effective detection capabilities. The information contained in one intrusion detection tool can be shared widely across the organization, making the system-wide detection capability more robust and powerful. - id: si-4.1_obj name: assessment-objective props: - name: label value: SI-04(01) class: sp800-53a parts: - id: si-4.1_obj-1 name: assessment-objective props: - name: label value: SI-04(01)[01] class: sp800-53a prose: individual intrusion detection tools are connected to a system-wide intrusion detection system; links: - href: '#si-4.1_smt' rel: assessment-for - id: si-4.1_obj-2 name: assessment-objective props: - name: label value: SI-04(01)[02] class: sp800-53a prose: individual intrusion detection tools are configured into a system-wide intrusion detection system. links: - href: '#si-4.1_smt' rel: assessment-for links: - href: '#si-4.1_smt' rel: assessment-for - id: si-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system - id: si-4.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection capabilities - id: si-4.2 class: SP800-53-enhancement title: Automated Tools and Mechanisms for Real-time Analysis props: - name: label value: SI-04(02) class: zero-padded - name: label value: SI-4(2) - name: label value: SI-04(02) class: sp800-53a - name: sort-id value: si-04.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required - href: '#pm-23' rel: related - href: '#pm-25' rel: related parts: - id: si-4.2_smt name: statement prose: Employ automated tools and mechanisms to support near real-time analysis of events. - id: si-4.2_gdn name: guidance prose: Automated tools and mechanisms include host-based, network-based, transport-based, or storage-based event monitoring tools and mechanisms or security information and event management (SIEM) technologies that provide real-time analysis of alerts and notifications generated by organizational systems. Automated monitoring techniques can create unintended privacy risks because automated controls may connect to external or otherwise unrelated systems. The matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan. - id: si-4.2_obj name: assessment-objective props: - name: label value: SI-04(02) class: sp800-53a prose: automated tools and mechanisms are employed to support a near real-time analysis of events. links: - href: '#si-4.2_smt' rel: assessment-for - id: si-4.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system audit records system security plan privacy plan privacy program plan privacy impact assessment privacy risk management documentation other relevant documents or records - id: si-4.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for incident response/management - id: si-4.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for the near real-time analysis of events organizational processes for system monitoring mechanisms supporting and/or implementing system monitoring mechanisms/tools supporting and/or implementing an analysis of events - id: si-4.3 class: SP800-53-enhancement title: Automated Tool and Mechanism Integration props: - name: label value: SI-04(03) class: zero-padded - name: label value: SI-4(3) - name: label value: SI-04(03) class: sp800-53a - name: sort-id value: si-04.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required - href: '#pm-23' rel: related - href: '#pm-25' rel: related parts: - id: si-4.3_smt name: statement prose: Employ automated tools and mechanisms to integrate intrusion detection tools and mechanisms into access control and flow control mechanisms. - id: si-4.3_gdn name: guidance prose: Using automated tools and mechanisms to integrate intrusion detection tools and mechanisms into access and flow control mechanisms facilitates a rapid response to attacks by enabling the reconfiguration of mechanisms in support of attack isolation and elimination. - id: si-4.3_obj name: assessment-objective props: - name: label value: SI-04(03) class: sp800-53a parts: - id: si-4.3_obj-1 name: assessment-objective props: - name: label value: SI-04(03)[01] class: sp800-53a prose: automated tools and mechanisms are employed to integrate intrusion detection tools and mechanisms into access control mechanisms; links: - href: '#si-4.3_smt' rel: assessment-for - id: si-4.3_obj-2 name: assessment-objective props: - name: label value: SI-04(03)[02] class: sp800-53a prose: automated tools and mechanisms are employed to integrate intrusion detection tools and mechanisms into flow control mechanisms. links: - href: '#si-4.3_smt' rel: assessment-for links: - href: '#si-4.3_smt' rel: assessment-for - id: si-4.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures access control policy and procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-4.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(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 monitoring the system organizational personnel responsible for the intrusion detection system - id: si-4.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing the intrusion detection and system monitoring capability mechanisms and tools supporting and/or implementing the access and flow control capabilities mechanisms and tools supporting and/or implementing the integration of intrusion detection tools into the access and flow control mechanisms - id: si-4.4 class: SP800-53-enhancement title: Inbound and Outbound Communications Traffic params: - id: si-4.4_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-04.04_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-04.04_odp.03 label: organization-defined frequency - id: si-4.4_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-04.04_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-04.04_odp.04 label: organization-defined unusual or unauthorized activities or conditions - id: si-04.04_odp.01 props: - name: label value: SI-04(04)_ODP[01] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to monitor inbound communications traffic for unusual or unauthorized activities or conditions is defined; - id: si-04.04_odp.02 props: - name: label value: SI-04(04)_ODP[02] class: sp800-53a label: unusual or unauthorized activities or conditions guidelines: - prose: unusual or unauthorized activities or conditions that are to be monitored in inbound communications traffic are defined; - id: si-04.04_odp.03 props: - name: label value: SI-04(04)_ODP[03] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to monitor outbound communications traffic for unusual or unauthorized activities or conditions is defined; - id: si-04.04_odp.04 props: - name: label value: SI-04(04)_ODP[04] class: sp800-53a label: unusual or unauthorized activities or conditions guidelines: - prose: unusual or unauthorized activities or conditions that are to be monitored in outbound communications traffic are defined; props: - name: label value: SI-04(04) class: zero-padded - name: label value: SI-4(4) - name: label value: SI-04(04) class: sp800-53a - name: sort-id value: si-04.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required parts: - id: si-4.4_smt name: statement parts: - id: si-4.4_smt.a name: item props: - name: label value: (a) prose: Determine criteria for unusual or unauthorized activities or conditions for inbound and outbound communications traffic; - id: si-4.4_smt.b name: item props: - name: label value: (b) prose: 'Monitor inbound and outbound communications traffic {{ insert: param, si-4.4_prm_1 }} for {{ insert: param, si-4.4_prm_2 }}.' - id: si-4.4_gdn name: guidance prose: Unusual or unauthorized activities or conditions related to system inbound and outbound communications traffic includes internal traffic that indicates the presence of malicious code or unauthorized use of legitimate code or credentials within organizational systems or propagating among system components, signaling to external systems, and the unauthorized exporting of information. Evidence of malicious code or unauthorized use of legitimate code or credentials is used to identify potentially compromised systems or system components. - id: si-4.4_obj name: assessment-objective props: - name: label value: SI-04(04) class: sp800-53a parts: - id: si-4.4_obj.a name: assessment-objective props: - name: label value: SI-04(04)(a) class: sp800-53a parts: - id: si-4.4_obj.a-1 name: assessment-objective props: - name: label value: SI-04(04)(a)[01] class: sp800-53a prose: criteria for unusual or unauthorized activities or conditions for inbound communications traffic are defined; links: - href: '#si-4.4_smt.a' rel: assessment-for - id: si-4.4_obj.a-2 name: assessment-objective props: - name: label value: SI-04(04)(a)[02] class: sp800-53a prose: criteria for unusual or unauthorized activities or conditions for outbound communications traffic are defined; links: - href: '#si-4.4_smt.a' rel: assessment-for links: - href: '#si-4.4_smt.a' rel: assessment-for - id: si-4.4_obj.b name: assessment-objective props: - name: label value: SI-04(04)(b) class: sp800-53a parts: - id: si-4.4_obj.b-1 name: assessment-objective props: - name: label value: SI-04(04)(b)[01] class: sp800-53a prose: 'inbound communications traffic is monitored {{ insert: param, si-04.04_odp.01 }} for {{ insert: param, si-04.04_odp.02 }};' links: - href: '#si-4.4_smt.b' rel: assessment-for - id: si-4.4_obj.b-2 name: assessment-objective props: - name: label value: SI-04(04)(b)[02] class: sp800-53a prose: 'outbound communications traffic is monitored {{ insert: param, si-04.04_odp.03 }} for {{ insert: param, si-04.04_odp.04 }}.' links: - href: '#si-4.4_smt.b' rel: assessment-for links: - href: '#si-4.4_smt.b' rel: assessment-for links: - href: '#si-4.4_smt' rel: assessment-for - id: si-4.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system protocols system audit records system security plan other relevant documents or records - id: si-4.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system - id: si-4.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities mechanisms supporting and/or implementing the monitoring of inbound and outbound communications traffic - id: si-4.5 class: SP800-53-enhancement title: System-generated Alerts params: - id: si-04.05_odp.01 props: - name: alt-identifier value: si-4.5_prm_1 - name: label value: SI-04(05)_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be alerted when indications of compromise or potential compromise occur is/are defined; - id: si-04.05_odp.02 props: - name: alt-identifier value: si-4.5_prm_2 - name: label value: SI-04(05)_ODP[02] class: sp800-53a label: compromise indicators guidelines: - prose: compromise indicators are defined; props: - name: label value: SI-04(05) class: zero-padded - name: label value: SI-4(5) - name: label value: SI-04(05) class: sp800-53a - name: sort-id value: si-04.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required - href: '#au-4' rel: related - href: '#au-5' rel: related - href: '#pe-6' rel: related parts: - id: si-4.5_smt name: statement prose: 'Alert {{ insert: param, si-04.05_odp.01 }} when the following system-generated indications of compromise or potential compromise occur: {{ insert: param, si-04.05_odp.02 }}.' - id: si-4.5_gdn name: guidance prose: Alerts may be generated from a variety of sources, including audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be automated and may be transmitted telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the alert notification list can include system administrators, mission or business owners, system owners, information owners/stewards, senior agency information security officers, senior agency officials for privacy, system security officers, or privacy officers. In contrast to alerts generated by the system, alerts generated by organizations in [SI-4(12)](#si-4.12) focus on information sources external to the system, such as suspicious activity reports and reports on potential insider threats. - id: si-4.5_obj name: assessment-objective props: - name: label value: SI-04(05) class: sp800-53a prose: '{{ insert: param, si-04.05_odp.01 }} are alerted when system-generated {{ insert: param, si-04.05_odp.02 }} occur.' links: - href: '#si-4.5_smt' rel: assessment-for - id: si-4.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system monitoring tools and techniques documentation system configuration settings and associated documentation list of personnel selected to receive alerts documentation of alerts generated based on compromise indicators system audit records system security plan privacy plan other relevant documents or records - id: si-4.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities system developers organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel on the system alert notification list organizational personnel responsible for the intrusion detection system - id: si-4.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities mechanisms supporting and/or implementing alerts for compromise indicators - id: si-4.6 class: SP800-53-enhancement title: Restrict Non-privileged Users props: - name: label value: SI-04(06) class: zero-padded - name: label value: SI-4(6) - name: label value: SI-04(06) class: sp800-53a - name: sort-id value: si-04.06 - name: status value: withdrawn links: - href: '#ac-6.10' rel: incorporated-into - id: si-4.7 class: SP800-53-enhancement title: Automated Response to Suspicious Events params: - id: si-04.07_odp.01 props: - name: alt-identifier value: si-4.7_prm_1 - name: alt-label value: incident response personnel (identified by name and/or by role) class: sp800-53 - name: label value: SI-04(07)_ODP[01] class: sp800-53a label: incident response personnel guidelines: - prose: incident response personnel (identified by name and/or by role) to be notified of detected suspicious events is/are defined; - id: si-04.07_odp.02 props: - name: alt-identifier value: si-4.7_prm_2 - name: alt-label value: least-disruptive actions to terminate suspicious events class: sp800-53 - name: label value: SI-04(07)_ODP[02] class: sp800-53a label: least-disruptive actions guidelines: - prose: least-disruptive actions to terminate suspicious events are defined; props: - name: label value: SI-04(07) class: zero-padded - name: label value: SI-4(7) - name: label value: SI-04(07) class: sp800-53a - name: sort-id value: si-04.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required parts: - id: si-4.7_smt name: statement parts: - id: si-4.7_smt.a name: item props: - name: label value: (a) prose: 'Notify {{ insert: param, si-04.07_odp.01 }} of detected suspicious events; and' - id: si-4.7_smt.b name: item props: - name: label value: (b) prose: 'Take the following actions upon detection: {{ insert: param, si-04.07_odp.02 }}.' - id: si-4.7_gdn name: guidance prose: Least-disruptive actions include initiating requests for human responses. - id: si-4.7_obj name: assessment-objective props: - name: label value: SI-04(07) class: sp800-53a parts: - id: si-4.7_obj.a name: assessment-objective props: - name: label value: SI-04(07)(a) class: sp800-53a prose: '{{ insert: param, si-04.07_odp.01 }} are notified of detected suspicious events;' links: - href: '#si-4.7_smt.a' rel: assessment-for - id: si-4.7_obj.b name: assessment-objective props: - name: label value: SI-04(07)(b) class: sp800-53a prose: '{{ insert: param, si-04.07_odp.02 }} are taken upon the detection of suspicious events.' links: - href: '#si-4.7_smt.b' rel: assessment-for links: - href: '#si-4.7_smt' rel: assessment-for - id: si-4.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation alerts and notifications generated based on detected suspicious events records of actions taken to terminate suspicious events system audit records system security plan other relevant documents or records - id: si-4.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developers organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system - id: si-4.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(07)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities mechanisms supporting and/or implementing notifications to incident response personnel mechanisms supporting and/or implementing actions to terminate suspicious events - id: si-4.8 class: SP800-53-enhancement title: Protection of Monitoring Information props: - name: label value: SI-04(08) class: zero-padded - name: label value: SI-4(8) - name: label value: SI-04(08) class: sp800-53a - name: sort-id value: si-04.08 - name: status value: withdrawn links: - href: '#si-4' rel: incorporated-into - id: si-4.9 class: SP800-53-enhancement title: Testing of Monitoring Tools and Mechanisms params: - id: si-04.09_odp props: - name: alt-identifier value: si-4.9_prm_1 - name: label value: SI-04(09)_ODP class: sp800-53a label: frequency guidelines: - prose: a frequency at which to test intrusion-monitoring tools and mechanisms is defined; props: - name: label value: SI-04(09) class: zero-padded - name: label value: SI-4(9) - name: label value: SI-04(09) class: sp800-53a - name: sort-id value: si-04.09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required parts: - id: si-4.9_smt name: statement prose: 'Test intrusion-monitoring tools and mechanisms {{ insert: param, si-04.09_odp }}.' - id: si-4.9_gdn name: guidance prose: Testing intrusion-monitoring tools and mechanisms is necessary to ensure that the tools and mechanisms are operating correctly and continue to satisfy the monitoring objectives of organizations. The frequency and depth of testing depends on the types of tools and mechanisms used by organizations and the methods of deployment. - id: si-4.9_obj name: assessment-objective props: - name: label value: SI-04(09) class: sp800-53a prose: 'intrusion-monitoring tools and mechanisms are tested {{ insert: param, si-04.09_odp }}.' links: - href: '#si-4.9_smt' rel: assessment-for - id: si-4.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing the testing of system monitoring tools and techniques documentation providing evidence of testing intrusion-monitoring tools system security plan other relevant documents or records - id: si-4.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system - id: si-4.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(09)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities mechanisms supporting and/or implementing the testing of intrusion-monitoring tools - id: si-4.10 class: SP800-53-enhancement title: Visibility of Encrypted Communications params: - id: si-04.10_odp.01 props: - name: alt-identifier value: si-4.10_prm_1 - name: label value: SI-04(10)_ODP[01] class: sp800-53a label: encrypted communications traffic guidelines: - prose: encrypted communications traffic to be made visible to system monitoring tools and mechanisms is defined; - id: si-04.10_odp.02 props: - name: alt-identifier value: si-4.10_prm_2 - name: label value: SI-04(10)_ODP[02] class: sp800-53a label: system monitoring tools and mechanisms guidelines: - prose: system monitoring tools and mechanisms to be provided access to encrypted communications traffic are defined; props: - name: label value: SI-04(10) class: zero-padded - name: label value: SI-4(10) - name: label value: SI-04(10) class: sp800-53a - name: sort-id value: si-04.10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required parts: - id: si-4.10_smt name: statement prose: 'Make provisions so that {{ insert: param, si-04.10_odp.01 }} is visible to {{ insert: param, si-04.10_odp.02 }}.' - id: si-4.10_gdn name: guidance prose: Organizations balance the need to encrypt communications traffic to protect data confidentiality with the need to maintain visibility into such traffic from a monitoring perspective. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types. - id: si-4.10_obj name: assessment-objective props: - name: label value: SI-04(10) class: sp800-53a prose: 'provisions are made so that {{ insert: param, si-04.10_odp.01 }} is visible to {{ insert: param, si-04.10_odp.02 }}.' links: - href: '#si-4.10_smt' rel: assessment-for - id: si-4.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(10)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system protocols system security plan other relevant documents or records - id: si-4.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(10)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system - id: si-4.10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(10)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities mechanisms supporting and/or implementing the visibility of encrypted communications traffic to monitoring tools - id: si-4.11 class: SP800-53-enhancement title: Analyze Communications Traffic Anomalies params: - id: si-04.11_odp props: - name: alt-identifier value: si-4.11_prm_1 - name: alt-label value: interior points within the system class: sp800-53 - name: label value: SI-04(11)_ODP class: sp800-53a label: interior points guidelines: - prose: interior points within the system where communications traffic is to be analyzed are defined; props: - name: label value: SI-04(11) class: zero-padded - name: label value: SI-4(11) - name: label value: SI-04(11) class: sp800-53a - name: sort-id value: si-04.11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required parts: - id: si-4.11_smt name: statement prose: 'Analyze outbound communications traffic at the external interfaces to the system and selected {{ insert: param, si-04.11_odp }} to discover anomalies.' - id: si-4.11_gdn name: guidance prose: Organization-defined interior points include subnetworks and subsystems. Anomalies within organizational systems include large file transfers, long-time persistent connections, attempts to access information from unexpected locations, the use of unusual protocols and ports, the use of unmonitored network protocols (e.g., IPv6 usage during IPv4 transition), and attempted communications with suspected malicious external addresses. - id: si-4.11_obj name: assessment-objective props: - name: label value: SI-04(11) class: sp800-53a parts: - id: si-4.11_obj-1 name: assessment-objective props: - name: label value: SI-04(11)[01] class: sp800-53a prose: outbound communications traffic at the external interfaces to the system is analyzed to discover anomalies; links: - href: '#si-4.11_smt' rel: assessment-for - id: si-4.11_obj-2 name: assessment-objective props: - name: label value: SI-04(11)[02] class: sp800-53a prose: 'outbound communications traffic at {{ insert: param, si-04.11_odp }} is analyzed to discover anomalies.' links: - href: '#si-4.11_smt' rel: assessment-for links: - href: '#si-4.11_smt' rel: assessment-for - id: si-4.11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(11)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation network diagram system monitoring tools and techniques documentation system configuration settings and associated documentation system monitoring logs or records system audit records system security plan other relevant documents or records - id: si-4.11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(11)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system - id: si-4.11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(11)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities mechanisms supporting and/or implementing the analysis of communications traffic - id: si-4.12 class: SP800-53-enhancement title: Automated Organization-generated Alerts params: - id: si-04.12_odp.01 props: - name: alt-identifier value: si-4.12_prm_1 - name: label value: SI-04(12)_ODP[01] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be alerted when indications of inappropriate or unusual activity with security or privacy implications occur is/are defined; - id: si-04.12_odp.02 props: - name: alt-identifier value: si-4.12_prm_2 - name: label value: SI-04(12)_ODP[02] class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to alert personnel or roles are defined; - id: si-04.12_odp.03 props: - name: alt-identifier value: si-4.12_prm_3 - name: label value: SI-04(12)_ODP[03] class: sp800-53a label: activities that trigger alerts guidelines: - prose: activities that trigger alerts to personnel or are defined; props: - name: label value: SI-04(12) class: zero-padded - name: label value: SI-4(12) - name: label value: SI-04(12) class: sp800-53a - name: sort-id value: si-04.12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required parts: - id: si-4.12_smt name: statement prose: 'Alert {{ insert: param, si-04.12_odp.01 }} using {{ insert: param, si-04.12_odp.02 }} when the following indications of inappropriate or unusual activities with security or privacy implications occur: {{ insert: param, si-04.12_odp.03 }}.' - id: si-4.12_gdn name: guidance prose: Organizational personnel on the system alert notification list include system administrators, mission or business owners, system owners, senior agency information security officer, senior agency official for privacy, system security officers, or privacy officers. Automated organization-generated alerts are the security alerts generated by organizations and transmitted using automated means. The sources for organization-generated alerts are focused on other entities such as suspicious activity reports and reports on potential insider threats. In contrast to alerts generated by the organization, alerts generated by the system in [SI-4(5)](#si-4.5) focus on information sources that are internal to the systems, such as audit records. - id: si-4.12_obj name: assessment-objective props: - name: label value: SI-04(12) class: sp800-53a prose: '{{ insert: param, si-04.12_odp.01 }} is/are alerted using {{ insert: param, si-04.12_odp.02 }} when {{ insert: param, si-04.12_odp.03 }} indicate inappropriate or unusual activities with security or privacy implications.' links: - href: '#si-4.12_smt' rel: assessment-for - id: si-4.12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(12)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation list of inappropriate or unusual activities with security and privacy implications that trigger alerts suspicious activity reports alerts provided to security and privacy personnel system monitoring logs or records system audit records system security plan privacy plan other relevant documents or records - id: si-4.12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(12)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities system developers organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system - id: si-4.12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(12)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for intrusion detection and system monitoring automated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities automated mechanisms supporting and/or implementing automated alerts to security personnel - id: si-4.13 class: SP800-53-enhancement title: Analyze Traffic and Event Patterns props: - name: label value: SI-04(13) class: zero-padded - name: label value: SI-4(13) - name: label value: SI-04(13) class: sp800-53a - name: sort-id value: si-04.13 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required parts: - id: si-4.13_smt name: statement parts: - id: si-4.13_smt.a name: item props: - name: label value: (a) prose: Analyze communications traffic and event patterns for the system; - id: si-4.13_smt.b name: item props: - name: label value: (b) prose: Develop profiles representing common traffic and event patterns; and - id: si-4.13_smt.c name: item props: - name: label value: (c) prose: Use the traffic and event profiles in tuning system-monitoring devices. - id: si-4.13_gdn name: guidance prose: Identifying and understanding common communications traffic and event patterns help organizations provide useful information to system monitoring devices to more effectively identify suspicious or anomalous traffic and events when they occur. Such information can help reduce the number of false positives and false negatives during system monitoring. - id: si-4.13_obj name: assessment-objective props: - name: label value: SI-04(13) class: sp800-53a parts: - id: si-4.13_obj.a name: assessment-objective props: - name: label value: SI-04(13)(a) class: sp800-53a parts: - id: si-4.13_obj.a-1 name: assessment-objective props: - name: label value: SI-04(13)(a)[01] class: sp800-53a prose: communications traffic for the system is analyzed; links: - href: '#si-4.13_smt.a' rel: assessment-for - id: si-4.13_obj.a-2 name: assessment-objective props: - name: label value: SI-04(13)(a)[02] class: sp800-53a prose: event patterns for the system are analyzed; links: - href: '#si-4.13_smt.a' rel: assessment-for links: - href: '#si-4.13_smt.a' rel: assessment-for - id: si-4.13_obj.b name: assessment-objective props: - name: label value: SI-04(13)(b) class: sp800-53a parts: - id: si-4.13_obj.b-1 name: assessment-objective props: - name: label value: SI-04(13)(b)[01] class: sp800-53a prose: profiles representing common traffic are developed; links: - href: '#si-4.13_smt.b' rel: assessment-for - id: si-4.13_obj.b-2 name: assessment-objective props: - name: label value: SI-04(13)(b)[02] class: sp800-53a prose: profiles representing event patterns are developed; links: - href: '#si-4.13_smt.b' rel: assessment-for links: - href: '#si-4.13_smt.b' rel: assessment-for - id: si-4.13_obj.c name: assessment-objective props: - name: label value: SI-04(13)(c) class: sp800-53a parts: - id: si-4.13_obj.c-1 name: assessment-objective props: - name: label value: SI-04(13)(c)[01] class: sp800-53a prose: traffic profiles are used in tuning system-monitoring devices; links: - href: '#si-4.13_smt.c' rel: assessment-for - id: si-4.13_obj.c-2 name: assessment-objective props: - name: label value: SI-04(13)(c)[02] class: sp800-53a prose: event profiles are used in tuning system-monitoring devices. links: - href: '#si-4.13_smt.c' rel: assessment-for links: - href: '#si-4.13_smt.c' rel: assessment-for links: - href: '#si-4.13_smt' rel: assessment-for - id: si-4.13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(13)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation list of profiles representing common traffic patterns and/or events system protocols documentation list of acceptable thresholds for false positives and false negatives system security plan other relevant documents or records - id: si-4.13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(13)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system - id: si-4.13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(13)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities mechanisms supporting and/or implementing the analysis of communications traffic and event patterns - id: si-4.14 class: SP800-53-enhancement title: Wireless Intrusion Detection props: - name: label value: SI-04(14) class: zero-padded - name: label value: SI-4(14) - name: label value: SI-04(14) class: sp800-53a - name: sort-id value: si-04.14 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required - href: '#ac-18' rel: related - href: '#ia-3' rel: related parts: - id: si-4.14_smt name: statement prose: Employ a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises or breaches to the system. - id: si-4.14_gdn name: guidance prose: Wireless signals may radiate beyond organizational facilities. Organizations proactively search for unauthorized wireless connections, including the conduct of thorough scans for unauthorized wireless access points. Wireless scans are not limited to those areas within facilities containing systems but also include areas outside of facilities to verify that unauthorized wireless access points are not connected to organizational systems. - id: si-4.14_obj name: assessment-objective props: - name: label value: SI-04(14) class: sp800-53a parts: - id: si-4.14_obj-1 name: assessment-objective props: - name: label value: SI-04(14)[01] class: sp800-53a prose: a wireless intrusion detection system is employed to identify rogue wireless devices; links: - href: '#si-4.14_smt' rel: assessment-for - id: si-4.14_obj-2 name: assessment-objective props: - name: label value: SI-04(14)[02] class: sp800-53a prose: a wireless intrusion detection system is employed to detect attack attempts on the system; links: - href: '#si-4.14_smt' rel: assessment-for - id: si-4.14_obj-3 name: assessment-objective props: - name: label value: SI-04(14)[03] class: sp800-53a prose: a wireless intrusion detection system is employed to detect potential compromises or breaches to the system. links: - href: '#si-4.14_smt' rel: assessment-for links: - href: '#si-4.14_smt' rel: assessment-for - id: si-4.14_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(14)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system protocols system audit records system security plan other relevant documents or records - id: si-4.14_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(14)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system - id: si-4.14_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(14)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for intrusion detection mechanisms supporting and/or implementing a wireless intrusion detection capability - id: si-4.15 class: SP800-53-enhancement title: Wireless to Wireline Communications props: - name: label value: SI-04(15) class: zero-padded - name: label value: SI-4(15) - name: label value: SI-04(15) class: sp800-53a - name: sort-id value: si-04.15 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required - href: '#ac-18' rel: related parts: - id: si-4.15_smt name: statement prose: Employ an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks. - id: si-4.15_gdn name: guidance prose: Wireless networks are inherently less secure than wired networks. For example, wireless networks are more susceptible to eavesdroppers or traffic analysis than wireline networks. When wireless to wireline communications exist, the wireless network could become a port of entry into the wired network. Given the greater facility of unauthorized network access via wireless access points compared to unauthorized wired network access from within the physical boundaries of the system, additional monitoring of transitioning traffic between wireless and wired networks may be necessary to detect malicious activities. Employing intrusion detection systems to monitor wireless communications traffic helps to ensure that the traffic does not contain malicious code prior to transitioning to the wireline network. - id: si-4.15_obj name: assessment-objective props: - name: label value: SI-04(15) class: sp800-53a prose: an intrusion detection system is employed to monitor wireless communications traffic as the traffic passes from wireless to wireline networks. links: - href: '#si-4.15_smt' rel: assessment-for - id: si-4.15_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(15)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system protocols documentation system audit records system security plan other relevant documents or records - id: si-4.15_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(15)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system - id: si-4.15_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(15)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities mechanisms supporting and/or implementing a wireless intrusion detection capability - id: si-4.16 class: SP800-53-enhancement title: Correlate Monitoring Information props: - name: label value: SI-04(16) class: zero-padded - name: label value: SI-4(16) - name: label value: SI-04(16) class: sp800-53a - name: sort-id value: si-04.16 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required - href: '#au-6' rel: related parts: - id: si-4.16_smt name: statement prose: Correlate information from monitoring tools and mechanisms employed throughout the system. - id: si-4.16_gdn name: guidance prose: Correlating information from different system monitoring tools and mechanisms can provide a more comprehensive view of system activity. Correlating system monitoring tools and mechanisms that typically work in isolation—including malicious code protection software, host monitoring, and network monitoring—can provide an organization-wide monitoring view and may reveal otherwise unseen attack patterns. Understanding the capabilities and limitations of diverse monitoring tools and mechanisms and how to maximize the use of information generated by those tools and mechanisms can help organizations develop, operate, and maintain effective monitoring programs. The correlation of monitoring information is especially important during the transition from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). - id: si-4.16_obj name: assessment-objective props: - name: label value: SI-04(16) class: sp800-53a prose: information from monitoring tools and mechanisms employed throughout the system is correlated. links: - href: '#si-4.16_smt' rel: assessment-for - id: si-4.16_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(16)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation event correlation logs or records system audit records system security plan other relevant documents or records - id: si-4.16_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(16)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system - id: si-4.16_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(16)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities mechanisms supporting and/or implementing the correlation of information from monitoring tools - id: si-4.17 class: SP800-53-enhancement title: Integrated Situational Awareness props: - name: label value: SI-04(17) class: zero-padded - name: label value: SI-4(17) - name: label value: SI-04(17) class: sp800-53a - name: sort-id value: si-04.17 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required - href: '#au-16' rel: related - href: '#pe-6' rel: related - href: '#sr-2' rel: related - href: '#sr-4' rel: related - href: '#sr-6' rel: related parts: - id: si-4.17_smt name: statement prose: Correlate information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness. - id: si-4.17_gdn name: guidance prose: Correlating monitoring information from a more diverse set of information sources helps to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to [SI-4(16)](#si-4.16) , which correlates the various cyber monitoring information, integrated situational awareness is intended to correlate monitoring beyond the cyber domain. Correlation of monitoring information from multiple activities may help reveal attacks on organizations that are operating across multiple attack vectors. - id: si-4.17_obj name: assessment-objective props: - name: label value: SI-04(17) class: sp800-53a prose: information from monitoring physical, cyber, and supply chain activities are correlated to achieve integrated, organization-wide situational awareness. links: - href: '#si-4.17_smt' rel: assessment-for - id: si-4.17_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(17)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation event correlation logs or records resulting from physical, cyber, and supply chain activities system audit records system security plan supply chain risk management plan other relevant documents or records - id: si-4.17_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(17)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system - id: si-4.17_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(17)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities mechanisms supporting and/or implementing the correlation of information from monitoring tools - id: si-4.18 class: SP800-53-enhancement title: Analyze Traffic and Covert Exfiltration params: - id: si-04.18_odp props: - name: alt-identifier value: si-4.18_prm_1 - name: alt-label value: interior points within the system class: sp800-53 - name: label value: SI-04(18)_ODP class: sp800-53a label: interior points guidelines: - prose: interior points within the system where communications traffic is to be analyzed are defined; props: - name: label value: SI-04(18) class: zero-padded - name: label value: SI-4(18) - name: label value: SI-04(18) class: sp800-53a - name: sort-id value: si-04.18 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required parts: - id: si-4.18_smt name: statement prose: 'Analyze outbound communications traffic at external interfaces to the system and at the following interior points to detect covert exfiltration of information: {{ insert: param, si-04.18_odp }}.' - id: si-4.18_gdn name: guidance prose: Organization-defined interior points include subnetworks and subsystems. Covert means that can be used to exfiltrate information include steganography. - id: si-4.18_obj name: assessment-objective props: - name: label value: SI-04(18) class: sp800-53a parts: - id: si-4.18_obj-1 name: assessment-objective props: - name: label value: SI-04(18)[01] class: sp800-53a prose: outbound communications traffic is analyzed at interfaces external to the system to detect covert exfiltration of information; links: - href: '#si-4.18_smt' rel: assessment-for - id: si-4.18_obj-2 name: assessment-objective props: - name: label value: SI-04(18)[02] class: sp800-53a prose: 'outbound communications traffic is analyzed at {{ insert: param, si-04.18_odp }} to detect covert exfiltration of information.' links: - href: '#si-4.18_smt' rel: assessment-for links: - href: '#si-4.18_smt' rel: assessment-for - id: si-4.18_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(18)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation network diagram system monitoring tools and techniques documentation system configuration settings and associated documentation system monitoring logs or records system audit records system security plan other relevant documents or records - id: si-4.18_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(18)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system organizational personnel responsible for the intrusion detection system - id: si-4.18_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(18)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for intrusion detection and system monitoring mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities mechanisms supporting and/or implementing an analysis of outbound communications traffic - id: si-4.19 class: SP800-53-enhancement title: Risk for Individuals params: - id: si-04.19_odp.01 props: - name: alt-identifier value: si-4.19_prm_1 - name: label value: SI-04(19)_ODP[01] class: sp800-53a label: additional monitoring guidelines: - prose: additional monitoring of individuals who have been identified as posing an increased level of risk is defined; - id: si-04.19_odp.02 props: - name: alt-identifier value: si-4.19_prm_2 - name: label value: SI-04(19)_ODP[02] class: sp800-53a label: sources guidelines: - prose: sources that identify individuals who pose an increased level of risk are defined; props: - name: label value: SI-04(19) class: zero-padded - name: label value: SI-4(19) - name: label value: SI-04(19) class: sp800-53a - name: sort-id value: si-04.19 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required parts: - id: si-4.19_smt name: statement prose: 'Implement {{ insert: param, si-04.19_odp.01 }} of individuals who have been identified by {{ insert: param, si-04.19_odp.02 }} as posing an increased level of risk.' - id: si-4.19_gdn name: guidance prose: Indications of increased risk from individuals can be obtained from different sources, including personnel records, intelligence agencies, law enforcement organizations, and other sources. The monitoring of individuals is coordinated with the management, legal, security, privacy, and human resource officials who conduct such monitoring. Monitoring is conducted in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. - id: si-4.19_obj name: assessment-objective props: - name: label value: SI-04(19) class: sp800-53a prose: '{{ insert: param, si-04.19_odp.01 }} is implemented on individuals who have been identified by {{ insert: param, si-04.19_odp.02 }} as posing an increased level of risk.' links: - href: '#si-4.19_smt' rel: assessment-for - id: si-4.19_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(19)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system audit records system security plan privacy plan other relevant documents or records - id: si-4.19_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(19)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security and privacy responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system legal counsel human resource officials organizational personnel with personnel security responsibilities - id: si-4.19_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(19)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for system monitoring mechanisms supporting and/or implementing a system monitoring capability - id: si-4.20 class: SP800-53-enhancement title: Privileged Users params: - id: si-04.20_odp props: - name: alt-identifier value: si-4.20_prm_1 - name: label value: SI-04(20)_ODP class: sp800-53a label: additional monitoring guidelines: - prose: additional monitoring of privileged users is defined; props: - name: label value: SI-04(20) class: zero-padded - name: label value: SI-4(20) - name: label value: SI-04(20) class: sp800-53a - name: sort-id value: si-04.20 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required - href: '#ac-18' rel: related parts: - id: si-4.20_smt name: statement prose: 'Implement the following additional monitoring of privileged users: {{ insert: param, si-04.20_odp }}.' - id: si-4.20_gdn name: guidance prose: Privileged users have access to more sensitive information, including security-related information, than the general user population. Access to such information means that privileged users can potentially do greater damage to systems and organizations than non-privileged users. Therefore, implementing additional monitoring on privileged users helps to ensure that organizations can identify malicious activity at the earliest possible time and take appropriate actions. - id: si-4.20_obj name: assessment-objective props: - name: label value: SI-04(20) class: sp800-53a prose: '{{ insert: param, si-04.20_odp }} of privileged users is implemented.' links: - href: '#si-4.20_smt' rel: assessment-for - id: si-4.20_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(20)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system monitoring logs or records system audit records system security plan other relevant documents or records - id: si-4.20_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(20)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system - id: si-4.20_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(20)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for system monitoring mechanisms supporting and/or implementing a system monitoring capability - id: si-4.21 class: SP800-53-enhancement title: Probationary Periods params: - id: si-04.21_odp.01 props: - name: alt-identifier value: si-4.21_prm_2 - name: label value: SI-04(21)_ODP[01] class: sp800-53a label: additional monitoring guidelines: - prose: additional monitoring to be implemented on individuals during probationary periods is defined; - id: si-04.21_odp.02 props: - name: alt-identifier value: si-4.21_prm_1 - name: label value: SI-04(21)_ODP[02] class: sp800-53a label: probationary period guidelines: - prose: the probationary period of individuals is defined; props: - name: label value: SI-04(21) class: zero-padded - name: label value: SI-4(21) - name: label value: SI-04(21) class: sp800-53a - name: sort-id value: si-04.21 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required - href: '#ac-18' rel: related parts: - id: si-4.21_smt name: statement prose: 'Implement the following additional monitoring of individuals during {{ insert: param, si-04.21_odp.02 }}: {{ insert: param, si-04.21_odp.01 }}.' - id: si-4.21_gdn name: guidance prose: During probationary periods, employees do not have permanent employment status within organizations. Without such status or access to information that is resident on the system, additional monitoring can help identify any potentially malicious activity or inappropriate behavior. - id: si-4.21_obj name: assessment-objective props: - name: label value: SI-04(21) class: sp800-53a prose: '{{ insert: param, si-04.21_odp.01 }} of individuals is implemented during {{ insert: param, si-04.21_odp.02 }}.' links: - href: '#si-4.21_smt' rel: assessment-for - id: si-4.21_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(21)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system monitoring logs or records system audit records system security plan other relevant documents or records - id: si-4.21_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(21)-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-4.21_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(21)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for system monitoring mechanisms supporting and/or implementing a system monitoring capability - id: si-4.22 class: SP800-53-enhancement title: Unauthorized Network Services params: - id: si-04.22_odp.01 props: - name: alt-identifier value: si-4.22_prm_1 - name: label value: SI-04(22)_ODP[01] class: sp800-53a label: authorization or approval processes guidelines: - prose: authorization or approval processes for network services are defined; - id: si-04.22_odp.02 props: - name: alt-identifier value: si-4.22_prm_2 - name: label value: SI-04(22)_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - audit - 'alert {{ insert: param, si-04.22_odp.03 }} ' - id: si-04.22_odp.03 props: - name: alt-identifier value: si-4.22_prm_3 - name: label value: SI-04(22)_ODP[03] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be alerted upon the detection of network services that have not been authorized or approved by authorization or approval processes is/are defined (if selected); props: - name: label value: SI-04(22) class: zero-padded - name: label value: SI-4(22) - name: label value: SI-04(22) class: sp800-53a - name: sort-id value: si-04.22 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required - href: '#cm-7' rel: related parts: - id: si-4.22_smt name: statement parts: - id: si-4.22_smt.a name: item props: - name: label value: (a) prose: 'Detect network services that have not been authorized or approved by {{ insert: param, si-04.22_odp.01 }} ; and' - id: si-4.22_smt.b name: item props: - name: label value: (b) prose: '{{ insert: param, si-04.22_odp.02 }} when detected.' - id: si-4.22_gdn name: guidance prose: Unauthorized or unapproved network services include services in service-oriented architectures that lack organizational verification or validation and may therefore be unreliable or serve as malicious rogues for valid services. - id: si-4.22_obj name: assessment-objective props: - name: label value: SI-04(22) class: sp800-53a parts: - id: si-4.22_obj.a name: assessment-objective props: - name: label value: SI-04(22)(a) class: sp800-53a prose: 'network services that have not been authorized or approved by {{ insert: param, si-04.22_odp.01 }} are detected;' links: - href: '#si-4.22_smt.a' rel: assessment-for - id: si-4.22_obj.b name: assessment-objective props: - name: label value: SI-04(22)(b) class: sp800-53a prose: '{{ insert: param, si-04.22_odp.02 }} is/are initiated when network services that have not been authorized or approved by authorization or approval processes are detected.' links: - href: '#si-4.22_smt.b' rel: assessment-for links: - href: '#si-4.22_smt' rel: assessment-for - id: si-4.22_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(22)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation documented authorization/approval of network services notifications or alerts of unauthorized network services system monitoring logs or records system audit records system security plan other relevant documents or records - id: si-4.22_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(22)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring the system - id: si-4.22_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(22)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for system monitoring mechanisms supporting and/or implementing a system monitoring capability mechanisms for auditing network services mechanisms for providing alerts - id: si-4.23 class: SP800-53-enhancement title: Host-based Devices params: - id: si-04.23_odp.01 props: - name: alt-identifier value: si-4.23_prm_2 - name: label value: SI-04(23)_ODP[01] class: sp800-53a label: host-based monitoring mechanisms guidelines: - prose: host-based monitoring mechanisms to be implemented on system components are defined; - id: si-04.23_odp.02 props: - name: alt-identifier value: si-4.23_prm_1 - name: label value: SI-04(23)_ODP[02] class: sp800-53a label: system components guidelines: - prose: system components where host-based monitoring is to be implemented are defined; props: - name: label value: SI-04(23) class: zero-padded - name: label value: SI-4(23) - name: label value: SI-04(23) class: sp800-53a - name: sort-id value: si-04.23 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required - href: '#ac-18' rel: related - href: '#ac-19' rel: related parts: - id: si-4.23_smt name: statement prose: 'Implement the following host-based monitoring mechanisms at {{ insert: param, si-04.23_odp.02 }}: {{ insert: param, si-04.23_odp.01 }}.' - id: si-4.23_gdn name: guidance prose: Host-based monitoring collects information about the host (or system in which it resides). System components in which host-based monitoring can be implemented include servers, notebook computers, and mobile devices. Organizations may consider employing host-based monitoring mechanisms from multiple product developers or vendors. - id: si-4.23_obj name: assessment-objective props: - name: label value: SI-04(23) class: sp800-53a prose: '{{ insert: param, si-04.23_odp.01 }} are implemented on {{ insert: param, si-04.23_odp.02 }}.' links: - href: '#si-4.23_smt' rel: assessment-for - id: si-4.23_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(23)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring tools and techniques system design documentation host-based monitoring mechanisms system monitoring tools and techniques documentation system configuration settings and associated documentation list of system components requiring host-based monitoring system monitoring logs or records system audit records system security plan other relevant documents or records - id: si-4.23_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(23)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring system hosts - id: si-4.23_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(23)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for system monitoring mechanisms supporting and/or implementing a host-based monitoring capability - id: si-4.24 class: SP800-53-enhancement title: Indicators of Compromise params: - id: si-04.24_odp.01 props: - name: alt-identifier value: si-4.24_prm_2 - name: label value: SI-04(24)_ODP[01] class: sp800-53a label: sources guidelines: - prose: sources that provide indicators of compromise are defined; - id: si-04.24_odp.02 props: - name: alt-identifier value: si-4.24_prm_1 - name: label value: SI-04(24)_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom indicators of compromise are to be distributed is/are defined; props: - name: label value: SI-04(24) class: zero-padded - name: label value: SI-4(24) - name: label value: SI-04(24) class: sp800-53a - name: sort-id value: si-04.24 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required - href: '#ac-18' rel: related parts: - id: si-4.24_smt name: statement prose: 'Discover, collect, and distribute to {{ insert: param, si-04.24_odp.02 }} , indicators of compromise provided by {{ insert: param, si-04.24_odp.01 }}.' - id: si-4.24_gdn name: guidance prose: Indicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational systems at the host or network level. IOCs provide valuable information on systems that have been compromised. IOCs can include the creation of registry key values. IOCs for network traffic include Universal Resource Locator or protocol elements that indicate malicious code command and control servers. The rapid distribution and adoption of IOCs can improve information security by reducing the time that systems and organizations are vulnerable to the same exploit or attack. Threat indicators, signatures, tactics, techniques, procedures, and other indicators of compromise may be available via government and non-government cooperatives, including the Forum of Incident Response and Security Teams, the United States Computer Emergency Readiness Team, the Defense Industrial Base Cybersecurity Information Sharing Program, and the CERT Coordination Center. - id: si-4.24_obj name: assessment-objective props: - name: label value: SI-04(24) class: sp800-53a parts: - id: si-4.24_obj-1 name: assessment-objective props: - name: label value: SI-04(24)[01] class: sp800-53a prose: 'indicators of compromise provided by {{ insert: param, si-04.24_odp.01 }} are discovered;' links: - href: '#si-4.24_smt' rel: assessment-for - id: si-4.24_obj-2 name: assessment-objective props: - name: label value: SI-04(24)[02] class: sp800-53a prose: 'indicators of compromise provided by {{ insert: param, si-04.24_odp.01 }} are collected;' links: - href: '#si-4.24_smt' rel: assessment-for - id: si-4.24_obj-3 name: assessment-objective props: - name: label value: SI-04(24)[03] class: sp800-53a prose: 'indicators of compromise provided by {{ insert: param, si-04.24_odp.01 }} are distributed to {{ insert: param, si-04.24_odp.02 }}.' links: - href: '#si-4.24_smt' rel: assessment-for links: - href: '#si-4.24_smt' rel: assessment-for - id: si-4.24_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(24)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system monitoring logs or records system audit records system security plan other relevant documents or records - id: si-4.24_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(24)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring system hosts - id: si-4.24_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(24)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for system monitoring organizational processes for the discovery, collection, distribution, and use of indicators of compromise mechanisms supporting and/or implementing a system monitoring capability mechanisms supporting and/or implementing the discovery, collection, distribution, and use of indicators of compromise - id: si-4.25 class: SP800-53-enhancement title: Optimize Network Traffic Analysis props: - name: label value: SI-04(25) class: zero-padded - name: label value: SI-4(25) - name: label value: SI-04(25) class: sp800-53a - name: sort-id value: si-04.25 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-4' rel: required parts: - id: si-4.25_smt name: statement prose: Provide visibility into network traffic at external and key internal system interfaces to optimize the effectiveness of monitoring devices. - id: si-4.25_gdn name: guidance prose: Encrypted traffic, asymmetric routing architectures, capacity and latency limitations, and transitioning from older to newer technologies (e.g., IPv4 to IPv6 network protocol transition) may result in blind spots for organizations when analyzing network traffic. Collecting, decrypting, pre-processing, and distributing only relevant traffic to monitoring devices can streamline the efficiency and use of devices and optimize traffic analysis. - id: si-4.25_obj name: assessment-objective props: - name: label value: SI-04(25) class: sp800-53a parts: - id: si-4.25_obj-1 name: assessment-objective props: - name: label value: SI-04(25)[01] class: sp800-53a prose: visibility into network traffic at external system interfaces is provided to optimize the effectiveness of monitoring devices; links: - href: '#si-4.25_smt' rel: assessment-for - id: si-4.25_obj-2 name: assessment-objective props: - name: label value: SI-04(25)[02] class: sp800-53a prose: visibility into network traffic at key internal system interfaces is provided to optimize the effectiveness of monitoring devices. links: - href: '#si-4.25_smt' rel: assessment-for links: - href: '#si-4.25_smt' rel: assessment-for - id: si-4.25_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-04(25)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system monitoring system design documentation system monitoring tools and techniques documentation system configuration settings and associated documentation system monitoring logs or records system architecture system audit records network traffic reports system security plan other relevant documents or records - id: si-4.25_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-04(25)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- System/network administrators organizational personnel with information security responsibilities system developer organizational personnel installing, configuring, and/or maintaining the system organizational personnel responsible for monitoring system hosts - id: si-4.25_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-04(25)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for system monitoring organizational processes for the discovery, collection, distribution, and use of indicators of compromise mechanisms supporting and/or implementing a system monitoring capability mechanisms supporting and/or implementing the discovery, collection, distribution, and use of indicators of compromise - 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 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 select: how-many: one-or-more choice: - '{{ insert: param, si-05_odp.03 }} ' - '{{ insert: param, si-05_odp.04 }} ' - '{{ insert: param, si-05_odp.05 }} ' - 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: '#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: 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: label value: b. prose: Generate internal security alerts, advisories, and directives as deemed necessary; - id: si-5_smt.c name: item props: - 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: 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_obj name: assessment-objective props: - name: label value: SI-05 class: sp800-53a parts: - id: si-5_obj.a name: assessment-objective props: - 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: 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: 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: label value: SI-05d. class: sp800-53a prose: security directives are implemented in accordance with established time frames or if the issuing organization is notified of the degree of noncompliance. links: - href: '#si-5_smt.d' rel: assessment-for links: - href: '#si-5_smt' rel: assessment-for - id: si-5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-05-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing security alerts, advisories, and directives records of security alerts and advisories system security plan other relevant documents or records - id: si-5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-05-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with security alert and advisory responsibilities organizational personnel implementing, operating, maintaining, and using the system organizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated system/network administrators organizational personnel with information security responsibilities - id: si-5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-05-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives mechanisms supporting and/or implementing the definition, receipt, generation, and dissemination of security alerts, advisories, and directives mechanisms supporting and/or implementing security directives controls: - id: si-5.1 class: SP800-53-enhancement title: Automated Alerts and Advisories params: - id: si-05.01_odp props: - name: alt-identifier value: si-5.1_prm_1 - name: label value: SI-05(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to broadcast security alert and advisory information throughout the organization are defined; props: - name: label value: SI-05(01) class: zero-padded - name: label value: SI-5(1) - name: label value: SI-05(01) class: sp800-53a - name: sort-id value: si-05.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-5' rel: required parts: - id: si-5.1_smt name: statement prose: 'Broadcast security alert and advisory information throughout the organization using {{ insert: param, si-05.01_odp }}.' - id: si-5.1_gdn name: guidance prose: The significant number of changes to organizational systems and environments of operation requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational mission and business functions. Based on information provided by security alerts and advisories, changes may be required at one or more of the three levels related to the management of risk, including the governance level, mission and business process level, and the information system level. - id: si-5.1_obj name: assessment-objective props: - name: label value: SI-05(01) class: sp800-53a prose: '{{ insert: param, si-05.01_odp }} are used to broadcast security alert and advisory information throughout the organization.' links: - href: '#si-5.1_smt' rel: assessment-for - id: si-5.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-05(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing security alerts, advisories, and directives system design documentation system configuration settings and associated documentation automated mechanisms supporting the distribution of security alert and advisory information records of security alerts and advisories system audit records system security plan other relevant documents or records - id: si-5.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-05(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with security alert and advisory responsibilities organizational personnel implementing, operating, maintaining, and using the system organizational personnel, organizational elements, and/or external organizations to whom alerts and advisories are to be disseminated system/network administrators organizational personnel with information security responsibilities - id: si-5.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-05(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for defining, receiving, generating, and disseminating security alerts and advisories automated mechanisms supporting and/or implementing the dissemination of security alerts and advisories - id: si-6 class: SP800-53 title: Security and Privacy Function Verification params: - id: si-6_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-06_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-06_odp.02 label: organization-defined security and privacy functions - id: si-06_odp.01 props: - name: label value: SI-06_ODP[01] class: sp800-53a label: security functions guidelines: - prose: security functions to be verified for correct operation are defined; - id: si-06_odp.02 props: - name: label value: SI-06_ODP[02] class: sp800-53a label: privacy functions guidelines: - prose: privacy functions to be verified for correct operation are defined; - id: si-06_odp.03 props: - name: alt-identifier value: si-6_prm_2 - name: label value: SI-06_ODP[03] class: sp800-53a select: how-many: one-or-more choice: - '{{ insert: param, si-06_odp.04 }} ' - upon command by user with appropriate privilege - '{{ insert: param, si-06_odp.05 }} ' - id: si-06_odp.04 props: - name: alt-identifier value: si-6_prm_3 - name: label value: SI-06_ODP[04] class: sp800-53a label: system transitional states guidelines: - prose: system transitional states requiring the verification of security and privacy functions are defined; (if selected) - id: si-06_odp.05 props: - name: alt-identifier value: si-6_prm_4 - name: label value: SI-06_ODP[05] class: sp800-53a label: frequency guidelines: - prose: frequency at which to verify the correct operation of security and privacy functions is defined; (if selected) - id: si-06_odp.06 props: - name: alt-identifier value: si-6_prm_5 - name: label value: SI-06_ODP[06] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be alerted of failed security and privacy verification tests is/are defined; - id: si-06_odp.07 props: - name: alt-identifier value: si-6_prm_6 - name: label value: SI-06_ODP[07] class: sp800-53a select: how-many: one-or-more choice: - shut the system down - restart the system - '{{ insert: param, si-06_odp.08 }} ' - id: si-06_odp.08 props: - name: alt-identifier value: si-6_prm_7 - name: label value: SI-06_ODP[08] class: sp800-53a label: alternative action(s) guidelines: - prose: alternative action(s) to be performed when anomalies are discovered are defined (if selected); props: - name: label value: SI-06 class: zero-padded - name: label value: SI-6 - name: label value: SI-06 class: sp800-53a - name: sort-id value: si-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#ca-7' rel: related - href: '#cm-4' rel: related - href: '#cm-6' rel: related - href: '#si-7' rel: related parts: - id: si-6_smt name: statement parts: - id: si-6_smt.a name: item props: - name: label value: a. prose: 'Verify the correct operation of {{ insert: param, si-6_prm_1 }};' - id: si-6_smt.b name: item props: - name: label value: b. prose: 'Perform the verification of the functions specified in SI-6a {{ insert: param, si-06_odp.03 }};' - id: si-6_smt.c name: item props: - name: label value: c. prose: 'Alert {{ insert: param, si-06_odp.06 }} to failed security and privacy verification tests; and' - id: si-6_smt.d name: item props: - name: label value: d. prose: '{{ insert: param, si-06_odp.07 }} when anomalies are discovered.' - id: si-6_gdn name: guidance prose: Transitional states for systems include system startup, restart, shutdown, and abort. System notifications include hardware indicator lights, electronic alerts to system administrators, and messages to local computer consoles. In contrast to security function verification, privacy function verification ensures that privacy functions operate as expected and are approved by the senior agency official for privacy or that privacy attributes are applied or used as expected. - id: si-6_obj name: assessment-objective props: - name: label value: SI-06 class: sp800-53a parts: - id: si-6_obj.a name: assessment-objective props: - name: label value: SI-06a. class: sp800-53a parts: - id: si-6_obj.a-1 name: assessment-objective props: - name: label value: SI-06a.[01] class: sp800-53a prose: '{{ insert: param, si-06_odp.01 }} are verified to be operating correctly;' links: - href: '#si-6_smt.a' rel: assessment-for - id: si-6_obj.a-2 name: assessment-objective props: - name: label value: SI-06a.[02] class: sp800-53a prose: '{{ insert: param, si-06_odp.02 }} are verified to be operating correctly;' links: - href: '#si-6_smt.a' rel: assessment-for links: - href: '#si-6_smt.a' rel: assessment-for - id: si-6_obj.b name: assessment-objective props: - name: label value: SI-06b. class: sp800-53a parts: - id: si-6_obj.b-1 name: assessment-objective props: - name: label value: SI-06b.[01] class: sp800-53a prose: '{{ insert: param, si-06_odp.01 }} are verified {{ insert: param, si-06_odp.03 }};' links: - href: '#si-6_smt.b' rel: assessment-for - id: si-6_obj.b-2 name: assessment-objective props: - name: label value: SI-06b.[02] class: sp800-53a prose: '{{ insert: param, si-06_odp.02 }} are verified {{ insert: param, si-06_odp.03 }};' links: - href: '#si-6_smt.b' rel: assessment-for links: - href: '#si-6_smt.b' rel: assessment-for - id: si-6_obj.c name: assessment-objective props: - name: label value: SI-06c. class: sp800-53a parts: - id: si-6_obj.c-1 name: assessment-objective props: - name: label value: SI-06c.[01] class: sp800-53a prose: '{{ insert: param, si-06_odp.06 }} is/are alerted to failed security verification tests;' links: - href: '#si-6_smt.c' rel: assessment-for - id: si-6_obj.c-2 name: assessment-objective props: - name: label value: SI-06c.[02] class: sp800-53a prose: '{{ insert: param, si-06_odp.06 }} is/are alerted to failed privacy verification tests;' links: - href: '#si-6_smt.c' rel: assessment-for links: - href: '#si-6_smt.c' rel: assessment-for - id: si-6_obj.d name: assessment-objective props: - name: label value: SI-06d. class: sp800-53a prose: '{{ insert: param, si-06_odp.07 }} is/are initiated when anomalies are discovered.' links: - href: '#si-6_smt.d' rel: assessment-for links: - href: '#si-6_smt' rel: assessment-for - id: si-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-06-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing security and privacy function verification system design documentation system configuration settings and associated documentation alerts/notifications of failed security verification tests list of system transition states requiring security functionality verification system audit records system security plan privacy plan other relevant documents or records - id: si-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-06-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with security and privacy function verification responsibilities organizational personnel implementing, operating, and maintaining the system system/network administrators organizational personnel with information security and privacy responsibilities system developer - id: si-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-06-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for security and privacy function verification mechanisms supporting and/or implementing the security and privacy function verification capability controls: - id: si-6.1 class: SP800-53-enhancement title: Notification of Failed Security Tests props: - name: label value: SI-06(01) class: zero-padded - name: label value: SI-6(1) - name: label value: SI-06(01) class: sp800-53a - name: sort-id value: si-06.01 - name: status value: withdrawn links: - href: '#si-6' rel: incorporated-into - id: si-6.2 class: SP800-53-enhancement title: Automation Support for Distributed Testing props: - name: label value: SI-06(02) class: zero-padded - name: label value: SI-6(2) - name: label value: SI-06(02) class: sp800-53a - name: sort-id value: si-06.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#si-6' rel: required - href: '#si-2' rel: related parts: - id: si-6.2_smt name: statement prose: Implement automated mechanisms to support the management of distributed security and privacy function testing. - id: si-6.2_gdn name: guidance prose: The use of automated mechanisms to support the management of distributed function testing helps to ensure the integrity, timeliness, completeness, and efficacy of such testing. - id: si-6.2_obj name: assessment-objective props: - name: label value: SI-06(02) class: sp800-53a parts: - id: si-6.2_obj-1 name: assessment-objective props: - name: label value: SI-06(02)[01] class: sp800-53a prose: automated mechanisms are implemented to support the management of distributed security function testing; links: - href: '#si-6.2_smt' rel: assessment-for - id: si-6.2_obj-2 name: assessment-objective props: - name: label value: SI-06(02)[02] class: sp800-53a prose: automated mechanisms are implemented to support the management of distributed privacy function testing. links: - href: '#si-6.2_smt' rel: assessment-for links: - href: '#si-6.2_smt' rel: assessment-for - id: si-6.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-06(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing security and privacy function verification system design documentation system configuration settings and associated documentation system audit records system security plan privacy plan other relevant documents or records - id: si-6.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-06(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with security and privacy function verification responsibilities organizational personnel implementing, operating, and maintaining the system system/network administrators organizational personnel with information security and privacy responsibilities - id: si-6.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-06(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for security and privacy function verification automated mechanisms supporting and/or implementing the management of distributed security and privacy testing - id: si-6.3 class: SP800-53-enhancement title: Report Verification Results params: - id: si-06.03_odp props: - name: alt-identifier value: si-6.3_prm_1 - name: label value: SI-06(03)_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles designated to receive the results of security and privacy function verification is/are defined; props: - name: label value: SI-06(03) class: zero-padded - name: label value: SI-6(3) - name: label value: SI-06(03) class: sp800-53a - name: sort-id value: si-06.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#si-6' rel: required - href: '#si-4' rel: related - href: '#sr-4' rel: related - href: '#sr-5' rel: related parts: - id: si-6.3_smt name: statement prose: 'Report the results of security and privacy function verification to {{ insert: param, si-06.03_odp }}.' - id: si-6.3_gdn name: guidance prose: Organizational personnel with potential interest in the results of the verification of security and privacy functions include systems security officers, senior agency information security officers, and senior agency officials for privacy. - id: si-6.3_obj name: assessment-objective props: - name: label value: SI-06(03) class: sp800-53a parts: - id: si-6.3_obj-1 name: assessment-objective props: - name: label value: SI-06(03)[01] class: sp800-53a prose: 'the results of security function verification are reported to {{ insert: param, si-06.03_odp }};' links: - href: '#si-6.3_smt' rel: assessment-for - id: si-6.3_obj-2 name: assessment-objective props: - name: label value: SI-06(03)[02] class: sp800-53a prose: 'the results of privacy function verification are reported to {{ insert: param, si-06.03_odp }}.' links: - href: '#si-6.3_smt' rel: assessment-for links: - href: '#si-6.3_smt' rel: assessment-for - id: si-6.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-06(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing security and privacy function verification system design documentation system configuration settings and associated documentation reports of security and privacy function verification results system audit records system security plan privacy plan other relevant documents or records - id: si-6.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-06(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with security and privacy function verification responsibilities organizational personnel who are recipients of security and privacy function verification reports organizational personnel with information security and privacy responsibilities - id: si-6.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-06(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for reporting security and privacy function verification results mechanisms supporting and/or implementing the reporting of security and privacy function verification results - id: si-7 class: SP800-53 title: Software, Firmware, and Information Integrity params: - id: si-7_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07_odp.03 label: organization-defined software, firmware, and information - id: si-7_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07_odp.04 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07_odp.06 label: organization-defined actions - id: si-07_odp.01 props: - name: label value: SI-07_ODP[01] class: sp800-53a label: software guidelines: - prose: software requiring integrity verification tools to be employed to detect unauthorized changes is defined; - id: si-07_odp.02 props: - name: label value: SI-07_ODP[02] class: sp800-53a label: firmware guidelines: - prose: firmware requiring integrity verification tools to be employed to detect unauthorized changes is defined; - id: si-07_odp.03 props: - name: label value: SI-07_ODP[03] class: sp800-53a label: information guidelines: - prose: information requiring integrity verification tools to be employed to detect unauthorized changes is defined; - id: si-07_odp.04 props: - name: label value: SI-07_ODP[04] class: sp800-53a label: actions guidelines: - prose: actions to be taken when unauthorized changes to software are detected are defined; - id: si-07_odp.05 props: - name: label value: SI-07_ODP[05] class: sp800-53a label: actions guidelines: - prose: actions to be taken when unauthorized changes to firmware are detected are defined; - id: si-07_odp.06 props: - name: label value: SI-07_ODP[06] class: sp800-53a label: actions guidelines: - prose: actions to be taken when unauthorized changes to information are detected are defined; props: - name: label value: SI-07 class: zero-padded - name: label value: SI-7 - name: label value: SI-07 class: sp800-53a - name: sort-id value: si-07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#eea3c092-42ed-4382-a6f4-1adadef01b9d' rel: reference - href: '#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1' rel: reference - href: '#a295ca19-8c75-4b4c-8800-98024732e181' rel: reference - href: '#4895b4cd-34c5-4667-bf8a-27d443c12047' rel: reference - href: '#e47ee630-9cbc-4133-880e-e013f83ccd51' rel: reference - href: '#ac-4' rel: related - href: '#cm-3' rel: related - href: '#cm-7' rel: related - href: '#cm-8' rel: related - href: '#ma-3' rel: related - href: '#ma-4' rel: related - href: '#ra-5' rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: '#sa-10' rel: related - href: '#sc-8' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related - href: '#sc-28' rel: related - href: '#sc-37' rel: related - href: '#si-3' rel: related - href: '#sr-3' rel: related - href: '#sr-4' rel: related - href: '#sr-5' rel: related - href: '#sr-6' rel: related - href: '#sr-9' rel: related - href: '#sr-10' rel: related - href: '#sr-11' rel: related parts: - id: si-7_smt name: statement parts: - id: si-7_smt.a name: item props: - name: label value: a. prose: 'Employ integrity verification tools to detect unauthorized changes to the following software, firmware, and information: {{ insert: param, si-7_prm_1 }} ; and' - id: si-7_smt.b name: item props: - name: label value: b. prose: 'Take the following actions when unauthorized changes to the software, firmware, and information are detected: {{ insert: param, si-7_prm_2 }}.' - id: si-7_gdn name: guidance prose: Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity. Software includes operating systems (with key internal components, such as kernels or drivers), middleware, and applications. Firmware interfaces include Unified Extensible Firmware Interface (UEFI) and Basic Input/Output System (BIOS). Information includes personally identifiable information and metadata that contains security and privacy attributes associated with information. Integrity-checking mechanisms—including parity checks, cyclical redundancy checks, cryptographic hashes, and associated tools—can automatically monitor the integrity of systems and hosted applications. - id: si-7_obj name: assessment-objective props: - name: label value: SI-07 class: sp800-53a parts: - id: si-7_obj.a name: assessment-objective props: - name: label value: SI-07a. class: sp800-53a parts: - id: si-7_obj.a-1 name: assessment-objective props: - name: label value: SI-07a.[01] class: sp800-53a prose: 'integrity verification tools are employed to detect unauthorized changes to {{ insert: param, si-07_odp.01 }};' links: - href: '#si-7_smt.a' rel: assessment-for - id: si-7_obj.a-2 name: assessment-objective props: - name: label value: SI-07a.[02] class: sp800-53a prose: 'integrity verification tools are employed to detect unauthorized changes to {{ insert: param, si-07_odp.02 }};' links: - href: '#si-7_smt.a' rel: assessment-for - id: si-7_obj.a-3 name: assessment-objective props: - name: label value: SI-07a.[03] class: sp800-53a prose: 'integrity verification tools are employed to detect unauthorized changes to {{ insert: param, si-07_odp.03 }};' links: - href: '#si-7_smt.a' rel: assessment-for links: - href: '#si-7_smt.a' rel: assessment-for - id: si-7_obj.b name: assessment-objective props: - name: label value: SI-07b. class: sp800-53a parts: - id: si-7_obj.b-1 name: assessment-objective props: - name: label value: SI-07b.[01] class: sp800-53a prose: '{{ insert: param, si-07_odp.04 }} are taken when unauthorized changes to the software, are detected;' links: - href: '#si-7_smt.b' rel: assessment-for - id: si-7_obj.b-2 name: assessment-objective props: - name: label value: SI-07b.[02] class: sp800-53a prose: '{{ insert: param, si-07_odp.05 }} are taken when unauthorized changes to the firmware are detected;' links: - href: '#si-7_smt.b' rel: assessment-for - id: si-7_obj.b-3 name: assessment-objective props: - name: label value: SI-07b.[03] class: sp800-53a prose: '{{ insert: param, si-07_odp.06 }} are taken when unauthorized changes to the information are detected.' links: - href: '#si-7_smt.b' rel: assessment-for links: - href: '#si-7_smt.b' rel: assessment-for links: - href: '#si-7_smt' rel: assessment-for - id: si-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity personally identifiable information processing policy system design documentation system configuration settings and associated documentation integrity verification tools and associated documentation records generated or triggered by integrity verification tools regarding unauthorized software, firmware, and information changes system audit records system security plan privacy plan other relevant documents or records - id: si-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security and privacy responsibilities system/network administrators - id: si-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07-Test class: sp800-53a parts: - name: assessment-objects prose: Software, firmware, and information integrity verification tools controls: - id: si-7.1 class: SP800-53-enhancement title: Integrity Checks params: - id: si-7.1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.05 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.09 label: organization-defined software, firmware, and information - id: si-7.1_prm_2 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.06 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.10 select: how-many: one-or-more choice: - at startup - 'at {{ insert: param, si-7.1_prm_3 }} ' - '{{ insert: param, si-7.1_prm_4 }} ' - id: si-7.1_prm_3 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.07 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.11 label: organization-defined transitional states or security-relevant events - id: si-7.1_prm_4 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.04 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.08 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-07.01_odp.12 label: organization-defined frequency - id: si-07.01_odp.01 props: - name: label value: SI-07(01)_ODP[01] class: sp800-53a label: software guidelines: - prose: software on which an integrity check is to be performed is defined; - id: si-07.01_odp.02 props: - name: label value: SI-07(01)_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - at startup - 'at {{ insert: param, si-07.01_odp.03 }} ' - '{{ insert: param, si-07.01_odp.04 }} ' - id: si-07.01_odp.03 props: - name: label value: SI-07(01)_ODP[03] class: sp800-53a label: transitional states or security-relevant events guidelines: - prose: transitional states or security-relevant events requiring integrity checks (on software) are defined (if selected); - id: si-07.01_odp.04 props: - name: label value: SI-07(01)_ODP[04] class: sp800-53a label: frequency guidelines: - prose: frequency with which to perform an integrity check (on software) is defined (if selected); - id: si-07.01_odp.05 props: - name: label value: SI-07(01)_ODP[05] class: sp800-53a label: firmware guidelines: - prose: firmware on which an integrity check is to be performed is defined; - id: si-07.01_odp.06 props: - name: label value: SI-07(01)_ODP[06] class: sp800-53a select: how-many: one-or-more choice: - at startup - 'at {{ insert: param, si-07.01_odp.07 }} ' - '{{ insert: param, si-07.01_odp.08 }} ' - id: si-07.01_odp.07 props: - name: label value: SI-07(01)_ODP[07] class: sp800-53a label: transitional states or security-relevant events guidelines: - prose: transitional states or security-relevant events requiring integrity checks (on firmware) are defined (if selected); - id: si-07.01_odp.08 props: - name: label value: SI-07(01)_ODP[08] class: sp800-53a label: frequency guidelines: - prose: frequency with which to perform an integrity check (on firmware) is defined (if selected); - id: si-07.01_odp.09 props: - name: label value: SI-07(01)_ODP[09] class: sp800-53a label: information guidelines: - prose: information on which an integrity check is to be performed is defined; - id: si-07.01_odp.10 props: - name: label value: SI-07(01)_ODP[10] class: sp800-53a select: how-many: one-or-more choice: - at startup - 'at {{ insert: param, si-07.01_odp.11 }} ' - '{{ insert: param, si-07.01_odp.12 }} ' - id: si-07.01_odp.11 props: - name: label value: SI-07(01)_ODP[11] class: sp800-53a label: transitional states or security-relevant events guidelines: - prose: transitional states or security-relevant events requiring integrity checks (of information) are defined (if selected); - id: si-07.01_odp.12 props: - name: label value: SI-07(01)_ODP[12] class: sp800-53a label: frequency guidelines: - prose: frequency with which to perform an integrity check (of information) is defined (if selected); props: - name: label value: SI-07(01) class: zero-padded - name: label value: SI-7(1) - name: label value: SI-07(01) class: sp800-53a - name: sort-id value: si-07.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-7' rel: required parts: - id: si-7.1_smt name: statement prose: 'Perform an integrity check of {{ insert: param, si-7.1_prm_1 }} {{ insert: param, si-7.1_prm_2 }}.' - id: si-7.1_gdn name: guidance prose: Security-relevant events include the identification of new threats to which organizational systems are susceptible and the installation of new hardware, software, or firmware. Transitional states include system startup, restart, shutdown, and abort. - id: si-7.1_obj name: assessment-objective props: - name: label value: SI-07(01) class: sp800-53a parts: - id: si-7.1_obj-1 name: assessment-objective props: - name: label value: SI-07(01)[01] class: sp800-53a prose: 'an integrity check of {{ insert: param, si-07.01_odp.01 }} is performed {{ insert: param, si-07.01_odp.02 }};' links: - href: '#si-7.1_smt' rel: assessment-for - id: si-7.1_obj-2 name: assessment-objective props: - name: label value: SI-07(01)[02] class: sp800-53a prose: 'an integrity check of {{ insert: param, si-07.01_odp.05 }} is performed {{ insert: param, si-07.01_odp.06 }};' links: - href: '#si-7.1_smt' rel: assessment-for - id: si-7.1_obj-3 name: assessment-objective props: - name: label value: SI-07(01)[03] class: sp800-53a prose: 'an integrity check of {{ insert: param, si-07.01_odp.09 }} is performed {{ insert: param, si-07.01_odp.10 }}.' links: - href: '#si-7.1_smt' rel: assessment-for links: - href: '#si-7.1_smt' rel: assessment-for - id: si-7.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity testing system design documentation system configuration settings and associated documentation integrity verification tools and associated documentation records of integrity scans system security plan other relevant documents or records - id: si-7.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security responsibilities system/network administrators system developer - id: si-7.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Software, firmware, and information integrity verification tools - id: si-7.2 class: SP800-53-enhancement title: Automated Notifications of Integrity Violations params: - id: si-07.02_odp props: - name: alt-identifier value: si-7.2_prm_1 - name: label value: SI-07(02)_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom notification is to be provided upon discovering discrepancies during integrity verification is/are defined; props: - name: label value: SI-07(02) class: zero-padded - name: label value: SI-7(2) - name: label value: SI-07(02) class: sp800-53a - name: sort-id value: si-07.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-7' rel: required parts: - id: si-7.2_smt name: statement prose: 'Employ automated tools that provide notification to {{ insert: param, si-07.02_odp }} upon discovering discrepancies during integrity verification.' - id: si-7.2_gdn name: guidance prose: The employment of automated tools to report system and information integrity violations and to notify organizational personnel in a timely matter is essential to effective risk response. Personnel with an interest in system and information integrity violations include mission and business owners, system owners, senior agency information security official, senior agency official for privacy, system administrators, software developers, systems integrators, information security officers, and privacy officers. - id: si-7.2_obj name: assessment-objective props: - name: label value: SI-07(02) class: sp800-53a prose: 'automated tools that provide notification to {{ insert: param, si-07.02_odp }} upon discovering discrepancies during integrity verification are employed.' links: - href: '#si-7.2_smt' rel: assessment-for - id: si-7.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity personally identifiable information processing policy system design documentation system configuration settings and associated documentation integrity verification tools and associated documentation records of integrity scans automated tools supporting alerts and notifications for integrity discrepancies notifications provided upon discovering discrepancies during integrity verifications system audit records system security plan privacy plan other relevant documents or records - id: si-7.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security and privacy responsibilities system administrators software developers - id: si-7.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Software, firmware, and information integrity verification tools mechanisms providing integrity discrepancy notifications - id: si-7.3 class: SP800-53-enhancement title: Centrally Managed Integrity Tools props: - name: label value: SI-07(03) class: zero-padded - name: label value: SI-7(3) - name: label value: SI-07(03) class: sp800-53a - name: sort-id value: si-07.03 - 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: '#si-7' rel: required - href: '#au-3' rel: related - href: '#si-2' rel: related - href: '#si-8' rel: related parts: - id: si-7.3_smt name: statement prose: Employ centrally managed integrity verification tools. - id: si-7.3_gdn name: guidance prose: Centrally managed integrity verification tools provides greater consistency in the application of such tools and can facilitate more comprehensive coverage of integrity verification actions. - id: si-7.3_obj name: assessment-objective props: - name: label value: SI-07(03) class: sp800-53a prose: centrally managed integrity verification tools are employed. links: - href: '#si-7.3_smt' rel: assessment-for - id: si-7.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity system design documentation system configuration settings and associated documentation integrity verification tools and associated documentation records of integrity scans system security plan other relevant documents or records - id: si-7.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for the central management of integrity verification tools organizational personnel with information security responsibilities - id: si-7.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing the central management of integrity verification tools - id: si-7.4 class: SP800-53-enhancement title: Tamper-evident Packaging props: - name: label value: SI-07(04) class: zero-padded - name: label value: SI-7(4) - name: label value: SI-07(04) class: sp800-53a - name: sort-id value: si-07.04 - name: status value: withdrawn links: - href: '#sr-9' rel: incorporated-into - id: si-7.5 class: SP800-53-enhancement title: Automated Response to Integrity Violations params: - id: si-07.05_odp.01 props: - name: alt-identifier value: si-7.5_prm_1 - name: label value: SI-07(05)_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - shut down the system - restart the system - 'implement {{ insert: param, si-07.05_odp.02 }} ' - id: si-07.05_odp.02 props: - name: alt-identifier value: si-7.5_prm_2 - name: label value: SI-07(05)_ODP[02] class: sp800-53a label: controls guidelines: - prose: controls to be implemented automatically when integrity violations are discovered are defined (if selected); props: - name: label value: SI-07(05) class: zero-padded - name: label value: SI-7(5) - name: label value: SI-07(05) class: sp800-53a - name: sort-id value: si-07.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-7' rel: required parts: - id: si-7.5_smt name: statement prose: 'Automatically {{ insert: param, si-07.05_odp.01 }} when integrity violations are discovered.' - id: si-7.5_gdn name: guidance prose: Organizations may define different integrity-checking responses by type of information, specific information, or a combination of both. Types of information include firmware, software, and user data. Specific information includes boot firmware for certain types of machines. The automatic implementation of controls within organizational systems includes reversing the changes, halting the system, or triggering audit alerts when unauthorized modifications to critical security files occur. - id: si-7.5_obj name: assessment-objective props: - name: label value: SI-07(05) class: sp800-53a prose: '{{ insert: param, si-07.05_odp.01 }} are automatically performed when integrity violations are discovered.' links: - href: '#si-7.5_smt' rel: assessment-for - id: si-7.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity system design documentation system configuration settings and associated documentation integrity verification tools and associated documentation records of integrity scans records of integrity checks and responses to integrity violations audit records system security plan other relevant documents or records - id: si-7.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security responsibilities system/network administrators system developer - id: si-7.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Software, firmware, and information integrity verification tools mechanisms providing an automated response to integrity violations mechanisms supporting and/or implementing security safeguards to be implemented when integrity violations are discovered - id: si-7.6 class: SP800-53-enhancement title: Cryptographic Protection props: - name: label value: SI-07(06) class: zero-padded - name: label value: SI-7(6) - name: label value: SI-07(06) class: sp800-53a - name: sort-id value: si-07.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-7' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: si-7.6_smt name: statement prose: Implement cryptographic mechanisms to detect unauthorized changes to software, firmware, and information. - id: si-7.6_gdn name: guidance prose: Cryptographic mechanisms used to protect integrity include digital signatures and the computation and application of signed hashes using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information. Organizations that employ cryptographic mechanisms also consider cryptographic key management solutions. - id: si-7.6_obj name: assessment-objective props: - name: label value: SI-07(06) class: sp800-53a parts: - id: si-7.6_obj-1 name: assessment-objective props: - name: label value: SI-07(06)[01] class: sp800-53a prose: cryptographic mechanisms are implemented to detect unauthorized changes to software; links: - href: '#si-7.6_smt' rel: assessment-for - id: si-7.6_obj-2 name: assessment-objective props: - name: label value: SI-07(06)[02] class: sp800-53a prose: cryptographic mechanisms are implemented to detect unauthorized changes to firmware; links: - href: '#si-7.6_smt' rel: assessment-for - id: si-7.6_obj-3 name: assessment-objective props: - name: label value: SI-07(06)[03] class: sp800-53a prose: cryptographic mechanisms are implemented to detect unauthorized changes to information. links: - href: '#si-7.6_smt' rel: assessment-for links: - href: '#si-7.6_smt' rel: assessment-for - id: si-7.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity system design documentation system configuration settings and associated documentation cryptographic mechanisms and associated documentation records of detected unauthorized changes to software, firmware, and information system audit records system security plan other relevant documents or records - id: si-7.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security responsibilities system/network administrators system developer - id: si-7.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(06)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Software, firmware, and information integrity verification tools cryptographic mechanisms implementing software, firmware, and information integrity - id: si-7.7 class: SP800-53-enhancement title: Integration of Detection and Response params: - id: si-07.07_odp props: - name: alt-identifier value: si-7.7_prm_1 - name: alt-label value: security-relevant changes to the system class: sp800-53 - name: label value: SI-07(07)_ODP class: sp800-53a label: changes guidelines: - prose: security-relevant changes to the system are defined; props: - name: label value: SI-07(07) class: zero-padded - name: label value: SI-7(7) - name: label value: SI-07(07) class: sp800-53a - name: sort-id value: si-07.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-7' rel: required - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#ir-4' rel: related - href: '#ir-5' rel: related - href: '#si-4' rel: related parts: - id: si-7.7_smt name: statement prose: 'Incorporate the detection of the following unauthorized changes into the organizational incident response capability: {{ insert: param, si-07.07_odp }}.' - id: si-7.7_gdn name: guidance prose: Integrating detection and response helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important for being able to identify and discern adversary actions over an extended time period and for possible legal actions. Security-relevant changes include unauthorized changes to established configuration settings or the unauthorized elevation of system privileges. - id: si-7.7_obj name: assessment-objective props: - name: label value: SI-07(07) class: sp800-53a prose: 'the detection of {{ insert: param, si-07.07_odp }} are incorporated into the organizational incident response capability.' links: - href: '#si-7.7_smt' rel: assessment-for - id: si-7.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity procedures addressing incident response system design documentation system configuration settings and associated documentation incident response records audit records system security plan other relevant documents or records - id: si-7.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security responsibilities organizational personnel with incident response responsibilities - id: si-7.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(07)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for incorporating the detection of unauthorized security-relevant changes into the incident response capability software, firmware, and information integrity verification tools mechanisms supporting and/or implementing the incorporation of detection of unauthorized security-relevant changes into the incident response capability - id: si-7.8 class: SP800-53-enhancement title: Auditing Capability for Significant Events params: - id: si-07.08_odp.01 props: - name: alt-identifier value: si-7.8_prm_1 - name: label value: SI-07(08)_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - generate an audit record - alert current user - 'alert {{ insert: param, si-07.08_odp.02 }} ' - '{{ insert: param, si-07.08_odp.03 }} ' - id: si-07.08_odp.02 props: - name: alt-identifier value: si-7.8_prm_2 - name: label value: SI-07(08)_ODP[02] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to be alerted upon the detection of a potential integrity violation is/are defined (if selected); - id: si-07.08_odp.03 props: - name: alt-identifier value: si-7.8_prm_3 - name: label value: SI-07(08)_ODP[03] class: sp800-53a label: other actions guidelines: - prose: other actions to be taken upon the detection of a potential integrity violation are defined (if selected); props: - name: label value: SI-07(08) class: zero-padded - name: label value: SI-7(8) - name: label value: SI-07(08) class: sp800-53a - name: sort-id value: si-07.08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-7' rel: required - href: '#au-2' rel: related - href: '#au-6' rel: related - href: '#au-12' rel: related parts: - id: si-7.8_smt name: statement prose: 'Upon detection of a potential integrity violation, provide the capability to audit the event and initiate the following actions: {{ insert: param, si-07.08_odp.01 }}.' - id: si-7.8_gdn name: guidance prose: Organizations select response actions based on types of software, specific software, or information for which there are potential integrity violations. - id: si-7.8_obj name: assessment-objective props: - name: label value: SI-07(08) class: sp800-53a parts: - id: si-7.8_obj-1 name: assessment-objective props: - name: label value: SI-07(08)[01] class: sp800-53a prose: the capability to audit an event upon the detection of a potential integrity violation is provided; links: - href: '#si-7.8_smt' rel: assessment-for - id: si-7.8_obj-2 name: assessment-objective props: - name: label value: SI-07(08)[02] class: sp800-53a prose: '{{ insert: param, si-07.08_odp.01 }} is/are initiated upon the detection of a potential integrity violation.' links: - href: '#si-7.8_smt' rel: assessment-for links: - href: '#si-7.8_smt' rel: assessment-for - id: si-7.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity system design documentation system configuration settings and associated documentation integrity verification tools and associated documentation records of integrity scans incident response records list of security-relevant changes to the system automated tools supporting alerts and notifications if unauthorized security changes are detected system audit records system security plan other relevant documents or records - id: si-7.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security responsibilities system/network administrators system developer - id: si-7.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(08)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Software, firmware, and information integrity verification tools mechanisms supporting and/or implementing the capability to audit potential integrity violations mechanisms supporting and/or implementing alerts about potential integrity violations - id: si-7.9 class: SP800-53-enhancement title: Verify Boot Process params: - id: si-07.09_odp props: - name: alt-identifier value: si-7.9_prm_1 - name: label value: SI-07(09)_ODP class: sp800-53a label: system components guidelines: - prose: system components requiring integrity verification of the boot process are defined; props: - name: label value: SI-07(09) class: zero-padded - name: label value: SI-7(9) - name: label value: SI-07(09) class: sp800-53a - name: sort-id value: si-07.09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-7' rel: required - href: '#si-6' rel: related parts: - id: si-7.9_smt name: statement prose: 'Verify the integrity of the boot process of the following system components: {{ insert: param, si-07.09_odp }}.' - id: si-7.9_gdn name: guidance prose: Ensuring the integrity of boot processes is critical to starting system components in known, trustworthy states. Integrity verification mechanisms provide a level of assurance that only trusted code is executed during boot processes. - id: si-7.9_obj name: assessment-objective props: - name: label value: SI-07(09) class: sp800-53a prose: 'the integrity of the boot process of {{ insert: param, si-07.09_odp }} is verified.' links: - href: '#si-7.9_smt' rel: assessment-for - id: si-7.9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(09)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity system design documentation system configuration settings and associated documentation integrity verification tools and associated documentation documentation records of integrity verification scans system audit records system security plan other relevant documents or records - id: si-7.9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(09)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security responsibilities system developer - id: si-7.9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(09)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Software, firmware, and information integrity verification tools mechanisms supporting and/or implementing integrity verification of the boot process - id: si-7.10 class: SP800-53-enhancement title: Protection of Boot Firmware params: - id: si-07.10_odp.01 props: - name: alt-identifier value: si-7.10_prm_2 - name: label value: SI-07(10)_ODP[01] class: sp800-53a label: mechanisms guidelines: - prose: mechanisms to be implemented to protect the integrity of boot firmware in system components are defined; - id: si-07.10_odp.02 props: - name: alt-identifier value: si-7.10_prm_1 - name: label value: SI-07(10)_ODP[02] class: sp800-53a label: system components guidelines: - prose: system components requiring mechanisms to protect the integrity of boot firmware are defined; props: - name: label value: SI-07(10) class: zero-padded - name: label value: SI-7(10) - name: label value: SI-07(10) class: sp800-53a - name: sort-id value: si-07.10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-7' rel: required - href: '#si-6' rel: related parts: - id: si-7.10_smt name: statement prose: 'Implement the following mechanisms to protect the integrity of boot firmware in {{ insert: param, si-07.10_odp.02 }}: {{ insert: param, si-07.10_odp.01 }}.' - id: si-7.10_gdn name: guidance prose: Unauthorized modifications to boot firmware may indicate a sophisticated, targeted attack. These types of targeted attacks can result in a permanent denial of service or a persistent malicious code presence. These situations can occur if the firmware is corrupted or if the malicious code is embedded within the firmware. System components can protect the integrity of boot firmware in organizational systems by verifying the integrity and authenticity of all updates to the firmware prior to applying changes to the system component and preventing unauthorized processes from modifying the boot firmware. - id: si-7.10_obj name: assessment-objective props: - name: label value: SI-07(10) class: sp800-53a prose: '{{ insert: param, si-07.10_odp.01 }} are implemented to protect the integrity of boot firmware in {{ insert: param, si-07.10_odp.02 }}.' links: - href: '#si-7.10_smt' rel: assessment-for - id: si-7.10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(10)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity system design documentation system configuration settings and associated documentation integrity verification tools and associated documentation records of integrity verification scans system audit records system security plan other relevant documents or records - id: si-7.10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(10)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security responsibilities system/network administrators system developer - id: si-7.10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(10)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Software, firmware, and information integrity verification tools mechanisms supporting and/or implementing protection of the integrity of boot firmware safeguards implementing protection of the integrity of boot firmware - id: si-7.11 class: SP800-53-enhancement title: Confined Environments with Limited Privileges props: - name: label value: SI-07(11) class: zero-padded - name: label value: SI-7(11) - name: label value: SI-07(11) class: sp800-53a - name: sort-id value: si-07.11 - name: status value: withdrawn links: - href: '#cm-7.6' rel: moved-to - id: si-7.12 class: SP800-53-enhancement title: Integrity Verification params: - id: si-07.12_odp props: - name: alt-identifier value: si-7.12_prm_1 - name: label value: SI-07(12)_ODP class: sp800-53a label: user-installed software guidelines: - prose: user-installed software requiring integrity verification prior to execution is defined; props: - name: label value: SI-07(12) class: zero-padded - name: label value: SI-7(12) - name: label value: SI-07(12) class: sp800-53a - name: sort-id value: si-07.12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-7' rel: required - href: '#cm-11' rel: related parts: - id: si-7.12_smt name: statement prose: 'Require that the integrity of the following user-installed software be verified prior to execution: {{ insert: param, si-07.12_odp }}.' - id: si-7.12_gdn name: guidance prose: Organizations verify the integrity of user-installed software prior to execution to reduce the likelihood of executing malicious code or programs that contains errors from unauthorized modifications. Organizations consider the practicality of approaches to verifying software integrity, including the availability of trustworthy checksums from software developers and vendors. - id: si-7.12_obj name: assessment-objective props: - name: label value: SI-07(12) class: sp800-53a prose: 'the integrity of {{ insert: param, si-07.12_odp }} is verified prior to execution.' links: - href: '#si-7.12_smt' rel: assessment-for - id: si-7.12_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(12)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity system design documentation system configuration settings and associated documentation integrity verification records system audit records system security plan other relevant documents or records - id: si-7.12_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(12)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security responsibilities - id: si-7.12_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(12)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Software, firmware, and information integrity verification tools mechanisms supporting and/or implementing verification of the integrity of user-installed software prior to execution - id: si-7.13 class: SP800-53-enhancement title: Code Execution in Protected Environments props: - name: label value: SI-07(13) class: zero-padded - name: label value: SI-7(13) - name: label value: SI-07(13) class: sp800-53a - name: sort-id value: si-07.13 - name: status value: withdrawn links: - href: '#cm-7.7' rel: moved-to - id: si-7.14 class: SP800-53-enhancement title: Binary or Machine Executable Code props: - name: label value: SI-07(14) class: zero-padded - name: label value: SI-7(14) - name: label value: SI-07(14) class: sp800-53a - name: sort-id value: si-07.14 - name: status value: withdrawn links: - href: '#cm-7.8' rel: moved-to - id: si-7.15 class: SP800-53-enhancement title: Code Authentication params: - id: si-07.15_odp props: - name: alt-identifier value: si-7.15_prm_1 - name: label value: SI-07(15)_ODP class: sp800-53a label: software or firmware components guidelines: - prose: software or firmware components to be authenticated by cryptographic mechanisms prior to installation are defined; props: - name: label value: SI-07(15) class: zero-padded - name: label value: SI-7(15) - name: label value: SI-07(15) class: sp800-53a - name: sort-id value: si-07.15 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-7' rel: required - href: '#cm-5' rel: related - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: si-7.15_smt name: statement prose: 'Implement cryptographic mechanisms to authenticate the following software or firmware components prior to installation: {{ insert: param, si-07.15_odp }}.' - id: si-7.15_gdn name: guidance prose: Cryptographic authentication includes verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code. Organizations that employ cryptographic mechanisms also consider cryptographic key management solutions. - id: si-7.15_obj name: assessment-objective props: - name: label value: SI-07(15) class: sp800-53a prose: 'cryptographic mechanisms are implemented to authenticate {{ insert: param, si-07.15_odp }} prior to installation.' links: - href: '#si-7.15_smt' rel: assessment-for - id: si-7.15_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(15)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing software, firmware, and information integrity system design documentation system configuration settings and associated documentation cryptographic mechanisms and associated documentation system audit records system security plan other relevant documents or records - id: si-7.15_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(15)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security responsibilities system/network administrators system developer - id: si-7.15_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(15)-Test class: sp800-53a parts: - name: assessment-objects prose: Cryptographic mechanisms authenticating software and firmware prior to installation - id: si-7.16 class: SP800-53-enhancement title: Time Limit on Process Execution Without Supervision params: - id: si-07.16_odp props: - name: alt-identifier value: si-7.16_prm_1 - name: label value: SI-07(16)_ODP class: sp800-53a label: time period guidelines: - prose: the maximum time period permitted for processes to execute without supervision is defined; props: - name: label value: SI-07(16) class: zero-padded - name: label value: SI-7(16) - name: label value: SI-07(16) class: sp800-53a - name: sort-id value: si-07.16 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-7' rel: required parts: - id: si-7.16_smt name: statement prose: 'Prohibit processes from executing without supervision for more than {{ insert: param, si-07.16_odp }}.' - id: si-7.16_gdn name: guidance prose: Placing a time limit on process execution without supervision is intended to apply to processes for which typical or normal execution periods can be determined and situations in which organizations exceed such periods. Supervision includes timers on operating systems, automated responses, and manual oversight and response when system process anomalies occur. - id: si-7.16_obj name: assessment-objective props: - name: label value: SI-07(16) class: sp800-53a prose: 'processes are prohibited from executing without supervision for more than {{ insert: param, si-07.16_odp }}.' links: - href: '#si-7.16_smt' rel: assessment-for - id: si-7.16_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(16)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing software and information integrity system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-7.16_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(16)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security responsibilities system/network administrators system developer - id: si-7.16_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(16)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Software, firmware, and information integrity verification tools mechanisms supporting and/or implementing time limits on process execution without supervision - id: si-7.17 class: SP800-53-enhancement title: Runtime Application Self-protection params: - id: si-07.17_odp props: - name: alt-identifier value: si-7.17_prm_1 - name: label value: SI-07(17)_ODP class: sp800-53a label: controls guidelines: - prose: controls to be implemented for application self-protection at runtime are defined; props: - name: label value: SI-07(17) class: zero-padded - name: label value: SI-7(17) - name: label value: SI-07(17) class: sp800-53a - name: sort-id value: si-07.17 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-7' rel: required - href: '#si-16' rel: related parts: - id: si-7.17_smt name: statement prose: 'Implement {{ insert: param, si-07.17_odp }} for application self-protection at runtime.' - id: si-7.17_gdn name: guidance prose: Runtime application self-protection employs runtime instrumentation to detect and block the exploitation of software vulnerabilities by taking advantage of information from the software in execution. Runtime exploit prevention differs from traditional perimeter-based protections such as guards and firewalls which can only detect and block attacks by using network information without contextual awareness. Runtime application self-protection technology can reduce the susceptibility of software to attacks by monitoring its inputs and blocking those inputs that could allow attacks. It can also help protect the runtime environment from unwanted changes and tampering. When a threat is detected, runtime application self-protection technology can prevent exploitation and take other actions (e.g., sending a warning message to the user, terminating the user's session, terminating the application, or sending an alert to organizational personnel). Runtime application self-protection solutions can be deployed in either a monitor or protection mode. - id: si-7.17_obj name: assessment-objective props: - name: label value: SI-07(17) class: sp800-53a prose: '{{ insert: param, si-07.17_odp }} are implemented for application self-protection at runtime.' links: - href: '#si-7.17_smt' rel: assessment-for - id: si-7.17_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-07(17)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing software and information integrity system design documentation system configuration settings and associated documentation list of known vulnerabilities addressed by runtime instrumentation system security plan other relevant documents or records - id: si-7.17_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-07(17)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for software, firmware, and/or information integrity organizational personnel with information security responsibilities system/network administrators system developer - id: si-7.17_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-07(17)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Software, firmware, and information integrity verification tools mechanisms supporting and/or implementing runtime application self-protection - id: si-8 class: SP800-53 title: Spam Protection props: - name: label value: SI-08 class: zero-padded - name: label value: SI-8 - name: label value: SI-08 class: sp800-53a - name: sort-id value: si-08 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#314e33cb-3681-4b50-a2a2-3fae9604accd' rel: reference - href: '#1c71b420-2bd9-4e52-9fc8-390f58b85b59' rel: reference - href: '#pl-9' rel: related - href: '#sc-5' rel: related - href: '#sc-7' rel: related - href: '#sc-38' rel: related - href: '#si-3' rel: related - href: '#si-4' rel: related parts: - id: si-8_smt name: statement parts: - id: si-8_smt.a name: item props: - name: label value: a. prose: Employ spam protection mechanisms at system entry and exit points to detect and act on unsolicited messages; and - id: si-8_smt.b name: item props: - name: label value: b. prose: Update spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures. - id: si-8_gdn name: guidance prose: System entry and exit points include firewalls, remote-access servers, electronic mail servers, web servers, proxy servers, workstations, notebook computers, and mobile devices. Spam can be transported by different means, including email, email attachments, and web accesses. Spam protection mechanisms include signature definitions. - id: si-8_obj name: assessment-objective props: - name: label value: SI-08 class: sp800-53a parts: - id: si-8_obj.a name: assessment-objective props: - name: label value: SI-08a. class: sp800-53a parts: - id: si-8_obj.a-1 name: assessment-objective props: - name: label value: SI-08a.[01] class: sp800-53a prose: spam protection mechanisms are employed at system entry points to detect unsolicited messages; links: - href: '#si-8_smt.a' rel: assessment-for - id: si-8_obj.a-2 name: assessment-objective props: - name: label value: SI-08a.[02] class: sp800-53a prose: spam protection mechanisms are employed at system exit points to detect unsolicited messages; links: - href: '#si-8_smt.a' rel: assessment-for - id: si-8_obj.a-3 name: assessment-objective props: - name: label value: SI-08a.[03] class: sp800-53a prose: spam protection mechanisms are employed at system entry points to act on unsolicited messages; links: - href: '#si-8_smt.a' rel: assessment-for - id: si-8_obj.a-4 name: assessment-objective props: - name: label value: SI-08a.[04] class: sp800-53a prose: spam protection mechanisms are employed at system exit points to act on unsolicited messages; links: - href: '#si-8_smt.a' rel: assessment-for links: - href: '#si-8_smt.a' rel: assessment-for - id: si-8_obj.b name: assessment-objective props: - name: label value: SI-08b. class: sp800-53a prose: spam protection mechanisms are updated when new releases are available in accordance with organizational configuration management policies and procedures. links: - href: '#si-8_smt.b' rel: assessment-for links: - href: '#si-8_smt' rel: assessment-for - id: si-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-08-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures configuration management policies and procedures (CM-01) procedures addressing spam protection spam protection mechanisms records of spam protection updates system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-08-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for spam protection organizational personnel with information security responsibilities system/network administrators system developer - id: si-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-08-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for implementing spam protection mechanisms supporting and/or implementing spam protection controls: - id: si-8.1 class: SP800-53-enhancement title: Central Management props: - name: label value: SI-08(01) class: zero-padded - name: label value: SI-8(1) - name: label value: SI-08(01) class: sp800-53a - name: sort-id value: si-08.01 - name: status value: withdrawn links: - href: '#pl-9' rel: incorporated-into - id: si-8.2 class: SP800-53-enhancement title: Automatic Updates params: - id: si-08.02_odp props: - name: alt-identifier value: si-8.2_prm_1 - name: label value: SI-08(02)_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency at which to automatically update spam protection mechanisms is defined; props: - name: label value: SI-08(02) class: zero-padded - name: label value: SI-8(2) - name: label value: SI-08(02) class: sp800-53a - name: sort-id value: si-08.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#si-8' rel: required parts: - id: si-8.2_smt name: statement prose: 'Automatically update spam protection mechanisms {{ insert: param, si-08.02_odp }}.' - id: si-8.2_gdn name: guidance prose: Using automated mechanisms to update spam protection mechanisms helps to ensure that updates occur on a regular basis and provide the latest content and protection capabilities. - id: si-8.2_obj name: assessment-objective props: - name: label value: SI-08(02) class: sp800-53a prose: 'spam protection mechanisms are automatically updated {{ insert: param, si-08.02_odp }}.' links: - href: '#si-8.2_smt' rel: assessment-for - id: si-8.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-08(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing spam protection spam protection mechanisms records of spam protection updates system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-8.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-08(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for spam protection organizational personnel with information security responsibilities system/network administrators system developer - id: si-8.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-08(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for spam protection mechanisms supporting and/or implementing automatic updates to spam protection mechanisms - id: si-8.3 class: SP800-53-enhancement title: Continuous Learning Capability props: - name: label value: SI-08(03) class: zero-padded - name: label value: SI-8(3) - name: label value: SI-08(03) class: sp800-53a - name: sort-id value: si-08.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#si-8' rel: required parts: - id: si-8.3_smt name: statement prose: Implement spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic. - id: si-8.3_gdn name: guidance prose: Learning mechanisms include Bayesian filters that respond to user inputs that identify specific traffic as spam or legitimate by updating algorithm parameters and thereby more accurately separating types of traffic. - id: si-8.3_obj name: assessment-objective props: - name: label value: SI-08(03) class: sp800-53a prose: spam protection mechanisms with a learning capability are implemented to more effectively identify legitimate communications traffic. links: - href: '#si-8.3_smt' rel: assessment-for - id: si-8.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-08(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing spam protection spam protection mechanisms system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-8.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-08(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for spam protection organizational personnel with information security responsibilities system/network administrators system developer - id: si-8.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-08(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for spam protection mechanisms supporting and/or implementing spam protection mechanisms with a learning capability - id: si-9 class: SP800-53 title: Information Input Restrictions props: - name: label value: SI-09 class: zero-padded - name: label value: SI-9 - name: label value: SI-09 class: sp800-53a - name: sort-id value: si-09 - name: status value: withdrawn links: - href: '#ac-2' rel: incorporated-into - href: '#ac-3' rel: incorporated-into - href: '#ac-5' rel: incorporated-into - href: '#ac-6' rel: incorporated-into - id: si-10 class: SP800-53 title: Information Input Validation params: - id: si-10_odp props: - name: alt-identifier value: si-10_prm_1 - name: alt-identifier value: si-10.1_prm_1 - name: alt-label value: information inputs to the system class: sp800-53 - name: label value: SI-10_ODP class: sp800-53a label: information inputs guidelines: - prose: information inputs to the system requiring validity checks are defined; props: - name: label value: SI-10 class: zero-padded - name: label value: SI-10 - name: label value: SI-10 class: sp800-53a - name: sort-id value: si-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference parts: - id: si-10_smt name: statement prose: 'Check the validity of the following information inputs: {{ insert: param, si-10_odp }}.' - id: si-10_gdn name: guidance prose: Checking the valid syntax and semantics of system inputs—including character set, length, numerical range, and acceptable values—verifies that inputs match specified definitions for format and content. For example, if the organization specifies that numerical values between 1-100 are the only acceptable inputs for a field in a given application, inputs of "387," "abc," or "%K%" are invalid inputs and are not accepted as input to the system. Valid inputs are likely to vary from field to field within a software application. Applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the corrupted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing them to interpreters prevents the content from being unintentionally interpreted as commands. Input validation ensures accurate and correct inputs and prevents attacks such as cross-site scripting and a variety of injection attacks. - id: si-10_obj name: assessment-objective props: - name: label value: SI-10 class: sp800-53a prose: 'the validity of the {{ insert: param, si-10_odp }} is checked.' links: - href: '#si-10_smt' rel: assessment-for - id: si-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-10-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures access control policy and procedures separation of duties policy and procedures procedures addressing information input validation documentation for automated tools and applications to verify the validity of information list of information inputs requiring validity checks system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-10-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for information input validation organizational personnel with information security responsibilities system/network administrators system developer - id: si-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-10-Test class: sp800-53a parts: - name: assessment-objects prose: Mechanisms supporting and/or implementing validity checks on information inputs controls: - id: si-10.1 class: SP800-53-enhancement title: Manual Override Capability params: - id: si-10.01_odp props: - name: alt-identifier value: si-10.1_prm_2 - name: label value: SI-10(01)_ODP class: sp800-53a label: authorized individuals guidelines: - prose: authorized individuals who can use the manual override capability are defined; props: - name: label value: SI-10(01) class: zero-padded - name: label value: SI-10(1) - name: label value: SI-10(01) class: sp800-53a - name: sort-id value: si-10.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-10' rel: required - href: '#ac-3' rel: related - href: '#au-2' rel: related - href: '#au-12' rel: related parts: - id: si-10.1_smt name: statement parts: - id: si-10.1_smt.a name: item props: - name: label value: (a) prose: 'Provide a manual override capability for input validation of the following information inputs: {{ insert: param, si-10_odp }};' - id: si-10.1_smt.b name: item props: - name: label value: (b) prose: 'Restrict the use of the manual override capability to only {{ insert: param, si-10.01_odp }} ; and' - id: si-10.1_smt.c name: item props: - name: label value: (c) prose: Audit the use of the manual override capability. - id: si-10.1_gdn name: guidance prose: In certain situations, such as during events that are defined in contingency plans, a manual override capability for input validation may be needed. Manual overrides are used only in limited circumstances and with the inputs defined by the organization. - id: si-10.1_obj name: assessment-objective props: - name: label value: SI-10(01) class: sp800-53a parts: - id: si-10.1_obj.a name: assessment-objective props: - name: label value: SI-10(01)(a) class: sp800-53a prose: 'a manual override capability for the validation of {{ insert: param, si-10_odp }} is provided;' links: - href: '#si-10.1_smt.a' rel: assessment-for - id: si-10.1_obj.b name: assessment-objective props: - name: label value: SI-10(01)(b) class: sp800-53a prose: 'the use of the manual override capability is restricted to only {{ insert: param, si-10.01_odp }};' links: - href: '#si-10.1_smt.b' rel: assessment-for - id: si-10.1_obj.c name: assessment-objective props: - name: label value: SI-10(01)(c) class: sp800-53a prose: the use of the manual override capability is audited. links: - href: '#si-10.1_smt.c' rel: assessment-for links: - href: '#si-10.1_smt' rel: assessment-for - id: si-10.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-10(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures access control policy and procedures separation of duties policy and procedures procedures addressing information input validation system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-10.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-10(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for information input validation organizational personnel with information security responsibilities system/network administrators system developer - id: si-10.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-10(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for the use of a manual override capability mechanisms supporting and/or implementing a manual override capability for input validation mechanisms supporting and/or implementing auditing of the use of a manual override capability - id: si-10.2 class: SP800-53-enhancement title: Review and Resolve Errors params: - id: si-10.2_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-10.02_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-10.02_odp.02 label: organization-defined time period - id: si-10.02_odp.01 props: - name: label value: SI-10(02)_ODP[01] class: sp800-53a label: time period guidelines: - prose: the time period within which input validation errors are to be reviewed is defined; - id: si-10.02_odp.02 props: - name: label value: SI-10(02)_ODP[02] class: sp800-53a label: time period guidelines: - prose: the time period within which input validation errors are to be resolved is defined; props: - name: label value: SI-10(02) class: zero-padded - name: label value: SI-10(2) - name: label value: SI-10(02) class: sp800-53a - name: sort-id value: si-10.02 - 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: '#si-10' rel: required parts: - id: si-10.2_smt name: statement prose: 'Review and resolve input validation errors within {{ insert: param, si-10.2_prm_1 }}.' - id: si-10.2_gdn name: guidance prose: Resolution of input validation errors includes correcting systemic causes of errors and resubmitting transactions with corrected input. Input validation errors are those related to the information inputs defined by the organization in the base control ( [SI-10](#si-10)). - id: si-10.2_obj name: assessment-objective props: - name: label value: SI-10(02) class: sp800-53a parts: - id: si-10.2_obj-1 name: assessment-objective props: - name: label value: SI-10(02)[01] class: sp800-53a prose: 'input validation errors are reviewed within {{ insert: param, si-10.02_odp.01 }};' links: - href: '#si-10.2_smt' rel: assessment-for - id: si-10.2_obj-2 name: assessment-objective props: - name: label value: SI-10(02)[02] class: sp800-53a prose: 'input validation errors are resolved within {{ insert: param, si-10.02_odp.02 }}.' links: - href: '#si-10.2_smt' rel: assessment-for links: - href: '#si-10.2_smt' rel: assessment-for - id: si-10.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-10(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing information input validation system design documentation system configuration settings and associated documentation review records of information input validation errors and resulting resolutions information input validation error logs or records system audit records system security plan other relevant documents or records - id: si-10.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-10(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for information input validation organizational personnel with information security responsibilities system/network administrators - id: si-10.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-10(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for the review and resolution of input validation errors mechanisms supporting and/or implementing the review and resolution of input validation errors - id: si-10.3 class: SP800-53-enhancement title: Predictable Behavior props: - name: label value: SI-10(03) class: zero-padded - name: label value: SI-10(3) - name: label value: SI-10(03) class: sp800-53a - name: sort-id value: si-10.03 - 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: '#si-10' rel: required parts: - id: si-10.3_smt name: statement prose: Verify that the system behaves in a predictable and documented manner when invalid inputs are received. - id: si-10.3_gdn name: guidance prose: A common vulnerability in organizational systems is unpredictable behavior when invalid inputs are received. Verification of system predictability helps ensure that the system behaves as expected when invalid inputs are received. This occurs by specifying system responses that allow the system to transition to known states without adverse, unintended side effects. The invalid inputs are those related to the information inputs defined by the organization in the base control ( [SI-10](#si-10)). - id: si-10.3_obj name: assessment-objective props: - name: label value: SI-10(03) class: sp800-53a parts: - id: si-10.3_obj-1 name: assessment-objective props: - name: label value: SI-10(03)[01] class: sp800-53a prose: the system behaves in a predictable manner when invalid inputs are received; links: - href: '#si-10.3_smt' rel: assessment-for - id: si-10.3_obj-2 name: assessment-objective props: - name: label value: SI-10(03)[02] class: sp800-53a prose: the system behaves in a documented manner when invalid inputs are received. links: - href: '#si-10.3_smt' rel: assessment-for links: - href: '#si-10.3_smt' rel: assessment-for - id: si-10.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-10(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing information input validation system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-10.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-10(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for information input validation organizational personnel with information security responsibilities system/network administrators system developer - id: si-10.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-10(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms supporting and/or implementing predictable behavior when invalid inputs are received - id: si-10.4 class: SP800-53-enhancement title: Timing Interactions props: - name: label value: SI-10(04) class: zero-padded - name: label value: SI-10(4) - name: label value: SI-10(04) class: sp800-53a - name: sort-id value: si-10.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-10' rel: required parts: - id: si-10.4_smt name: statement prose: Account for timing interactions among system components in determining appropriate responses for invalid inputs. - id: si-10.4_gdn name: guidance prose: In addressing invalid system inputs received across protocol interfaces, timing interactions become relevant, where one protocol needs to consider the impact of the error response on other protocols in the protocol stack. For example, 802.11 standard wireless network protocols do not interact well with Transmission Control Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP assumes packet losses are due to congestion, while packets lost over 802.11 links are typically dropped due to noise or collisions on the link. If TCP makes a congestion response, it takes the wrong action in response to a collision event. Adversaries may be able to use what appear to be acceptable individual behaviors of the protocols in concert to achieve adverse effects through suitable construction of invalid input. The invalid inputs are those related to the information inputs defined by the organization in the base control ( [SI-10](#si-10)). - id: si-10.4_obj name: assessment-objective props: - name: label value: SI-10(04) class: sp800-53a prose: timing interactions among system components are accounted for in determining appropriate responses for invalid inputs. links: - href: '#si-10.4_smt' rel: assessment-for - id: si-10.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-10(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing information input validation system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-10.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-10(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for information input validation organizational personnel with information security responsibilities system/network administrators system developer - id: si-10.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-10(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for determining appropriate responses to invalid inputs automated mechanisms supporting and/or implementing responses to invalid inputs - id: si-10.5 class: SP800-53-enhancement title: Restrict Inputs to Trusted Sources and Approved Formats params: - id: si-10.05_odp.01 props: - name: alt-identifier value: si-10.5_prm_1 - name: label value: SI-10(05)_ODP[01] class: sp800-53a label: trusted sources guidelines: - prose: trusted sources to which the use of information inputs is to be restricted are defined; - id: si-10.05_odp.02 props: - name: alt-identifier value: si-10.5_prm_2 - name: label value: SI-10(05)_ODP[02] class: sp800-53a label: formats guidelines: - prose: formats to which the use of information inputs is to be restricted are defined; props: - name: label value: SI-10(05) class: zero-padded - name: label value: SI-10(5) - name: label value: SI-10(05) class: sp800-53a - name: sort-id value: si-10.05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-10' rel: required - href: '#ac-3' rel: related - href: '#ac-6' rel: related parts: - id: si-10.5_smt name: statement prose: 'Restrict the use of information inputs to {{ insert: param, si-10.05_odp.01 }} and/or {{ insert: param, si-10.05_odp.02 }}.' - id: si-10.5_gdn name: guidance prose: Restricting the use of inputs to trusted sources and in trusted formats applies the concept of authorized or permitted software to information inputs. Specifying known trusted sources for information inputs and acceptable formats for such inputs can reduce the probability of malicious activity. The information inputs are those defined by the organization in the base control ( [SI-10](#si-10)). - id: si-10.5_obj name: assessment-objective props: - name: label value: SI-10(05) class: sp800-53a prose: 'the use of information inputs is restricted to {{ insert: param, si-10.05_odp.01 }} and/or {{ insert: param, si-10.05_odp.02 }}.' links: - href: '#si-10.5_smt' rel: assessment-for - id: si-10.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-10(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing information input validation system design documentation system configuration settings and associated documentation list of trusted sources for information inputs list of acceptable formats for input restrictions system audit records system security plan other relevant documents or records - id: si-10.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-10(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for information input validation organizational personnel with information security responsibilities system/network administrators system developer - id: si-10.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-10(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for restricting information inputs automated mechanisms supporting and/or implementing restriction of information inputs - id: si-10.6 class: SP800-53-enhancement title: Injection Prevention props: - name: label value: SI-10(06) class: zero-padded - name: label value: SI-10(6) - name: label value: SI-10(06) class: sp800-53a - name: sort-id value: si-10.06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-10' rel: required - href: '#ac-3' rel: related - href: '#ac-6' rel: related parts: - id: si-10.6_smt name: statement prose: Prevent untrusted data injections. - id: si-10.6_gdn name: guidance prose: Untrusted data injections may be prevented using a parameterized interface or output escaping (output encoding). Parameterized interfaces separate data from code so that injections of malicious or unintended data cannot change the semantics of commands being sent. Output escaping uses specified characters to inform the interpreter’s parser whether data is trusted. Prevention of untrusted data injections are with respect to the information inputs defined by the organization in the base control ( [SI-10](#si-10)). - id: si-10.6_obj name: assessment-objective props: - name: label value: SI-10(06) class: sp800-53a prose: untrusted data injections are prevented. links: - href: '#si-10.6_smt' rel: assessment-for - id: si-10.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-10(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing information input validation system design documentation system configuration settings and associated documentation list of trusted sources for information inputs list of acceptable formats for input restrictions system audit records system security plan other relevant documents or records - id: si-10.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-10(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for information input validation organizational personnel with information security responsibilities system/network administrators system developer - id: si-10.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-10(06)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for preventing untrusted data injections automated mechanisms supporting and/or implementing injection prevention - id: si-11 class: SP800-53 title: Error Handling params: - id: si-11_odp props: - name: alt-identifier value: si-11_prm_1 - name: label value: SI-11_ODP class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom error messages are to be revealed is/are defined; props: - name: label value: SI-11 class: zero-padded - name: label value: SI-11 - name: label value: SI-11 class: sp800-53a - name: sort-id value: si-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#au-2' rel: related - href: '#au-3' rel: related - href: '#sc-31' rel: related - href: '#si-2' rel: related - href: '#si-15' rel: related parts: - id: si-11_smt name: statement parts: - id: si-11_smt.a name: item props: - name: label value: a. prose: Generate error messages that provide information necessary for corrective actions without revealing information that could be exploited; and - id: si-11_smt.b name: item props: - name: label value: b. prose: 'Reveal error messages only to {{ insert: param, si-11_odp }}.' - id: si-11_gdn name: guidance prose: Organizations consider the structure and content of error messages. The extent to which systems can handle error conditions is guided and informed by organizational policy and operational requirements. Exploitable information includes stack traces and implementation details; erroneous logon attempts with passwords mistakenly entered as the username; mission or business information that can be derived from, if not stated explicitly by, the information recorded; and personally identifiable information, such as account numbers, social security numbers, and credit card numbers. Error messages may also provide a covert channel for transmitting information. - id: si-11_obj name: assessment-objective props: - name: label value: SI-11 class: sp800-53a parts: - id: si-11_obj.a name: assessment-objective props: - name: label value: SI-11a. class: sp800-53a prose: error messages that provide the information necessary for corrective actions are generated without revealing information that could be exploited; links: - href: '#si-11_smt.a' rel: assessment-for - id: si-11_obj.b name: assessment-objective props: - name: label value: SI-11b. class: sp800-53a prose: 'error messages are revealed only to {{ insert: param, si-11_odp }}.' links: - href: '#si-11_smt.b' rel: assessment-for links: - href: '#si-11_smt' rel: assessment-for - id: si-11_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-11-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing system error handling system design documentation system configuration settings and associated documentation documentation providing the structure and content of error messages system audit records system security plan other relevant documents or records - id: si-11_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-11-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for information input validation organizational personnel with information security responsibilities system/network administrators system developer - id: si-11_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-11-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for error handling automated mechanisms supporting and/or implementing error handling automated mechanisms supporting and/or implementing the management of error messages - id: si-12 class: SP800-53 title: Information Management and Retention props: - name: label value: SI-12 class: zero-padded - name: label value: SI-12 - name: label value: SI-12 class: sp800-53a - name: sort-id value: si-12 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#e922fc50-b1f9-469f-92ef-ed7d9803611c' rel: reference - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#ac-16' rel: related - href: '#au-5' rel: related - href: '#au-11' rel: related - href: '#ca-2' rel: related - href: '#ca-3' rel: related - href: '#ca-5' rel: related - href: '#ca-6' rel: related - href: '#ca-7' rel: related - href: '#ca-9' rel: related - href: '#cm-5' rel: related - href: '#cm-9' rel: related - href: '#cp-2' rel: related - href: '#ir-8' rel: related - href: '#mp-2' rel: related - href: '#mp-3' rel: related - href: '#mp-4' rel: related - href: '#mp-6' rel: related - href: '#pl-2' rel: related - href: '#pl-4' rel: related - href: '#pm-4' rel: related - href: '#pm-8' rel: related - href: '#pm-9' rel: related - href: '#ps-2' rel: related - href: '#ps-6' rel: related - href: '#pt-2' rel: related - href: '#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 prose: Manage and retain information within the system and information output from the system in accordance with applicable laws, executive orders, directives, regulations, policies, standards, guidelines and operational requirements. - id: si-12_gdn name: guidance prose: 'Information management and retention requirements cover the full life cycle of information, in some cases extending beyond system disposal. Information to be retained may also include policies, procedures, plans, reports, data output from control implementation, and other types of administrative information. The National Archives and Records Administration (NARA) provides federal policy and guidance on records retention and schedules. If organizations have a records management office, consider coordinating with records management personnel. Records produced from the output of implemented controls that may require management and retention include, but are not limited to: All XX-1, [AC-6(9)](#ac-6.9), [AT-4](#at-4), [AU-12](#au-12), [CA-2](#ca-2), [CA-3](#ca-3), [CA-5](#ca-5), [CA-6](#ca-6), [CA-7](#ca-7), [CA-8](#ca-8), [CA-9](#ca-9), [CM-2](#cm-2), [CM-3](#cm-3), [CM-4](#cm-4), [CM-6](#cm-6), [CM-8](#cm-8), [CM-9](#cm-9), [CM-12](#cm-12), [CM-13](#cm-13), [CP-2](#cp-2), [IR-6](#ir-6), [IR-8](#ir-8), [MA-2](#ma-2), [MA-4](#ma-4), [PE-2](#pe-2), [PE-8](#pe-8), [PE-16](#pe-16), [PE-17](#pe-17), [PL-2](#pl-2), [PL-4](#pl-4), [PL-7](#pl-7), [PL-8](#pl-8), [PM-5](#pm-5), [PM-8](#pm-8), [PM-9](#pm-9), [PM-18](#pm-18), [PM-21](#pm-21), [PM-27](#pm-27), [PM-28](#pm-28), [PM-30](#pm-30), [PM-31](#pm-31), [PS-2](#ps-2), [PS-6](#ps-6), [PS-7](#ps-7), [PT-2](#pt-2), [PT-3](#pt-3), [PT-7](#pt-7), [RA-2](#ra-2), [RA-3](#ra-3), [RA-5](#ra-5), [RA-8](#ra-8), [SA-4](#sa-4), [SA-5](#sa-5), [SA-8](#sa-8), [SA-10](#sa-10), [SI-4](#si-4), [SR-2](#sr-2), [SR-4](#sr-4), [SR-8](#sr-8).' - id: si-12_obj name: assessment-objective props: - 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 controls: - id: si-12.1 class: SP800-53-enhancement title: Limit Personally Identifiable Information Elements params: - id: si-12.01_odp props: - name: alt-identifier value: si-12.1_prm_1 - name: label value: SI-12(01)_ODP class: sp800-53a label: elements of personally identifiable information guidelines: - prose: elements of personally identifiable information being processed in the information life cycle are defined; props: - name: label value: SI-12(01) class: zero-padded - name: label value: SI-12(1) - name: label value: SI-12(01) class: sp800-53a - name: sort-id value: si-12.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#si-12' rel: required - href: '#pm-25' rel: related parts: - id: si-12.1_smt name: statement prose: 'Limit personally identifiable information being processed in the information life cycle to the following elements of personally identifiable information: {{ insert: param, si-12.01_odp }}.' - id: si-12.1_gdn name: guidance prose: Limiting the use of personally identifiable information throughout the information life cycle when the information is not needed for operational purposes helps to reduce the level of privacy risk created by a system. The information life cycle includes information creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition. Risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to determining which elements of personally identifiable information may create risk. - id: si-12.1_obj name: assessment-objective props: - name: label value: SI-12(01) class: sp800-53a prose: 'personally identifiable information being processed in the information life cycle is limited to {{ insert: param, si-12.01_odp }}.' links: - href: '#si-12.1_smt' rel: assessment-for - id: si-12.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-12(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy personally identifiable information processing procedures records retention and disposition policy records retention and disposition procedures federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to limiting personally identifiable information elements personally identifiable information inventory system audit records audit findings system security plan privacy plan privacy program plan privacy impact assessment privacy risk assessment documentation data mapping documentation other relevant documents or records - id: si-12.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-12(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information and records management, retention, and disposition responsibilities organizational personnel with security and privacy responsibilities network administrators - id: si-12.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-12(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for information management and retention (including limiting personally identifiable information processing) automated mechanisms supporting and/or implementing limits to personally identifiable information processing - id: si-12.2 class: SP800-53-enhancement title: Minimize Personally Identifiable Information in Testing, Training, and Research params: - id: si-12.2_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-12.02_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-12.02_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-12.02_odp.03 label: organization-defined techniques - id: si-12.02_odp.01 props: - name: label value: SI-12(02)_ODP[01] class: sp800-53a label: techniques guidelines: - prose: techniques used to minimize the use of personally identifiable information for research are defined; - id: si-12.02_odp.02 props: - name: label value: SI-12(02)_ODP[02] class: sp800-53a label: techniques guidelines: - prose: techniques used to minimize the use of personally identifiable information for testing are defined; - id: si-12.02_odp.03 props: - name: label value: SI-12(02)_ODP[03] class: sp800-53a label: techniques guidelines: - prose: techniques used to minimize the use of personally identifiable information for training are defined; props: - name: label value: SI-12(02) class: zero-padded - name: label value: SI-12(2) - name: label value: SI-12(02) class: sp800-53a - name: sort-id value: si-12.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#si-12' rel: required - href: '#pm-22' rel: related - href: '#pm-25' rel: related - href: '#si-19' rel: related parts: - id: si-12.2_smt name: statement prose: 'Use the following techniques to minimize the use of personally identifiable information for research, testing, or training: {{ insert: param, si-12.2_prm_1 }}.' - id: si-12.2_gdn name: guidance prose: Organizations can minimize the risk to an individual’s privacy by employing techniques such as de-identification or synthetic data. Limiting the use of personally identifiable information throughout the information life cycle when the information is not needed for research, testing, or training helps reduce the level of privacy risk created by a system. Risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to determining the techniques to use and when to use them. - id: si-12.2_obj name: assessment-objective props: - name: label value: SI-12(02) class: sp800-53a parts: - id: si-12.2_obj-1 name: assessment-objective props: - name: label value: SI-12(02)[01] class: sp800-53a prose: '{{ insert: param, si-12.02_odp.01 }} are used to minimize the use of personally identifiable information for research;' links: - href: '#si-12.2_smt' rel: assessment-for - id: si-12.2_obj-2 name: assessment-objective props: - name: label value: SI-12(02)[02] class: sp800-53a prose: '{{ insert: param, si-12.02_odp.02 }} are used to minimize the use of personally identifiable information for testing;' links: - href: '#si-12.2_smt' rel: assessment-for - id: si-12.2_obj-3 name: assessment-objective props: - name: label value: SI-12(02)[03] class: sp800-53a prose: '{{ insert: param, si-12.02_odp.03 }} are used to minimize the use of personally identifiable information for training.' links: - href: '#si-12.2_smt' rel: assessment-for links: - href: '#si-12.2_smt' rel: assessment-for - id: si-12.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-12(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy personally identifiable information processing procedures federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to minimizing the use of personally identifiable information in testing, training, and research policy for the minimization of personally identifiable information used in testing, training, and research procedures for the minimization of personally identifiable information used in testing, training, and research documentation supporting minimization policy implementation (e.g., templates for testing, training, and research) data sets used for testing, training, and research system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: si-12.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-12(02)-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 system developers personnel with IRB responsibilities - id: si-12.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-12(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for the minimization of personally identifiable information used in testing, training, and research automated mechanisms supporting and/or implementing the minimization of personally identifiable information used in testing, training, and research - id: si-12.3 class: SP800-53-enhancement title: Information Disposal params: - id: si-12.3_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-12.03_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-12.03_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-12.03_odp.03 label: organization-defined techniques - id: si-12.03_odp.01 props: - name: label value: SI-12(03)_ODP[01] class: sp800-53a label: techniques guidelines: - prose: techniques used to dispose of information following the retention period are defined; - id: si-12.03_odp.02 props: - name: label value: SI-12(03)_ODP[02] class: sp800-53a label: techniques guidelines: - prose: techniques used to destroy information following the retention period are defined; - id: si-12.03_odp.03 props: - name: label value: SI-12(03)_ODP[03] class: sp800-53a label: techniques guidelines: - prose: techniques used to erase information following the retention period are defined; props: - name: label value: SI-12(03) class: zero-padded - name: label value: SI-12(3) - name: label value: SI-12(03) class: sp800-53a - name: sort-id value: si-12.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#si-12' rel: required parts: - id: si-12.3_smt name: statement prose: 'Use the following techniques to dispose of, destroy, or erase information following the retention period: {{ insert: param, si-12.3_prm_1 }}.' - id: si-12.3_gdn name: guidance prose: Organizations can minimize both security and privacy risks by disposing of information when it is no longer needed. The disposal or destruction of information applies to originals as well as copies and archived records, including system logs that may contain personally identifiable information. - id: si-12.3_obj name: assessment-objective props: - name: label value: SI-12(03) class: sp800-53a parts: - id: si-12.3_obj-1 name: assessment-objective props: - name: label value: SI-12(03)[01] class: sp800-53a prose: '{{ insert: param, si-12.03_odp.01 }} are used to dispose of information following the retention period;' links: - href: '#si-12.3_smt' rel: assessment-for - id: si-12.3_obj-2 name: assessment-objective props: - name: label value: SI-12(03)[02] class: sp800-53a prose: '{{ insert: param, si-12.03_odp.02 }} are used to destroy information following the retention period;' links: - href: '#si-12.3_smt' rel: assessment-for - id: si-12.3_obj-3 name: assessment-objective props: - name: label value: SI-12(03)[03] class: sp800-53a prose: '{{ insert: param, si-12.03_odp.03 }} are used to erase information following the retention period.' links: - href: '#si-12.3_smt' rel: assessment-for links: - href: '#si-12.3_smt' rel: assessment-for - id: si-12.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-12(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy personally identifiable information processing procedures records retention and disposition policy records retention and disposition procedures laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information disposal media protection policy media protection procedures system audit records audit findings information disposal records system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: si-12.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-12(03)-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-12.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-12(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for information disposition automated mechanisms supporting and/or implementing information disposition - id: si-13 class: SP800-53 title: Predictable Failure Prevention params: - id: si-13_odp.01 props: - name: alt-identifier value: si-13_prm_1 - name: label value: SI-13_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components for which mean time to failure (MTTF) should be determined are defined; - id: si-13_odp.02 props: - name: alt-identifier value: si-13_prm_2 - name: alt-label value: MTTF substitution criteria class: sp800-53 - name: label value: SI-13_ODP[02] class: sp800-53a label: mean time to failure (MTTF) substitution criteria guidelines: - prose: mean time to failure (MTTF) substitution criteria to be used as a means to exchange active and standby components are defined; props: - name: label value: SI-13 class: zero-padded - name: label value: SI-13 - name: label value: SI-13 class: sp800-53a - name: sort-id value: si-13 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cp-2' rel: related - href: '#cp-10' rel: related - href: '#cp-13' rel: related - href: '#ma-2' rel: related - href: '#ma-6' rel: related - href: '#sa-8' rel: related - href: '#sc-6' rel: related parts: - id: si-13_smt name: statement parts: - id: si-13_smt.a name: item props: - name: label value: a. prose: 'Determine mean time to failure (MTTF) for the following system components in specific environments of operation: {{ insert: param, si-13_odp.01 }} ; and' - id: si-13_smt.b name: item props: - name: label value: b. prose: 'Provide substitute system components and a means to exchange active and standby components in accordance with the following criteria: {{ insert: param, si-13_odp.02 }}.' - id: si-13_gdn name: guidance prose: While MTTF is primarily a reliability issue, predictable failure prevention is intended to address potential failures of system components that provide security capabilities. Failure rates reflect installation-specific consideration rather than the industry-average. Organizations define the criteria for the substitution of system components based on the MTTF value with consideration for the potential harm from component failures. The transfer of responsibilities between active and standby components does not compromise safety, operational readiness, or security capabilities. The preservation of system state variables is also critical to help ensure a successful transfer process. Standby components remain available at all times except for maintenance issues or recovery failures in progress. - id: si-13_obj name: assessment-objective props: - name: label value: SI-13 class: sp800-53a parts: - id: si-13_obj.a name: assessment-objective props: - name: label value: SI-13a. class: sp800-53a prose: 'mean time to failure (MTTF) is determined for {{ insert: param, si-13_odp.01 }} in specific environments of operation;' links: - href: '#si-13_smt.a' rel: assessment-for - id: si-13_obj.b name: assessment-objective props: - name: label value: SI-13b. class: sp800-53a prose: 'substitute system components and a means to exchange active and standby components are provided in accordance with {{ insert: param, si-13_odp.02 }}.' links: - href: '#si-13_smt.b' rel: assessment-for links: - href: '#si-13_smt' rel: assessment-for - id: si-13_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-13-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing predictable failure prevention system design documentation system configuration settings and associated documentation list of MTTF substitution criteria system audit records system security plan other relevant documents or records - id: si-13_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-13-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for MTTF determinations and activities organizational personnel with information security responsibilities system/network administrators organizational personnel with contingency planning responsibilities - id: si-13_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-13-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for managing MTTF controls: - id: si-13.1 class: SP800-53-enhancement title: Transferring Component Responsibilities params: - id: si-13.01_odp props: - name: alt-identifier value: si-13.1_prm_1 - name: label value: SI-13(01)_ODP class: sp800-53a label: fraction or percentage guidelines: - prose: the fraction or percentage of mean time to failure within which to transfer the responsibilities of a system component to a substitute component is defined; props: - name: label value: SI-13(01) class: zero-padded - name: label value: SI-13(1) - name: label value: SI-13(01) class: sp800-53a - name: sort-id value: si-13.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-13' rel: required parts: - id: si-13.1_smt name: statement prose: 'Take system components out of service by transferring component responsibilities to substitute components no later than {{ insert: param, si-13.01_odp }} of mean time to failure.' - id: si-13.1_gdn name: guidance prose: Transferring primary system component responsibilities to other substitute components prior to primary component failure is important to reduce the risk of degraded or debilitated mission or business functions. Making such transfers based on a percentage of mean time to failure allows organizations to be proactive based on their risk tolerance. However, the premature replacement of system components can result in the increased cost of system operations. - id: si-13.1_obj name: assessment-objective props: - name: label value: SI-13(01) class: sp800-53a prose: 'system components are taken out of service by transferring component responsibilities to substitute components no later than {{ insert: param, si-13.01_odp }} of mean time to failure.' links: - href: '#si-13.1_smt' rel: assessment-for - id: si-13.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-13(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing predictable failure prevention system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-13.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-13(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for MTTF activities organizational personnel with information security responsibilities system/network administrators organizational personnel with contingency planning responsibilities - id: si-13.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-13(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing MTTF automated mechanisms supporting and/or implementing the transfer of component responsibilities to substitute components - id: si-13.2 class: SP800-53-enhancement title: Time Limit on Process Execution Without Supervision props: - name: label value: SI-13(02) class: zero-padded - name: label value: SI-13(2) - name: label value: SI-13(02) class: sp800-53a - name: sort-id value: si-13.02 - name: status value: withdrawn links: - href: '#si-7.16' rel: incorporated-into - id: si-13.3 class: SP800-53-enhancement title: Manual Transfer Between Components params: - id: si-13.03_odp props: - name: alt-identifier value: si-13.3_prm_1 - name: label value: SI-13(03)_ODP class: sp800-53a label: percentage guidelines: - prose: the percentage of the mean time to failure for transfers to be manually initiated is defined; props: - name: label value: SI-13(03) class: zero-padded - name: label value: SI-13(3) - name: label value: SI-13(03) class: sp800-53a - name: sort-id value: si-13.03 - 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: '#si-13' rel: required parts: - id: si-13.3_smt name: statement prose: 'Manually initiate transfers between active and standby system components when the use of the active component reaches {{ insert: param, si-13.03_odp }} of the mean time to failure.' - id: si-13.3_gdn name: guidance prose: For example, if the MTTF for a system component is 100 days and the MTTF percentage defined by the organization is 90 percent, the manual transfer would occur after 90 days. - id: si-13.3_obj name: assessment-objective props: - name: label value: SI-13(03) class: sp800-53a prose: 'transfers are initiated manually between active and standby system components when the use of the active component reaches {{ insert: param, si-13.03_odp }} of the mean time to failure.' links: - href: '#si-13.3_smt' rel: assessment-for - id: si-13.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-13(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing predictable failure prevention system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-13.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-13(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for MTTF activities organizational personnel with information security responsibilities system/network administrators organizational personnel with contingency planning responsibilities - id: si-13.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-13(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for managing MTTF and conducting the manual transfer between active and standby components - id: si-13.4 class: SP800-53-enhancement title: Standby Component Installation and Notification params: - id: si-13.04_odp.01 props: - name: alt-identifier value: si-13.4_prm_1 - name: label value: SI-13(04)_ODP[01] class: sp800-53a label: time period guidelines: - prose: time period for standby components to be installed is defined; - id: si-13.04_odp.02 props: - name: alt-identifier value: si-13.4_prm_2 - name: label value: SI-13(04)_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - 'activate {{ insert: param, si-13.04_odp.03 }} ' - automatically shut down the system - '{{ insert: param, si-13.04_odp.04 }} ' - id: si-13.04_odp.03 props: - name: alt-identifier value: si-13.4_prm_3 - name: label value: SI-13(04)_ODP[03] class: sp800-53a label: alarm guidelines: - prose: alarm to be activated when system component failures are detected is defined (if selected); - id: si-13.04_odp.04 props: - name: alt-identifier value: si-13.4_prm_4 - name: label value: SI-13(04)_ODP[04] class: sp800-53a label: action guidelines: - prose: action to be taken when system component failures are detected is defined (if selected); props: - name: label value: SI-13(04) class: zero-padded - name: label value: SI-13(4) - name: label value: SI-13(04) class: sp800-53a - name: sort-id value: si-13.04 - 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: '#si-13' rel: required parts: - id: si-13.4_smt name: statement prose: 'If system component failures are detected:' parts: - id: si-13.4_smt.a name: item props: - name: label value: (a) prose: 'Ensure that the standby components are successfully and transparently installed within {{ insert: param, si-13.04_odp.01 }} ; and' - id: si-13.4_smt.b name: item props: - name: label value: (b) prose: '{{ insert: param, si-13.04_odp.02 }}.' - id: si-13.4_gdn name: guidance prose: Automatic or manual transfer of components from standby to active mode can occur upon the detection of component failures. - id: si-13.4_obj name: assessment-objective props: - name: label value: SI-13(04) class: sp800-53a parts: - id: si-13.4_obj.a name: assessment-objective props: - name: label value: SI-13(04)(a) class: sp800-53a prose: 'the standby components are successfully and transparently installed within {{ insert: param, si-13.04_odp.01 }} if system component failures are detected;' links: - href: '#si-13.4_smt.a' rel: assessment-for - id: si-13.4_obj.b name: assessment-objective props: - name: label value: SI-13(04)(b) class: sp800-53a prose: '{{ insert: param, si-13.04_odp.02 }} are performed if system component failures are detected.' links: - href: '#si-13.4_smt.b' rel: assessment-for links: - href: '#si-13.4_smt' rel: assessment-for - id: si-13.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-13(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing predictable failure prevention system design documentation system configuration settings and associated documentation list of actions to be taken once system component failure is detected system audit records system security plan other relevant documents or records - id: si-13.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-13(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for MTTF activities organizational personnel with information security responsibilities system/network administrators organizational personnel with contingency planning responsibilities - id: si-13.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-13(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing MTTF automated mechanisms supporting and/or implementing the transparent installation of standby components automated mechanisms supporting and/or implementing alarms or system shutdown if component failures are detected - id: si-13.5 class: SP800-53-enhancement title: Failover Capability params: - id: si-13.05_odp.01 props: - name: alt-identifier value: si-13.5_prm_1 - name: label value: SI-13(05)_ODP[01] class: sp800-53a select: choice: - real-time - near real-time - id: si-13.05_odp.02 props: - name: alt-identifier value: si-13.5_prm_2 - name: label value: SI-13(05)_ODP[02] class: sp800-53a label: failover capability guidelines: - prose: a failover capability for the system has been defined; props: - name: label value: SI-13(05) class: zero-padded - name: label value: SI-13(5) - name: label value: SI-13(05) class: sp800-53a - name: sort-id value: si-13.05 - 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: '#si-13' rel: required - href: '#cp-6' rel: related - href: '#cp-7' rel: related - href: '#cp-9' rel: related parts: - id: si-13.5_smt name: statement prose: 'Provide {{ insert: param, si-13.05_odp.01 }} {{ insert: param, si-13.05_odp.02 }} for the system.' - id: si-13.5_gdn name: guidance prose: Failover refers to the automatic switchover to an alternate system upon the failure of the primary system. Failover capability includes incorporating mirrored system operations at alternate processing sites or periodic data mirroring at regular intervals defined by the recovery time periods of organizations. - id: si-13.5_obj name: assessment-objective props: - name: label value: SI-13(05) class: sp800-53a prose: '{{ insert: param, si-13.05_odp.01 }} {{ insert: param, si-13.05_odp.02 }} is provided for the system.' links: - href: '#si-13.5_smt' rel: assessment-for - id: si-13.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-13(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing predictable failure prevention system design documentation system configuration settings and associated documentation documentation describing the failover capability provided for the system system audit records system security plan other relevant documents or records - id: si-13.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-13(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for the failover capability organizational personnel with information security responsibilities system/network administrators organizational personnel with contingency planning responsibilities - id: si-13.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-13(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for managing the failover capability automated mechanisms supporting and/or implementing the failover capability - id: si-14 class: SP800-53 title: Non-persistence params: - id: si-14_odp.01 props: - name: alt-identifier value: si-14_prm_1 - name: label value: SI-14_ODP[01] class: sp800-53a label: system components and services guidelines: - prose: non-persistent system components and services to be implemented are defined; - id: si-14_odp.02 props: - name: alt-identifier value: si-14_prm_2 - name: label value: SI-14_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - upon end of session of use - '{{ insert: param, si-14_odp.03 }} ' - id: si-14_odp.03 props: - name: alt-identifier value: si-14_prm_3 - name: label value: SI-14_ODP[03] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to terminate non-persistent components and services that are initiated in a known state is defined (if selected); props: - name: label value: SI-14 class: zero-padded - name: label value: SI-14 - name: label value: SI-14 class: sp800-53a - name: sort-id value: si-14 - 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: '#sc-30' rel: related - href: '#sc-34' rel: related - href: '#si-21' rel: related parts: - id: si-14_smt name: statement prose: 'Implement non-persistent {{ insert: param, si-14_odp.01 }} that are initiated in a known state and terminated {{ insert: param, si-14_odp.02 }}.' - id: si-14_gdn name: guidance prose: |- Implementation of non-persistent components and services mitigates risk from advanced persistent threats (APTs) by reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete attacks. By implementing the concept of non-persistence for selected system components, organizations can provide a trusted, known state computing resource for a specific time period that does not give adversaries sufficient time to exploit vulnerabilities in organizational systems or operating environments. Since the APT is a high-end, sophisticated threat with regard to capability, intent, and targeting, organizations assume that over an extended period, a percentage of attacks will be successful. Non-persistent system components and services are activated as required using protected information and terminated periodically or at the end of sessions. Non-persistence increases the work factor of adversaries attempting to compromise or breach organizational systems. Non-persistence can be achieved by refreshing system components, periodically reimaging components, or using a variety of common virtualization techniques. Non-persistent services can be implemented by using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent). The benefit of periodic refreshes of system components and services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult to determine). The refresh of selected system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the system unstable. Refreshes of critical components and services may be done periodically to hinder the ability of adversaries to exploit optimum windows of vulnerabilities. - id: si-14_obj name: assessment-objective props: - name: label value: SI-14 class: sp800-53a parts: - id: si-14_obj-1 name: assessment-objective props: - name: label value: SI-14[01] class: sp800-53a prose: 'non-persistent {{ insert: param, si-14_odp.01 }} that are initiated in a known state are implemented;' links: - href: '#si-14_smt' rel: assessment-for - id: si-14_obj-2 name: assessment-objective props: - name: label value: SI-14[02] class: sp800-53a prose: 'non-persistent {{ insert: param, si-14_odp.01 }} are terminated {{ insert: param, si-14_odp.02 }}.' links: - href: '#si-14_smt' rel: assessment-for links: - href: '#si-14_smt' rel: assessment-for - id: si-14_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-14-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing non-persistence for system components system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-14_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-14-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for non-persistence organizational personnel with information security responsibilities system/network administrators system developer - id: si-14_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-14-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms supporting and/or implementing the initiation and termination of non-persistent components controls: - id: si-14.1 class: SP800-53-enhancement title: Refresh from Trusted Sources params: - id: si-14.01_odp props: - name: alt-identifier value: si-14.1_prm_1 - name: label value: SI-14(01)_ODP class: sp800-53a label: trusted sources guidelines: - prose: trusted sources to obtain software and data for system component and service refreshes are defined; props: - name: label value: SI-14(01) class: zero-padded - name: label value: SI-14(1) - name: label value: SI-14(01) class: sp800-53a - name: sort-id value: si-14.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-14' rel: required parts: - id: si-14.1_smt name: statement prose: 'Obtain software and data employed during system component and service refreshes from the following trusted sources: {{ insert: param, si-14.01_odp }}.' - id: si-14.1_gdn name: guidance prose: Trusted sources include software and data from write-once, read-only media or from selected offline secure storage facilities. - id: si-14.1_obj name: assessment-objective props: - name: label value: SI-14(01) class: sp800-53a prose: 'the software and data employed during system component and service refreshes are obtained from {{ insert: param, si-14.01_odp }}.' links: - href: '#si-14.1_smt' rel: assessment-for - id: si-14.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-14(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing non-persistence for system components system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-14.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-14(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for obtaining component and service refreshes from trusted sources organizational personnel with information security responsibilities - id: si-14.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-14(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for defining and obtaining component and service refreshes from trusted sources automated mechanisms supporting and/or implementing component and service refreshes - id: si-14.2 class: SP800-53-enhancement title: Non-persistent Information params: - id: si-14.02_odp.01 props: - name: alt-identifier value: si-14.2_prm_1 - name: label value: SI-14(02)_ODP[01] class: sp800-53a select: choice: - 'refresh {{ insert: param, si-14.02_odp.02 }} {{ insert: param, si-14.02_odp.03 }} ' - 'generate {{ insert: param, si-14.02_odp.04 }} on demand' - id: si-14.02_odp.02 props: - name: alt-identifier value: si-14.2_prm_2 - name: label value: SI-14(02)_ODP[02] class: sp800-53a label: information guidelines: - prose: the information to be refreshed is defined (if selected); - id: si-14.02_odp.03 props: - name: alt-identifier value: si-14.2_prm_3 - name: label value: SI-14(02)_ODP[03] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to refresh information is defined (if selected); - id: si-14.02_odp.04 props: - name: alt-identifier value: si-14.2_prm_4 - name: label value: SI-14(02)_ODP[04] class: sp800-53a label: information guidelines: - prose: the information to be generated is defined (if selected); props: - name: label value: SI-14(02) class: zero-padded - name: label value: SI-14(2) - name: label value: SI-14(02) class: sp800-53a - name: sort-id value: si-14.02 - 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: '#si-14' rel: required parts: - id: si-14.2_smt name: statement parts: - id: si-14.2_smt.a name: item props: - name: label value: (a) prose: '{{ insert: param, si-14.02_odp.01 }} ; and' - id: si-14.2_smt.b name: item props: - name: label value: (b) prose: Delete information when no longer needed. - id: si-14.2_gdn name: guidance prose: Retaining information longer than is needed makes the information a potential target for advanced adversaries searching for high value assets to compromise through unauthorized disclosure, unauthorized modification, or exfiltration. For system-related information, unnecessary retention provides advanced adversaries information that can assist in their reconnaissance and lateral movement through the system. - id: si-14.2_obj name: assessment-objective props: - name: label value: SI-14(02) class: sp800-53a parts: - id: si-14.2_obj.a name: assessment-objective props: - name: label value: SI-14(02)(a) class: sp800-53a prose: '{{ insert: param, si-14.02_odp.01 }} is performed;' links: - href: '#si-14.2_smt.a' rel: assessment-for - id: si-14.2_obj.b name: assessment-objective props: - name: label value: SI-14(02)(b) class: sp800-53a prose: information is deleted when no longer needed. links: - href: '#si-14.2_smt.b' rel: assessment-for links: - href: '#si-14.2_smt' rel: assessment-for - id: si-14.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-14(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing non-persistence for system components system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-14.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-14(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for ensuring that information is and remains non-persistent organizational personnel with information security responsibilities - id: si-14.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-14(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for ensuring that information is and remains non-persistent automated mechanisms supporting and/or implementing component and service refreshes - id: si-14.3 class: SP800-53-enhancement title: Non-persistent Connectivity params: - id: si-14.03_odp props: - name: alt-identifier value: si-14.3_prm_1 - name: label value: SI-14(03)_ODP class: sp800-53a select: choice: - completion of a request - a period of non-use props: - name: label value: SI-14(03) class: zero-padded - name: label value: SI-14(3) - name: label value: SI-14(03) class: sp800-53a - name: sort-id value: si-14.03 - 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: '#si-14' rel: required - href: '#sc-10' rel: related parts: - id: si-14.3_smt name: statement prose: 'Establish connections to the system on demand and terminate connections after {{ insert: param, si-14.03_odp }}.' - id: si-14.3_gdn name: guidance prose: Persistent connections to systems can provide advanced adversaries with paths to move laterally through systems and potentially position themselves closer to high value assets. Limiting the availability of such connections impedes the adversary’s ability to move freely through organizational systems. - id: si-14.3_obj name: assessment-objective props: - name: label value: SI-14(03) class: sp800-53a parts: - id: si-14.3_obj-1 name: assessment-objective props: - name: label value: SI-14(03)[01] class: sp800-53a prose: connections to the system are established on demand; links: - href: '#si-14.3_smt' rel: assessment-for - id: si-14.3_obj-2 name: assessment-objective props: - name: label value: SI-14(03)[02] class: sp800-53a prose: 'connections to the system are terminated after {{ insert: param, si-14.03_odp }}.' links: - href: '#si-14.3_smt' rel: assessment-for links: - href: '#si-14.3_smt' rel: assessment-for - id: si-14.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-14(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing non-persistence for system components system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-14.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-14(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for limiting persistent connections organizational personnel with information security responsibilities - id: si-14.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-14(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for limiting persistent connections automated mechanisms supporting and/or implementing non-persistent connectivity - id: si-15 class: SP800-53 title: Information Output Filtering params: - id: si-15_odp props: - name: alt-identifier value: si-15_prm_1 - name: label value: SI-15_ODP class: sp800-53a label: software programs and/or applications guidelines: - prose: software programs and/or applications whose information output requires validation are defined; props: - name: label value: SI-15 class: zero-padded - name: label value: SI-15 - name: label value: SI-15 class: sp800-53a - name: sort-id value: si-15 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#si-3' rel: related - href: '#si-4' rel: related - href: '#si-11' rel: related parts: - id: si-15_smt name: statement prose: 'Validate information output from the following software programs and/or applications to ensure that the information is consistent with the expected content: {{ insert: param, si-15_odp }}.' - id: si-15_gdn name: guidance prose: Certain types of attacks, including SQL injections, produce output results that are unexpected or inconsistent with the output results that would be expected from software programs or applications. Information output filtering focuses on detecting extraneous content, preventing such extraneous content from being displayed, and then alerting monitoring tools that anomalous behavior has been discovered. - id: si-15_obj name: assessment-objective props: - name: label value: SI-15 class: sp800-53a prose: 'information output from {{ insert: param, si-15_odp }} is validated to ensure that the information is consistent with the expected content.' links: - href: '#si-15_smt' rel: assessment-for - id: si-15_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-15-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing information output filtering system design documentation system configuration settings and associated documentation system audit records system security plan other relevant documents or records - id: si-15_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-15-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for validating information output organizational personnel with information security responsibilities system/network administrators system developer - id: si-15_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-15-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for validating information output automated mechanisms supporting and/or implementing information output validation - id: si-16 class: SP800-53 title: Memory Protection params: - id: si-16_odp props: - name: alt-identifier value: si-16_prm_1 - name: label value: SI-16_ODP class: sp800-53a label: controls guidelines: - prose: controls to be implemented to protect the system memory from unauthorized code execution are defined; props: - name: label value: SI-16 class: zero-padded - name: label value: SI-16 - name: label value: SI-16 class: sp800-53a - name: sort-id value: si-16 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#ac-25' rel: related - href: '#sc-3' rel: related - href: '#si-7' rel: related parts: - id: si-16_smt name: statement prose: 'Implement the following controls to protect the system memory from unauthorized code execution: {{ insert: param, si-16_odp }}.' - id: si-16_gdn name: guidance prose: Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Controls employed to protect memory include data execution prevention and address space layout randomization. Data execution prevention controls can either be hardware-enforced or software-enforced with hardware enforcement providing the greater strength of mechanism. - id: si-16_obj name: assessment-objective props: - name: label value: SI-16 class: sp800-53a prose: '{{ insert: param, si-16_odp }} are implemented to protect the system memory from unauthorized code execution.' links: - href: '#si-16_smt' rel: assessment-for - id: si-16_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-16-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures procedures addressing memory protection for the system system design documentation system configuration settings and associated documentation list of security safeguards protecting system memory from unauthorized code execution system audit records system security plan other relevant documents or records - id: si-16_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-16-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for memory protection organizational personnel with information security responsibilities system/network administrators system developer - id: si-16_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-16-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms supporting and/or implementing safeguards to protect the system memory from unauthorized code execution - id: si-17 class: SP800-53 title: Fail-safe Procedures params: - id: si-17_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-17_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-17_odp.02 label: organization-defined list of failure conditions and associated fail-safe procedures - id: si-17_odp.01 props: - name: label value: SI-17_ODP[01] class: sp800-53a label: fail-safe procedures guidelines: - prose: fail-safe procedures associated with failure conditions are defined; - id: si-17_odp.02 props: - name: label value: SI-17_ODP[02] class: sp800-53a label: list of failure conditions guidelines: - prose: a list of failure conditions requiring fail-safe procedures is defined; props: - name: label value: SI-17 class: zero-padded - name: label value: SI-17 - name: label value: SI-17 class: sp800-53a - name: sort-id value: si-17 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#cp-12' rel: related - href: '#cp-13' rel: related - href: '#sc-24' rel: related - href: '#si-13' rel: related parts: - id: si-17_smt name: statement prose: 'Implement the indicated fail-safe procedures when the indicated failures occur: {{ insert: param, si-17_prm_1 }}.' - id: si-17_gdn name: guidance prose: Failure conditions include the loss of communications among critical system components or between system components and operational facilities. Fail-safe procedures include alerting operator personnel and providing specific instructions on subsequent steps to take. Subsequent steps may include doing nothing, reestablishing system settings, shutting down processes, restarting the system, or contacting designated organizational personnel. - id: si-17_obj name: assessment-objective props: - name: label value: SI-17 class: sp800-53a prose: '{{ insert: param, si-17_odp.01 }} are implemented when {{ insert: param, si-17_odp.02 }} occur.' links: - href: '#si-17_smt' rel: assessment-for - id: si-17_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-17-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures documentation addressing fail-safe procedures for the system system design documentation system configuration settings and associated documentation list of security safeguards protecting the system memory from unauthorized code execution system audit records system security plan other relevant documents or records - id: si-17_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-17-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for fail-safe procedures organizational personnel with information security responsibilities system/network administrators system developer - id: si-17_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-17-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational fail-safe procedures automated mechanisms supporting and/or implementing fail-safe procedures - id: si-18 class: SP800-53 title: Personally Identifiable Information Quality Operations params: - id: si-18_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-18_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-18_odp.02 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-18_odp.03 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: si-18_odp.04 label: organization-defined frequency - id: si-18_odp.01 props: - name: label value: SI-18_ODP[01] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to check the accuracy of personally identifiable information across the information life cycle is defined; - id: si-18_odp.02 props: - name: label value: SI-18_ODP[02] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to check the relevance of personally identifiable information across the information life cycle is defined; - id: si-18_odp.03 props: - name: label value: SI-18_ODP[03] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to check the timeliness of personally identifiable information across the information life cycle is defined; - id: si-18_odp.04 props: - name: label value: SI-18_ODP[04] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to check the completeness of personally identifiable information across the information life cycle is defined; props: - name: label value: SI-18 class: zero-padded - name: label value: SI-18 - name: label value: SI-18 class: sp800-53a - name: sort-id value: si-18 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#227063d4-431e-435f-9e8f-009b6dbc20f4' rel: reference - href: '#c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2' rel: reference - href: '#a2590922-82f3-4277-83c0-ca5bee06dba4' rel: reference - href: '#pm-22' rel: related - href: '#pm-24' rel: related - href: '#pt-2' rel: related - href: '#si-4' rel: related parts: - id: si-18_smt name: statement parts: - id: si-18_smt.a name: item props: - name: label value: a. prose: 'Check the accuracy, relevance, timeliness, and completeness of personally identifiable information across the information life cycle {{ insert: param, si-18_prm_1 }} ; and' - id: si-18_smt.b name: item props: - name: label value: b. prose: Correct or delete inaccurate or outdated personally identifiable information. - id: si-18_gdn name: guidance prose: Personally identifiable information quality operations include the steps that organizations take to confirm the accuracy and relevance of personally identifiable information throughout the information life cycle. The information life cycle includes the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal of personally identifiable information. Personally identifiable information quality operations include editing and validating addresses as they are collected or entered into systems using automated address verification look-up application programming interfaces. Checking personally identifiable information quality includes the tracking of updates or changes to data over time, which enables organizations to know how and what personally identifiable information was changed should erroneous information be identified. The measures taken to protect personally identifiable information quality are based on the nature and context of the personally identifiable information, how it is to be used, how it was obtained, and the potential de-identification methods employed. The measures taken to validate the accuracy of personally identifiable information used to make determinations about the rights, benefits, or privileges of individuals covered under federal programs may be more comprehensive than the measures used to validate personally identifiable information used for less sensitive purposes. - id: si-18_obj name: assessment-objective props: - name: label value: SI-18 class: sp800-53a parts: - id: si-18_obj.a name: assessment-objective props: - name: label value: SI-18a. class: sp800-53a parts: - id: si-18_obj.a-1 name: assessment-objective props: - name: label value: SI-18a.[01] class: sp800-53a prose: 'the accuracy of personally identifiable information across the information life cycle is checked {{ insert: param, si-18_odp.01 }};' links: - href: '#si-18_smt.a' rel: assessment-for - id: si-18_obj.a-2 name: assessment-objective props: - name: label value: SI-18a.[02] class: sp800-53a prose: 'the relevance of personally identifiable information across the information life cycle is checked {{ insert: param, si-18_odp.02 }};' links: - href: '#si-18_smt.a' rel: assessment-for - id: si-18_obj.a-3 name: assessment-objective props: - name: label value: SI-18a.[03] class: sp800-53a prose: 'the timeliness of personally identifiable information across the information life cycle is checked {{ insert: param, si-18_odp.03 }};' links: - href: '#si-18_smt.a' rel: assessment-for - id: si-18_obj.a-4 name: assessment-objective props: - name: label value: SI-18a.[04] class: sp800-53a prose: 'the completeness of personally identifiable information across the information life cycle is checked {{ insert: param, si-18_odp.04 }};' links: - href: '#si-18_smt.a' rel: assessment-for links: - href: '#si-18_smt.a' rel: assessment-for - id: si-18_obj.b name: assessment-objective props: - name: label value: SI-18b. class: sp800-53a prose: inaccurate or outdated personally identifiable information is corrected or deleted. links: - href: '#si-18_smt.b' rel: assessment-for links: - href: '#si-18_smt' rel: assessment-for - id: si-18_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-18-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy documentation addressing personally identifiable information quality operations quality reports maintenance logs system audit records audit findings system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: si-18_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-18-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for performing personally identifiable information quality inspections organizational personnel with information security responsibilities organizational personnel with privacy responsibilities - id: si-18_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-18-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for personally identifiable information quality inspection automated mechanisms supporting and/or implementing personally identifiable information quality operations controls: - id: si-18.1 class: SP800-53-enhancement title: Automation Support params: - id: si-18.01_odp props: - name: alt-identifier value: si-18.1_prm_1 - name: label value: SI-18(01)_ODP class: sp800-53a label: automated mechanisms guidelines: - prose: automated mechanisms used to correct or delete personally identifiable information that is inaccurate, outdated, incorrectly determined regarding impact, or incorrectly de-identified are defined; props: - name: label value: SI-18(01) class: zero-padded - name: label value: SI-18(1) - name: label value: SI-18(01) class: sp800-53a - name: sort-id value: si-18.01 - 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: '#si-18' rel: required - href: '#pm-18' rel: related - href: '#ra-8' rel: related parts: - id: si-18.1_smt name: statement prose: 'Correct or delete personally identifiable information that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified using {{ insert: param, si-18.01_odp }}.' - id: si-18.1_gdn name: guidance prose: |- The use of automated mechanisms to improve data quality may inadvertently create privacy risks. Automated tools may connect to external or otherwise unrelated systems, and the matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessments and make determinations that are in alignment with their privacy program plans. As data is obtained and used across the information life cycle, it is important to confirm the accuracy and relevance of personally identifiable information. Automated mechanisms can augment existing data quality processes and procedures and enable an organization to better identify and manage personally identifiable information in large-scale systems. For example, automated tools can greatly improve efforts to consistently normalize data or identify malformed data. Automated tools can also be used to improve the auditing of data and detect errors that may incorrectly alter personally identifiable information or incorrectly associate such information with the wrong individual. Automated capabilities backstop processes and procedures at-scale and enable more fine-grained detection and correction of data quality errors. - id: si-18.1_obj name: assessment-objective props: - name: label value: SI-18(01) class: sp800-53a prose: '{{ insert: param, si-18.01_odp }} are used to correct or delete personally identifiable information that is inaccurate, outdated, incorrectly determined regarding impact, or incorrectly de-identified.' links: - href: '#si-18.1_smt' rel: assessment-for - id: si-18.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-18(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy documentation addressing personally identifiable information quality operations quality reports maintenance logs system audit records audit findings system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: si-18.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-18(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for performing personally identifiable information quality inspections organizational personnel with information security and privacy responsibilities - id: si-18.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-18(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for personally identifiable information quality inspection automated mechanisms supporting and/or implementing personally identifiable information quality operations - id: si-18.2 class: SP800-53-enhancement title: Data Tags props: - name: label value: SI-18(02) class: zero-padded - name: label value: SI-18(2) - name: label value: SI-18(02) class: sp800-53a - name: sort-id value: si-18.02 - 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: '#si-18' rel: required - href: '#ac-3' rel: related - href: '#ac-16' rel: related - href: '#sc-16' rel: related parts: - id: si-18.2_smt name: statement prose: Employ data tags to automate the correction or deletion of personally identifiable information across the information life cycle within organizational systems. - id: si-18.2_gdn name: guidance prose: Data tagging personally identifiable information includes tags that note processing permissions, authority to process, de-identification, impact level, information life cycle stage, and retention or last updated dates. Employing data tags for personally identifiable information can support the use of automation tools to correct or delete relevant personally identifiable information. - id: si-18.2_obj name: assessment-objective props: - name: label value: SI-18(02) class: sp800-53a prose: data tags are employed to automate the correction or deletion of personally identifiable information across the information life cycle within organizational systems. links: - href: '#si-18.2_smt' rel: assessment-for - id: si-18.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-18(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy procedures addressing data tagging personally identifiable information inventory system audit records audit findings system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: si-18.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-18(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for tagging data organizational personnel with information security and privacy responsibilities - id: si-18.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-18(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Data tagging mechanisms automated mechanisms supporting and/or implementing data tagging - id: si-18.3 class: SP800-53-enhancement title: Collection props: - name: label value: SI-18(03) class: zero-padded - name: label value: SI-18(3) - name: label value: SI-18(03) class: sp800-53a - name: sort-id value: si-18.03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#si-18' rel: required parts: - id: si-18.3_smt name: statement prose: Collect personally identifiable information directly from the individual. - id: si-18.3_gdn name: guidance prose: Individuals or their designated representatives can be sources of correct personally identifiable information. Organizations consider contextual factors that may incentivize individuals to provide correct data versus false data. Additional steps may be necessary to validate collected information based on the nature and context of the personally identifiable information, how it is to be used, and how it was obtained. The measures taken to validate the accuracy of personally identifiable information used to make determinations about the rights, benefits, or privileges of individuals under federal programs may be more comprehensive than the measures taken to validate less sensitive personally identifiable information. - id: si-18.3_obj name: assessment-objective props: - name: label value: SI-18(03) class: sp800-53a prose: personally identifiable information is collected directly from the individual. links: - href: '#si-18.3_smt' rel: assessment-for - id: si-18.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-18(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy system configuration documentation system audit records user interface where personally identifiable information is collected system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: si-18.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-18(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for data collection organizational personnel with information security and privacy responsibilities - id: si-18.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-18(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Data collection mechanisms automated mechanisms supporting and/or validating collection directly from the individual - id: si-18.4 class: SP800-53-enhancement title: Individual Requests props: - name: label value: SI-18(04) class: zero-padded - name: label value: SI-18(4) - name: label value: SI-18(04) class: sp800-53a - name: sort-id value: si-18.04 - 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: '#si-18' rel: required parts: - id: si-18.4_smt name: statement prose: Correct or delete personally identifiable information upon request by individuals or their designated representatives. - id: si-18.4_gdn name: guidance prose: Inaccurate personally identifiable information maintained by organizations may cause problems for individuals, especially in those business functions where inaccurate information may result in inappropriate decisions or the denial of benefits and services to individuals. Even correct information, in certain circumstances, can cause problems for individuals that outweigh the benefits of an organization maintaining the information. Organizations use discretion when determining if personally identifiable information is to be corrected or deleted based on the scope of requests, the changes sought, the impact of the changes, and laws, regulations, and policies. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding appropriate instances of correction or deletion. - id: si-18.4_obj name: assessment-objective props: - name: label value: SI-18(04) class: sp800-53a prose: personally identifiable information is corrected or deleted upon request by individuals or their designated representatives. links: - href: '#si-18.4_smt' rel: assessment-for - id: si-18.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-18(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy system configuration individual requests records of correction or deletion actions performed system audit records system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: si-18.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-18(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for responding to individual requests for personally identifiable information correction or deletion organizational personnel with information security and privacy responsibilities - id: si-18.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-18(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Request mechanisms automated mechanisms supporting and/or implementing individual requests for correction or deletion - id: si-18.5 class: SP800-53-enhancement title: Notice of Correction or Deletion params: - id: si-18.05_odp props: - name: alt-identifier value: si-18.5_prm_1 - name: alt-label value: recipients of personally identifiable information class: sp800-53 - name: label value: SI-18(05)_ODP class: sp800-53a label: recipients guidelines: - prose: recipients of personally identifiable information to be notified when the personally identifiable information has been corrected or deleted are defined; props: - name: label value: SI-18(05) class: zero-padded - name: label value: SI-18(5) - name: label value: SI-18(05) class: sp800-53a - name: sort-id value: si-18.05 - 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: '#si-18' rel: required parts: - id: si-18.5_smt name: statement prose: 'Notify {{ insert: param, si-18.05_odp }} and individuals that the personally identifiable information has been corrected or deleted.' - id: si-18.5_gdn name: guidance prose: When personally identifiable information is corrected or deleted, organizations take steps to ensure that all authorized recipients of such information, and the individual with whom the information is associated or their designated representatives, are informed of the corrected or deleted information. - id: si-18.5_obj name: assessment-objective props: - name: label value: SI-18(05) class: sp800-53a prose: '{{ insert: param, si-18.05_odp }} and individuals are notified when the personally identifiable information has been corrected or deleted.' links: - href: '#si-18.5_smt' rel: assessment-for - id: si-18.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-18(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy system configuration individual requests for corrections or deletions notifications of correction or deletion action system audit records system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: si-18.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-18(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for sending correction or deletion notices organizational personnel with information security and privacy responsibilities - id: si-18.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-18(05)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for notifications of correction or deletion automated mechanisms supporting and/or implementing notifications of correction or deletion - id: si-19 class: SP800-53 title: De-identification params: - id: si-19_odp.01 props: - name: alt-identifier value: si-19_prm_1 - name: alt-label value: elements of personally identifiable information class: sp800-53 - name: label value: SI-19_ODP[01] class: sp800-53a label: elements guidelines: - prose: elements of personally identifiable information to be removed from datasets are defined; - id: si-19_odp.02 props: - name: alt-identifier value: si-19_prm_2 - name: label value: SI-19_ODP[02] class: sp800-53a label: frequency guidelines: - prose: the frequency at which to evaluate the effectiveness of de-identification is defined; props: - name: label value: SI-19 class: zero-padded - name: label value: SI-19 - name: label value: SI-19 class: sp800-53a - name: sort-id value: si-19 - 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: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2' rel: reference - href: '#mp-6' rel: related - href: '#pm-22' rel: related - href: '#pm-23' rel: related - href: '#pm-24' rel: related - href: '#ra-2' rel: related - href: '#si-12' rel: related parts: - id: si-19_smt name: statement parts: - id: si-19_smt.a name: item props: - name: label value: a. prose: 'Remove the following elements of personally identifiable information from datasets: {{ insert: param, si-19_odp.01 }} ; and' - id: si-19_smt.b name: item props: - name: label value: b. prose: 'Evaluate {{ insert: param, si-19_odp.02 }} for effectiveness of de-identification.' - id: si-19_gdn name: guidance prose: De-identification is the general term for the process of removing the association between a set of identifying data and the data subject. Many datasets contain information about individuals that can be used to distinguish or trace an individual’s identity, such as name, social security number, date and place of birth, mother’s maiden name, or biometric records. Datasets may also contain other information that is linked or linkable to an individual, such as medical, educational, financial, and employment information. Personally identifiable information is removed from datasets by trained individuals when such information is not (or no longer) necessary to satisfy the requirements envisioned for the data. For example, if the dataset is only used to produce aggregate statistics, the identifiers that are not needed for producing those statistics are removed. Removing identifiers improves privacy protection since information that is removed cannot be inadvertently disclosed or improperly used. Organizations may be subject to specific de-identification definitions or methods under applicable laws, regulations, or policies. Re-identification is a residual risk with de-identified data. Re-identification attacks can vary, including combining new datasets or other improvements in data analytics. Maintaining awareness of potential attacks and evaluating for the effectiveness of the de-identification over time support the management of this residual risk. - id: si-19_obj name: assessment-objective props: - name: label value: SI-19 class: sp800-53a parts: - id: si-19_obj.a name: assessment-objective props: - name: label value: SI-19a. class: sp800-53a prose: '{{ insert: param, si-19_odp.01 }} are removed from datasets;' links: - href: '#si-19_smt.a' rel: assessment-for - id: si-19_obj.b name: assessment-objective props: - name: label value: SI-19b. class: sp800-53a prose: 'the effectiveness of de-identification is evaluated {{ insert: param, si-19_odp.02 }}.' links: - href: '#si-19_smt.b' rel: assessment-for links: - href: '#si-19_smt' rel: assessment-for - id: si-19_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-19-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy de-identification procedures system configuration datasets with personally identifiable information removed system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: si-19_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-19-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for identifying unnecessary identifiers organizational personnel responsible for removing personally identifiable information from datasets organizational personnel with information security and privacy responsibilities - id: si-19_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-19-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms supporting and/or implementing the removal of personally identifiable information elements controls: - id: si-19.1 class: SP800-53-enhancement title: Collection props: - name: label value: SI-19(01) class: zero-padded - name: label value: SI-19(1) - name: label value: SI-19(01) class: sp800-53a - name: sort-id value: si-19.01 - 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: '#si-19' rel: required parts: - id: si-19.1_smt name: statement prose: De-identify the dataset upon collection by not collecting personally identifiable information. - id: si-19.1_gdn name: guidance prose: If a data source contains personally identifiable information but the information will not be used, the dataset can be de-identified when it is created by not collecting the data elements that contain the personally identifiable information. For example, if an organization does not intend to use the social security number of an applicant, then application forms do not ask for a social security number. - id: si-19.1_obj name: assessment-objective props: - name: label value: SI-19(01) class: sp800-53a prose: the dataset is de-identified upon collection by not collecting personally identifiable information. links: - href: '#si-19.1_smt' rel: assessment-for - id: si-19.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-19(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy de-identification procedures procedures for minimizing the collection of personally identifiable information system configuration data collection mechanisms system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: si-19.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-19(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for de-identifying the dataset organizational personnel with information security and privacy responsibilities - id: si-19.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-19(01)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms preventing the collection of personally identifiable information - id: si-19.2 class: SP800-53-enhancement title: Archiving props: - name: label value: SI-19(02) class: zero-padded - name: label value: SI-19(2) - name: label value: SI-19(02) class: sp800-53a - name: sort-id value: si-19.02 - 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: '#si-19' rel: required parts: - id: si-19.2_smt name: statement prose: Prohibit archiving of personally identifiable information elements if those elements in a dataset will not be needed after the dataset is archived. - id: si-19.2_gdn name: guidance prose: Datasets can be archived for many reasons. The envisioned purposes for the archived dataset are specified, and if personally identifiable information elements are not required, the elements are not archived. For example, social security numbers may have been collected for record linkage, but the archived dataset may include the required elements from the linked records. In this case, it is not necessary to archive the social security numbers. - id: si-19.2_obj name: assessment-objective props: - name: label value: SI-19(02) class: sp800-53a prose: the archiving of personally identifiable information elements is prohibited if those elements in a dataset will not be needed after the dataset is archived. links: - href: '#si-19.2_smt' rel: assessment-for - id: si-19.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-19(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy de-identification procedures system configuration documentation data archiving mechanisms system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: si-19.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-19(02)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for de-identifying the dataset organizational personnel with dataset archival responsibilities organizational personnel with information security and privacy responsibilities - id: si-19.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-19(02)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms prohibiting the archival of personally identifiable information elements - id: si-19.3 class: SP800-53-enhancement title: Release props: - name: label value: SI-19(03) class: zero-padded - name: label value: SI-19(3) - name: label value: SI-19(03) class: sp800-53a - name: sort-id value: si-19.03 - 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: '#si-19' rel: required parts: - id: si-19.3_smt name: statement prose: Remove personally identifiable information elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release. - id: si-19.3_gdn name: guidance prose: Prior to releasing a dataset, a data custodian considers the intended uses of the dataset and determines if it is necessary to release personally identifiable information. If the personally identifiable information is not necessary, the information can be removed using de-identification techniques. - id: si-19.3_obj name: assessment-objective props: - name: label value: SI-19(03) class: sp800-53a prose: personally identifiable information elements are removed from a dataset prior to its release if those elements in the dataset do not need to be part of the data release. links: - href: '#si-19.3_smt' rel: assessment-for - id: si-19.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-19(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy de-identification procedures procedures for minimizing the release of personally identifiable information system configuration data release mechanisms system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: si-19.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-19(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for de-identifying the dataset organizational personnel with information security and privacy responsibilities - id: si-19.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-19(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms supporting and/or implementing the removal of personally identifiable information elements from a dataset - id: si-19.4 class: SP800-53-enhancement title: Removal, Masking, Encryption, Hashing, or Replacement of Direct Identifiers props: - name: label value: SI-19(04) class: zero-padded - name: label value: SI-19(4) - name: label value: SI-19(04) class: sp800-53a - name: sort-id value: si-19.04 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system links: - href: '#si-19' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: si-19.4_smt name: statement prose: Remove, mask, encrypt, hash, or replace direct identifiers in a dataset. - id: si-19.4_gdn name: guidance prose: 'There are many possible processes for removing direct identifiers from a dataset. Columns in a dataset that contain a direct identifier can be removed. In masking, the direct identifier is transformed into a repeating character, such as XXXXXX or 999999. Identifiers can be encrypted or hashed so that the linked records remain linked. In the case of encryption or hashing, algorithms are employed that require the use of a key, including the Advanced Encryption Standard or a Hash-based Message Authentication Code. Implementations may use the same key for all identifiers or use a different key for each identifier. Using a different key for each identifier provides a higher degree of security and privacy. Identifiers can alternatively be replaced with a keyword, including transforming "George Washington" to "PATIENT" or replacing it with a surrogate value, such as transforming "George Washington" to "Abraham Polk." ' - id: si-19.4_obj name: assessment-objective props: - name: label value: SI-19(04) class: sp800-53a prose: direct identifiers in a dataset are removed, masked, encrypted, hashed, or replaced. links: - href: '#si-19.4_smt' rel: assessment-for - id: si-19.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-19(04)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy de-identification procedures system configuration documentation of de-identified datasets tools for the removal, masking, encryption, hashing or replacement of direct identifiers system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: si-19.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-19(04)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for de-identifying the dataset organizational personnel with information security and privacy responsibilities - id: si-19.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-19(04)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms supporting and/or implementing the removal, masking, encryption, hashing or replacement of direct identifiers - id: si-19.5 class: SP800-53-enhancement title: Statistical Disclosure Control props: - name: label value: SI-19(05) class: zero-padded - name: label value: SI-19(5) - name: label value: SI-19(05) class: sp800-53a - name: sort-id value: si-19.05 - 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: '#si-19' rel: required parts: - id: si-19.5_smt name: statement prose: Manipulate numerical data, contingency tables, and statistical findings so that no individual or organization is identifiable in the results of the analysis. - id: si-19.5_gdn name: guidance prose: Many types of statistical analyses can result in the disclosure of information about individuals even if only summary information is provided. For example, if a school that publishes a monthly table with the number of minority students enrolled, reports that it has 10-19 such students in January, and subsequently reports that it has 20-29 such students in March, then it can be inferred that the student who enrolled in February was a minority. - id: si-19.5_obj name: assessment-objective props: - name: label value: SI-19(05) class: sp800-53a parts: - id: si-19.5_obj-1 name: assessment-objective props: - name: label value: SI-19(05)[01] class: sp800-53a prose: numerical data is manipulated so that no individual or organization is identifiable in the results of the analysis; links: - href: '#si-19.5_smt' rel: assessment-for - id: si-19.5_obj-2 name: assessment-objective props: - name: label value: SI-19(05)[02] class: sp800-53a prose: contingency tables are manipulated so that no individual or organization is identifiable in the results of the analysis; links: - href: '#si-19.5_smt' rel: assessment-for - id: si-19.5_obj-3 name: assessment-objective props: - name: label value: SI-19(05)[03] class: sp800-53a prose: statistical findings are manipulated so that no individual or organization is identifiable in the results of the analysis. links: - href: '#si-19.5_smt' rel: assessment-for links: - href: '#si-19.5_smt' rel: assessment-for - id: si-19.5_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-19(05)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy de-identification procedures system configuration de-identified datasets statistical analysis report tools for the control of statistical disclosure system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: si-19.5_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-19(05)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for de-identifying the dataset organizational personnel with information security and privacy responsibilities - id: si-19.5_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-19(05)-Test class: sp800-53a parts: - name: assessment-objects prose: Automated mechanisms supporting and/or implementing the control of statistical disclosure - id: si-19.6 class: SP800-53-enhancement title: Differential Privacy props: - name: label value: SI-19(06) class: zero-padded - name: label value: SI-19(6) - name: label value: SI-19(06) class: sp800-53a - name: sort-id value: si-19.06 - 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: '#si-19' rel: required - href: '#sc-12' rel: related - href: '#sc-13' rel: related parts: - id: si-19.6_smt name: statement prose: Prevent disclosure of personally identifiable information by adding non-deterministic noise to the results of mathematical operations before the results are reported. - id: si-19.6_gdn name: guidance prose: The mathematical definition for differential privacy holds that the result of a dataset analysis should be approximately the same before and after the addition or removal of a single data record (which is assumed to be the data from a single individual). In its most basic form, differential privacy applies only to online query systems. However, it can also be used to produce machine-learning statistical classifiers and synthetic data. Differential privacy comes at the cost of decreased accuracy of results, forcing organizations to quantify the trade-off between privacy protection and the overall accuracy, usefulness, and utility of the de-identified dataset. Non-deterministic noise can include adding small, random values to the results of mathematical operations in dataset analysis. - id: si-19.6_obj name: assessment-objective props: - name: label value: SI-19(06) class: sp800-53a prose: the disclosure of personally identifiable information is prevented by adding non-deterministic noise to the results of mathematical operations before the results are reported. links: - href: '#si-19.6_smt' rel: assessment-for - id: si-19.6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-19(06)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy de-identification procedures system configuration de-identified datasets differential privacy tools system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: si-19.6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-19(06)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for de-identifying the dataset organizational personnel with information security and privacy responsibilities - id: si-19.6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-19(06)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Online query systems automated mechanisms supporting and/or implementing differential privacy - id: si-19.7 class: SP800-53-enhancement title: Validated Algorithms and Software props: - name: label value: SI-19(07) class: zero-padded - name: label value: SI-19(7) - name: label value: SI-19(07) class: sp800-53a - name: sort-id value: si-19.07 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization links: - href: '#si-19' rel: required parts: - id: si-19.7_smt name: statement prose: Perform de-identification using validated algorithms and software that is validated to implement the algorithms. - id: si-19.7_gdn name: guidance prose: Algorithms that appear to remove personally identifiable information from a dataset may in fact leave information that is personally identifiable or data that is re-identifiable. Software that is claimed to implement a validated algorithm may contain bugs or implement a different algorithm. Software may de-identify one type of data, such as integers, but not de-identify another type of data, such as floating point numbers. For these reasons, de-identification is performed using algorithms and software that are validated. - id: si-19.7_obj name: assessment-objective props: - name: label value: SI-19(07) class: sp800-53a parts: - id: si-19.7_obj-1 name: assessment-objective props: - name: label value: SI-19(07)[01] class: sp800-53a prose: de-identification is performed using validated algorithms; links: - href: '#si-19.7_smt' rel: assessment-for - id: si-19.7_obj-2 name: assessment-objective props: - name: label value: SI-19(07)[02] class: sp800-53a prose: de-identification is performed using software that is validated to implement the algorithms. links: - href: '#si-19.7_smt' rel: assessment-for links: - href: '#si-19.7_smt' rel: assessment-for - id: si-19.7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-19(07)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy de-identification procedures system configuration de-identified datasets algorithm and software validation tools system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: si-19.7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-19(07)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for de-identifying the dataset organizational personnel with information security and privacy responsibilities - id: si-19.7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-19(07)-Test class: sp800-53a parts: - name: assessment-objects prose: Validated algorithms and software - id: si-19.8 class: SP800-53-enhancement title: Motivated Intruder props: - name: label value: SI-19(08) class: zero-padded - name: label value: SI-19(8) - name: label value: SI-19(08) class: sp800-53a - name: sort-id value: si-19.08 - 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: '#si-19' rel: required parts: - id: si-19.8_smt name: statement prose: Perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified. - id: si-19.8_gdn name: guidance prose: A motivated intruder test is a test in which an individual or group takes a data release and specified resources and attempts to re-identify one or more individuals in the de-identified dataset. Such tests specify the amount of inside knowledge, computational resources, financial resources, data, and skills that intruders possess to conduct the tests. A motivated intruder test can determine if the de-identification is insufficient. It can also be a useful diagnostic tool to assess if de-identification is likely to be sufficient. However, the test alone cannot prove that de-identification is sufficient. - id: si-19.8_obj name: assessment-objective props: - name: label value: SI-19(08) class: sp800-53a prose: a motivated intruder test is performed on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified. links: - href: '#si-19.8_smt' rel: assessment-for - id: si-19.8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-19(08)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy de-identification procedures system configuration motivated intruder test procedures de-identified datasets system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records - id: si-19.8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-19(08)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for de-identifying the dataset organizational personnel with information security and privacy responsibilities - id: si-19.8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-19(08)-Test class: sp800-53a parts: - name: assessment-objects prose: Motivated intruder test - id: si-20 class: SP800-53 title: Tainting params: - id: si-20_odp props: - name: alt-identifier value: si-20_prm_1 - name: label value: SI-20_ODP class: sp800-53a label: systems or system components guidelines: - prose: the systems or system components with data or capabilities to be embedded are defined; props: - name: label value: SI-20 class: zero-padded - name: label value: SI-20 - name: label value: SI-20 class: sp800-53a - name: sort-id value: si-20 - 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: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference - href: '#au-13' rel: related parts: - id: si-20_smt name: statement prose: 'Embed data or capabilities in the following systems or system components to determine if organizational data has been exfiltrated or improperly removed from the organization: {{ insert: param, si-20_odp }}.' - id: si-20_gdn name: guidance prose: Many cyber-attacks target organizational information, or information that the organization holds on behalf of other entities (e.g., personally identifiable information), and exfiltrate that data. In addition, insider attacks and erroneous user procedures can remove information from the system that is in violation of the organizational policies. Tainting approaches can range from passive to active. A passive tainting approach can be as simple as adding false email names and addresses to an internal database. If the organization receives email at one of the false email addresses, it knows that the database has been compromised. Moreover, the organization knows that the email was sent by an unauthorized entity, so any packets it includes potentially contain malicious code, and that the unauthorized entity may have potentially obtained a copy of the database. Another tainting approach can include embedding false data or steganographic data in files to enable the data to be found via open-source analysis. Finally, an active tainting approach can include embedding software in the data that is able to "call home," thereby alerting the organization to its "capture," and possibly its location, and the path by which it was exfiltrated or removed. - id: si-20_obj name: assessment-objective props: - name: label value: SI-20 class: sp800-53a prose: 'data or capabilities are embedded in {{ insert: param, si-20_odp }} to determine if organizational data has been exfiltrated or improperly removed from the organization.' links: - href: '#si-20_smt' rel: assessment-for - id: si-20_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-20-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy procedures addressing software and information integrity system design documentation system configuration settings and associated documentation policy and procedures addressing the systems security engineering technique of deception system security plan privacy plan other relevant documents or records - id: si-20_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-20-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for detecting tainted data organizational personnel with systems security engineering responsibilities organizational personnel with information security and privacy responsibilities - id: si-20_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-20-Test class: sp800-53a parts: - name: assessment-objects prose: |- Automated mechanisms for post-breach detection decoys, traps, lures, and methods for deceiving adversaries detection and notification mechanisms - id: si-21 class: SP800-53 title: Information Refresh params: - id: si-21_odp.01 props: - name: alt-identifier value: si-21_prm_1 - name: label value: SI-21_ODP[01] class: sp800-53a label: information guidelines: - prose: the information to be refreshed is defined; - id: si-21_odp.02 props: - name: alt-identifier value: si-21_prm_2 - name: label value: SI-21_ODP[02] class: sp800-53a label: frequencies guidelines: - prose: the frequencies at which to refresh information are defined; props: - name: label value: SI-21 class: zero-padded - name: label value: SI-21 - name: label value: SI-21 class: sp800-53a - name: sort-id value: si-21 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#27847491-5ce1-4f6a-a1e4-9e483782f0ef' rel: reference - href: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference - href: '#si-14' rel: related parts: - id: si-21_smt name: statement prose: 'Refresh {{ insert: param, si-21_odp.01 }} at {{ insert: param, si-21_odp.02 }} or generate the information on demand and delete the information when no longer needed.' - id: si-21_gdn name: guidance prose: Retaining information for longer than it is needed makes it an increasingly valuable and enticing target for adversaries. Keeping information available for the minimum period of time needed to support organizational missions or business functions reduces the opportunity for adversaries to compromise, capture, and exfiltrate that information. - id: si-21_obj name: assessment-objective props: - name: label value: SI-21 class: sp800-53a prose: 'the {{ insert: param, si-21_odp.01 }} is refreshed {{ insert: param, si-21_odp.02 }} or is generated on demand and deleted when no longer needed.' links: - href: '#si-21_smt' rel: assessment-for - id: si-21_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-21-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy procedures addressing software and information integrity system design documentation system configuration settings and associated documentation information refresh procedures list of information to be refreshed system security plan privacy plan other relevant documents or records - id: si-21_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-21-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel responsible for refreshing information organizational personnel with information security and privacy responsibilities organizational personnel with systems security engineering responsibilities system developers - id: si-21_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-21-Test class: sp800-53a parts: - name: assessment-objects prose: |- Mechanisms for information refresh organizational processes for information refresh - id: si-22 class: SP800-53 title: Information Diversity params: - id: si-22_odp.01 props: - name: alt-identifier value: si-22_prm_2 - name: label value: SI-22_ODP[01] class: sp800-53a label: alternative information sources guidelines: - prose: alternative information sources for essential functions and services are defined; - id: si-22_odp.02 props: - name: alt-identifier value: si-22_prm_1 - name: label value: SI-22_ODP[02] class: sp800-53a label: essential functions and services guidelines: - prose: essential functions and services that require alternative sources of information are defined; - id: si-22_odp.03 props: - name: alt-identifier value: si-22_prm_3 - name: label value: SI-22_ODP[03] class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that require an alternative information source for the execution of essential functions or services are defined; props: - name: label value: SI-22 class: zero-padded - name: label value: SI-22 - name: label value: SI-22 class: sp800-53a - name: sort-id value: si-22 - 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: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference parts: - id: si-22_smt name: statement parts: - id: si-22_smt.a name: item props: - name: label value: a. prose: 'Identify the following alternative sources of information for {{ insert: param, si-22_odp.02 }}: {{ insert: param, si-22_odp.01 }} ; and' - id: si-22_smt.b name: item props: - name: label value: b. prose: 'Use an alternative information source for the execution of essential functions or services on {{ insert: param, si-22_odp.03 }} when the primary source of information is corrupted or unavailable.' - id: si-22_gdn name: guidance prose: Actions taken by a system service or a function are often driven by the information it receives. Corruption, fabrication, modification, or deletion of that information could impact the ability of the service function to properly carry out its intended actions. By having multiple sources of input, the service or function can continue operation if one source is corrupted or no longer available. It is possible that the alternative sources of information may be less precise or less accurate than the primary source of information. But having such sub-optimal information sources may still provide a sufficient level of quality that the essential service or function can be carried out, even in a degraded or debilitated manner. - id: si-22_obj name: assessment-objective props: - name: label value: SI-22 class: sp800-53a parts: - id: si-22_obj.a name: assessment-objective props: - name: label value: SI-22a. class: sp800-53a prose: '{{ insert: param, si-22_odp.01 }} for {{ insert: param, si-22_odp.02 }} are identified;' links: - href: '#si-22_smt.a' rel: assessment-for - id: si-22_obj.b name: assessment-objective props: - name: label value: SI-22b. class: sp800-53a prose: 'an alternative information source is used for the execution of essential functions or services on {{ insert: param, si-22_odp.03 }} when the primary source of information is corrupted or unavailable.' links: - href: '#si-22_smt.b' rel: assessment-for links: - href: '#si-22_smt' rel: assessment-for - id: si-22_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-22-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy system design documentation system configuration settings and associated documentation list of information sources system security plan privacy plan other relevant documents or records - id: si-22_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-22-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy responsibilities organizational personnel with systems security engineering responsibilities system developers - id: si-22_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-22-Test class: sp800-53a parts: - name: assessment-objects prose: Automated methods and mechanisms to convert information from an analog to digital medium - id: si-23 class: SP800-53 title: Information Fragmentation params: - id: si-23_odp.01 props: - name: alt-identifier value: si-23_prm_1 - name: label value: SI-23_ODP[01] class: sp800-53a label: circumstances guidelines: - prose: circumstances that require information fragmentation are defined; - id: si-23_odp.02 props: - name: alt-identifier value: si-23_prm_2 - name: label value: SI-23_ODP[02] class: sp800-53a label: information guidelines: - prose: the information to be fragmented is defined; - id: si-23_odp.03 props: - name: alt-identifier value: si-23_prm_3 - name: label value: SI-23_ODP[03] class: sp800-53a label: systems or system components guidelines: - prose: systems or system components across which the fragmented information is to be distributed are defined; props: - name: label value: SI-23 class: zero-padded - name: label value: SI-23 - name: label value: SI-23 class: sp800-53a - name: sort-id value: si-23 - 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: '#61ccf0f4-d3e7-42db-9796-ce6cb1c85989' rel: reference parts: - id: si-23_smt name: statement prose: 'Based on {{ insert: param, si-23_odp.01 }}:' parts: - id: si-23_smt.a name: item props: - name: label value: a. prose: 'Fragment the following information: {{ insert: param, si-23_odp.02 }} ; and' - id: si-23_smt.b name: item props: - name: label value: b. prose: 'Distribute the fragmented information across the following systems or system components: {{ insert: param, si-23_odp.03 }}.' - id: si-23_gdn name: guidance prose: One objective of the advanced persistent threat is to exfiltrate valuable information. Once exfiltrated, there is generally no way for the organization to recover the lost information. Therefore, organizations may consider dividing the information into disparate elements and distributing those elements across multiple systems or system components and locations. Such actions will increase the adversary’s work factor to capture and exfiltrate the desired information and, in so doing, increase the probability of detection. The fragmentation of information impacts the organization’s ability to access the information in a timely manner. The extent of the fragmentation is dictated by the impact or classification level (and value) of the information, threat intelligence information received, and whether data tainting is used (i.e., data tainting-derived information about the exfiltration of some information could result in the fragmentation of the remaining information). - id: si-23_obj name: assessment-objective props: - name: label value: SI-23 class: sp800-53a parts: - id: si-23_obj.a name: assessment-objective props: - name: label value: SI-23a. class: sp800-53a prose: 'under {{ insert: param, si-23_odp.01 }}, {{ insert: param, si-23_odp.02 }} is fragmented;' links: - href: '#si-23_smt.a' rel: assessment-for - id: si-23_obj.b name: assessment-objective props: - name: label value: SI-23b. class: sp800-53a prose: 'under {{ insert: param, si-23_odp.01 }} , the fragmented information is distributed across {{ insert: param, si-23_odp.03 }}.' links: - href: '#si-23_smt.b' rel: assessment-for links: - href: '#si-23_smt' rel: assessment-for - id: si-23_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SI-23-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System and information integrity policy system and information integrity procedures personally identifiable information processing policy procedures addressing software and information integrity system design documentation system configuration settings and associated documentation procedures to identify information for fragmentation and distribution across systems/system components list of distributed and fragmented information list of circumstances requiring information fragmentation enterprise architecture system security architecture system security plan privacy plan other relevant documents or records - id: si-23_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SI-23-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with information security and privacy responsibilities organizational personnel with systems security engineering responsibilities system developers security architects - id: si-23_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SI-23-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes to identify information for fragmentation and distribution across systems/system components automated mechanisms supporting and/or implementing information fragmentation and distribution across systems/system components - 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 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 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 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 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: '#pm-9' rel: related - href: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 guidelines: - prose: the frequency at which to review and update the supply chain risk management plan is defined; props: - name: label value: SR-02 class: zero-padded - name: label value: SR-2 - name: label value: SR-02 class: sp800-53a - name: sort-id value: sr-02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#4ff10ed3-d8fe-4246-99e3-443045e27482' rel: reference - href: '#0f963c17-ab5a-432a-a867-91eac550309b' rel: reference - href: '#21caa535-1154-4369-ba7b-32c309fee0f7' rel: reference - href: '#031cc4b7-9adf-4835-98f1-f1ca493519cf' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#cec037f3-8aba-4c97-84b4-4082f9e515d2' rel: reference - href: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#e8e84963-14fc-4c3a-be05-b412a5d37cd2' rel: reference - href: '#276bd50a-7e58-48e5-a405-8c8cb91d7a5f' rel: reference - href: '#e24b06cc-9129-4998-a76a-65c3d7a576ba' rel: reference - href: '#38ff38f0-1366-4f50-a4c9-26a39aacee16' rel: reference - href: '#ca-2' rel: related - href: '#cp-4' rel: related - href: '#ir-4' rel: related - href: '#ma-2' rel: related - href: '#ma-6' rel: related - href: '#pe-16' rel: related - href: '#pl-2' rel: related - href: '#pm-9' rel: related - href: '#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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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 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: label value: SR-02(01) class: sp800-53a prose: 'a supply chain risk management team consisting of {{ insert: param, sr-02.01_odp.01 }} is established to lead and support {{ insert: param, sr-02.01_odp.02 }}.' links: - href: '#sr-2.1_smt' rel: assessment-for - id: sr-2.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-02(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management policy supply chain risk management procedures supply chain risk management team charter documentation supply chain risk management strategy supply chain risk management implementation plan procedures addressing supply chain protection system security plan privacy plan other relevant documents or records - id: sr-2.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-02(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with acquisition responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with supply chain risk management responsibilities organizational personnel with enterprise risk management responsibilities legal counsel organizational personnel with business continuity responsibilities - id: sr-3 class: SP800-53 title: Supply Chain Controls and Processes params: - id: sr-03_odp.01 props: - name: alt-identifier value: sr-3_prm_1 - name: label value: SR-03_ODP[01] class: sp800-53a label: system or system component guidelines: - prose: the system or system component requiring a process or processes to identify and address weaknesses or deficiencies is defined; - id: sr-03_odp.02 props: - name: alt-identifier value: sr-3_prm_2 - name: label value: SR-03_ODP[02] class: sp800-53a label: supply chain personnel guidelines: - prose: supply chain personnel with whom to coordinate the process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes is/are defined; - id: sr-03_odp.03 props: - name: alt-identifier value: sr-3_prm_3 - name: label value: SR-03_ODP[03] class: sp800-53a label: supply chain controls guidelines: - prose: supply chain controls employed to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events are defined; - id: sr-03_odp.04 props: - name: alt-identifier value: sr-3_prm_4 - name: label value: SR-03_ODP[04] class: sp800-53a select: how-many: one-or-more choice: - security and privacy plans - supply chain risk management plan - '{{ insert: param, sr-03_odp.05 }} ' - id: sr-03_odp.05 props: - name: alt-identifier value: sr-3_prm_5 - name: label value: SR-03_ODP[05] class: sp800-53a label: document guidelines: - prose: the document identifying the selected and implemented supply chain processes and controls is defined (if selected); props: - name: label value: SR-03 class: zero-padded - name: label value: SR-3 - name: label value: SR-03 class: sp800-53a - name: sort-id value: sr-03 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: system - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#4ff10ed3-d8fe-4246-99e3-443045e27482' rel: reference - href: '#0f963c17-ab5a-432a-a867-91eac550309b' rel: reference - href: '#21caa535-1154-4369-ba7b-32c309fee0f7' rel: reference - href: '#15a95e24-65b6-4686-bc18-90855a10457d' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#e8e84963-14fc-4c3a-be05-b412a5d37cd2' rel: reference - href: '#e24b06cc-9129-4998-a76a-65c3d7a576ba' rel: reference - href: '#ca-2' rel: related - href: '#ma-2' rel: related - href: '#ma-6' rel: related - href: '#pe-3' rel: related - href: '#pe-16' rel: related - href: '#pl-8' rel: related - href: '#pm-30' rel: related - href: '#sa-2' rel: related - href: '#sa-3' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: '#sa-10' rel: related - href: '#sa-15' rel: related - href: '#sc-7' rel: related - href: '#sc-29' rel: related - href: '#sc-30' rel: related - href: '#sc-38' rel: related - href: '#si-7' rel: related - href: '#sr-6' rel: related - href: '#sr-9' rel: related - href: '#sr-11' rel: related parts: - id: sr-3_smt name: statement parts: - id: sr-3_smt.a name: item props: - name: 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: 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: 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_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: 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: 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: 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: 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 controls: - id: sr-3.1 class: SP800-53-enhancement title: Diverse Supply Base params: - id: sr-3.1_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sr-03.01_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sr-03.01_odp.02 label: organization-defined system components and services - id: sr-03.01_odp.01 props: - name: label value: SR-03(01)_ODP[01] class: sp800-53a label: system components guidelines: - prose: system components with a diverse set of sources are defined; - id: sr-03.01_odp.02 props: - name: label value: SR-03(01)_ODP[02] class: sp800-53a label: services guidelines: - prose: services with a diverse set of sources are defined; props: - name: label value: SR-03(01) class: zero-padded - name: label value: SR-3(1) - name: label value: SR-03(01) class: sp800-53a - name: sort-id value: sr-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: '#sr-3' rel: required parts: - id: sr-3.1_smt name: statement prose: 'Employ a diverse set of sources for the following system components and services: {{ insert: param, sr-3.1_prm_1 }}.' - id: sr-3.1_gdn name: guidance prose: Diversifying the supply of systems, system components, and services can reduce the probability that adversaries will successfully identify and target the supply chain and can reduce the impact of a supply chain event or compromise. Identifying multiple suppliers for replacement components can reduce the probability that the replacement component will become unavailable. Employing a diverse set of developers or logistics service providers can reduce the impact of a natural disaster or other supply chain event. Organizations consider designing the system to include diverse materials and components. - id: sr-3.1_obj name: assessment-objective props: - name: label value: SR-03(01) class: sp800-53a parts: - id: sr-3.1_obj-1 name: assessment-objective props: - name: label value: SR-03(01)[01] class: sp800-53a prose: 'a diverse set of sources is employed for {{ insert: param, sr-03.01_odp.01 }};' links: - href: '#sr-3.1_smt' rel: assessment-for - id: sr-3.1_obj-2 name: assessment-objective props: - name: label value: SR-03(01)[02] class: sp800-53a prose: 'a diverse set of sources is employed for {{ insert: param, sr-03.01_odp.02 }}.' links: - href: '#sr-3.1_smt' rel: assessment-for links: - href: '#sr-3.1_smt' rel: assessment-for - id: sr-3.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-03(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management policy and procedures system and services acquisition policy planning policy procedures addressing supply chain protection physical inventory of critical systems and system components inventory of critical suppliers, service providers, developers, and contracts inventory records of critical system components list of security safeguards ensuring an adequate supply of critical system components system security plan other relevant documents or records - id: sr-3.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-03(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and services acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain protection responsibilities - id: sr-3.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-03(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for defining and employing security safeguards to ensure an adequate supply of critical system components processes to identify critical suppliers mechanisms supporting and/or implementing the security safeguards that ensure an adequate supply of critical system components - id: sr-3.2 class: SP800-53-enhancement title: Limitation of Harm params: - id: sr-03.02_odp props: - name: alt-identifier value: sr-3.2_prm_1 - name: label value: SR-03(02)_ODP class: sp800-53a label: controls guidelines: - prose: controls to limit harm from potential supply chain adversaries are defined; props: - name: label value: SR-03(02) class: zero-padded - name: label value: SR-3(2) - name: label value: SR-03(02) class: sp800-53a - name: sort-id value: sr-03.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sr-3' rel: required parts: - id: sr-3.2_smt name: statement prose: 'Employ the following controls to limit harm from potential adversaries identifying and targeting the organizational supply chain: {{ insert: param, sr-03.02_odp }}.' - id: sr-3.2_gdn name: guidance prose: Controls that can be implemented to reduce the probability of adversaries successfully identifying and targeting the supply chain include avoiding the purchase of custom or non-standardized configurations, employing approved vendor lists with standing reputations in industry, following pre-agreed maintenance schedules and update and patch delivery mechanisms, maintaining a contingency plan in case of a supply chain event, using procurement carve-outs that provide exclusions to commitments or obligations, using diverse delivery routes, and minimizing the time between purchase decisions and delivery. - id: sr-3.2_obj name: assessment-objective props: - name: label value: SR-03(02) class: sp800-53a prose: '{{ insert: param, sr-03.02_odp }} are employed to limit harm from potential adversaries identifying and targeting the organizational supply chain.' links: - href: '#sr-3.2_smt' rel: assessment-for - id: sr-3.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-03(02)-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 configuration management policy procedures addressing supply chain protection procedures addressing the integration of information security requirements into the acquisition process procedures addressing the baseline configuration of the system configuration management plan system design documentation system architecture and associated configuration documentation solicitation documentation acquisition documentation acquisition contracts for the system, system component, or system service threat assessments vulnerability assessments list of security safeguards to be taken to protect the organizational supply chain against potential supply chain threats system security plan other relevant documents or records - id: sr-3.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-03(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-3.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-03(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for defining and employing safeguards to limit harm from adversaries of the organizational supply chain mechanisms supporting and/or implementing the definition and employment of safeguards to protect the organizational supply chain - id: sr-3.3 class: SP800-53-enhancement title: Sub-tier Flow Down props: - name: label value: SR-03(03) class: zero-padded - name: label value: SR-3(3) - name: label value: SR-03(03) class: sp800-53a - name: sort-id value: sr-03.03 - 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: '#sr-3' rel: required - href: '#sr-5' rel: related - href: '#sr-8' rel: related parts: - id: sr-3.3_smt name: statement prose: Ensure that the controls included in the contracts of prime contractors are also included in the contracts of subcontractors. - id: sr-3.3_gdn name: guidance prose: To manage supply chain risk effectively and holistically, it is important that organizations ensure that supply chain risk management controls are included at all tiers in the supply chain. This includes ensuring that Tier 1 (prime) contractors have implemented processes to facilitate the "flow down" of supply chain risk management controls to sub-tier contractors. The controls subject to flow down are identified in [SR-3b](#sr-3_smt.b). - id: sr-3.3_obj name: assessment-objective props: - name: label value: SR-03(03) class: sp800-53a prose: the controls included in the contracts of prime contractors are also included in the contracts of subcontractors. links: - href: '#sr-3.3_smt' rel: assessment-for - id: sr-3.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-03(03)-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-3.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-03(03)-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-3.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-03(03)-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities - id: sr-4 class: SP800-53 title: Provenance params: - id: sr-04_odp props: - name: alt-identifier value: sr-4_prm_1 - name: label value: SR-04_ODP class: sp800-53a label: systems, system components, and associated data guidelines: - prose: systems, system components, and associated data that require valid provenance are defined; props: - name: label value: SR-04 class: zero-padded - name: label value: SR-4 - name: label value: SR-04 class: sp800-53a - name: sort-id value: sr-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: '#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: '#e3cc0520-a366-4fc9-abc2-5272db7e3564' rel: reference - href: '#e8e84963-14fc-4c3a-be05-b412a5d37cd2' rel: reference - href: '#e24b06cc-9129-4998-a76a-65c3d7a576ba' rel: reference - href: '#a2590922-82f3-4277-83c0-ca5bee06dba4' rel: reference - href: '#38ff38f0-1366-4f50-a4c9-26a39aacee16' rel: reference - href: '#cm-8' rel: related - href: '#ma-2' rel: related - href: '#ma-6' rel: related - href: '#ra-9' rel: related - href: '#sa-3' rel: related - href: '#sa-8' rel: related - href: '#si-4' rel: related parts: - id: sr-4_smt name: statement prose: 'Document, monitor, and maintain valid provenance of the following systems, system components, and associated data: {{ insert: param, sr-04_odp }}.' - id: sr-4_gdn name: guidance prose: Every system and system component has a point of origin and may be changed throughout its existence. Provenance is the chronology of the origin, development, ownership, location, and changes to a system or system component and associated data. It may also include personnel and processes used to interact with or make modifications to the system, component, or associated data. Organizations consider developing procedures (see [SR-1](#sr-1) ) for allocating responsibilities for the creation, maintenance, and monitoring of provenance for systems and system components; transferring provenance documentation and responsibility between organizations; and preventing and monitoring for unauthorized changes to the provenance records. Organizations have methods to document, monitor, and maintain valid provenance baselines for systems, system components, and related data. These actions help track, assess, and document any changes to the provenance, including changes in supply chain elements or configuration, and help ensure non-repudiation of provenance information and the provenance change records. Provenance considerations are addressed throughout the system development life cycle and incorporated into contracts and other arrangements, as appropriate. - id: sr-4_obj name: assessment-objective props: - name: label value: SR-04 class: sp800-53a parts: - id: sr-4_obj-1 name: assessment-objective props: - name: label value: SR-04[01] class: sp800-53a prose: 'valid provenance is documented for {{ insert: param, sr-04_odp }};' links: - href: '#sr-4_smt' rel: assessment-for - id: sr-4_obj-2 name: assessment-objective props: - name: label value: SR-04[02] class: sp800-53a prose: 'valid provenance is monitored for {{ insert: param, sr-04_odp }};' links: - href: '#sr-4_smt' rel: assessment-for - id: sr-4_obj-3 name: assessment-objective props: - name: label value: SR-04[03] class: sp800-53a prose: 'valid provenance is maintained for {{ insert: param, sr-04_odp }}.' links: - href: '#sr-4_smt' rel: assessment-for links: - href: '#sr-4_smt' rel: assessment-for - id: sr-4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-04-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management policy supply chain risk management procedures supply chain risk management plan documentation of critical systems, critical system components, and associated data documentation showing the history of ownership, custody, and location of and changes to critical systems or critical system components system architecture inter-organizational agreements and procedures contracts system security plan privacy plan personally identifiable information processing policy other relevant documents or records - id: sr-4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-04-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-4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-04-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for identifying the provenance of critical systems and critical system components mechanisms used to document, monitor, or maintain provenance controls: - id: sr-4.1 class: SP800-53-enhancement title: Identity params: - id: sr-04.01_odp props: - name: alt-identifier value: sr-4.1_prm_1 - name: alt-label value: supply chain elements, processes, and personnel associated with organization-defined systems and critical system components class: sp800-53 - name: label value: SR-04(01)_ODP class: sp800-53a label: supply chain elements, processes, and personnel guidelines: - prose: supply chain elements, processes, and personnel associated with systems and critical system components that require unique identification are defined; props: - name: label value: SR-04(01) class: zero-padded - name: label value: SR-4(1) - name: label value: SR-04(01) class: sp800-53a - name: sort-id value: sr-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: '#sr-4' rel: required - href: '#ia-2' rel: related - href: '#ia-8' rel: related - href: '#pe-16' rel: related parts: - id: sr-4.1_smt name: statement prose: 'Establish and maintain unique identification of the following supply chain elements, processes, and personnel associated with the identified system and critical system components: {{ insert: param, sr-04.01_odp }}.' - id: sr-4.1_gdn name: guidance prose: Knowing who and what is in the supply chains of organizations is critical to gaining visibility into supply chain activities. Visibility into supply chain activities is also important for monitoring and identifying high-risk events and activities. Without reasonable visibility into supply chains elements, processes, and personnel, it is very difficult for organizations to understand and manage risk and reduce their susceptibility to adverse events. Supply chain elements include organizations, entities, or tools used for the research and development, design, manufacturing, acquisition, delivery, integration, operations, maintenance, and disposal of systems and system components. Supply chain processes include development processes for hardware, software, and firmware; shipping and handling procedures; configuration management tools, techniques, and measures to maintain provenance; personnel and physical security programs; or other programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain personnel are individuals with specific roles and responsibilities related to the secure the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of a system or system component. Identification methods are sufficient to support an investigation in case of a supply chain change (e.g. if a supply company is purchased), compromise, or event. - id: sr-4.1_obj name: assessment-objective props: - name: label value: SR-04(01) class: sp800-53a parts: - id: sr-4.1_obj-1 name: assessment-objective props: - name: label value: SR-04(01)[01] class: sp800-53a prose: 'unique identification of {{ insert: param, sr-04.01_odp }} is established;' links: - href: '#sr-4.1_smt' rel: assessment-for - id: sr-4.1_obj-2 name: assessment-objective props: - name: label value: SR-04(01)[02] class: sp800-53a prose: 'unique identification of {{ insert: param, sr-04.01_odp }} is maintained.' links: - href: '#sr-4.1_smt' rel: assessment-for links: - href: '#sr-4.1_smt' rel: assessment-for - id: sr-4.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-04(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management policy and procedures supply chain risk management plan system and services acquisition policy procedures addressing supply chain protection procedures addressing the integration of information security requirements into the acquisition process list of supply chain elements, processes, and actors (associated with the system, system component, or system service) requiring implementation of unique identification processes, procedures, tools, mechanisms, equipment, techniques, and/or configurations system security plan other relevant documents or records - id: sr-4.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-04(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and services acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain protection responsibilities organizational personnel with responsibilities for establishing and retaining the unique identification of supply chain elements, processes, and actors - id: sr-4.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-04(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for defining, establishing, and retaining unique identification for supply chain elements, processes, and actors mechanisms supporting and/or implementing the definition, establishment, and retention of unique identification for supply chain elements, processes, and actors - id: sr-4.2 class: SP800-53-enhancement title: Track and Trace params: - id: sr-04.02_odp props: - name: alt-identifier value: sr-4.2_prm_1 - name: label value: SR-04(02)_ODP class: sp800-53a label: systems and critical system components guidelines: - prose: systems and critical system components that require unique identification for tracking through the supply chain are defined; props: - name: label value: SR-04(02) class: zero-padded - name: label value: SR-4(2) - name: label value: SR-04(02) class: sp800-53a - name: sort-id value: sr-04.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sr-4' rel: required - href: '#ia-2' rel: related - href: '#ia-8' rel: related - href: '#pe-16' rel: related - href: '#pl-2' rel: related parts: - id: sr-4.2_smt name: statement prose: 'Establish and maintain unique identification of the following systems and critical system components for tracking through the supply chain: {{ insert: param, sr-04.02_odp }}.' - id: sr-4.2_gdn name: guidance prose: Tracking the unique identification of systems and system components during development and transport activities provides a foundational identity structure for the establishment and maintenance of provenance. For example, system components may be labeled using serial numbers or tagged using radio-frequency identification tags. Labels and tags can help provide better visibility into the provenance of a system or system component. A system or system component may have more than one unique identifier. Identification methods are sufficient to support a forensic investigation after a supply chain compromise or event. - id: sr-4.2_obj name: assessment-objective props: - name: label value: SR-04(02) class: sp800-53a parts: - id: sr-4.2_obj-1 name: assessment-objective props: - name: label value: SR-04(02)[01] class: sp800-53a prose: 'the unique identification of {{ insert: param, sr-04.02_odp }} is established for tracking through the supply chain;' links: - href: '#sr-4.2_smt' rel: assessment-for - id: sr-4.2_obj-2 name: assessment-objective props: - name: label value: SR-04(02)[02] class: sp800-53a prose: 'the unique identification of {{ insert: param, sr-04.02_odp }} is maintained for tracking through the supply chain.' links: - href: '#sr-4.2_smt' rel: assessment-for links: - href: '#sr-4.2_smt' rel: assessment-for - id: sr-4.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-04(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management policy and procedures system and services acquisition policy procedures addressing supply chain protection procedures addressing the integration of information security requirements into the acquisition process supply chain risk management plan list of supply chain elements, processes, and actors (associated with the system, system component, or system service) requiring implementation of unique identification processes, procedures, tools, mechanisms, equipment, techniques, and/or configurations system security plan other relevant documents or records - id: sr-4.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-04(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 protection responsibilities organizational personnel with responsibilities for establishing and retaining the unique identification of supply chain elements, processes, and actors - id: sr-4.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-04(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for defining, establishing, and retaining unique identification for supply chain elements, processes, and actors mechanisms supporting and/or implementing the definition, establishment, and retention of unique identification for supply chain elements, processes, and actors - id: sr-4.3 class: SP800-53-enhancement title: Validate as Genuine and Not Altered params: - id: sr-4.3_prm_1 props: - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sr-04.03_odp.01 - name: aggregates ns: http://csrc.nist.gov/ns/rmf value: sr-04.03_odp.02 label: organization-defined controls - id: sr-04.03_odp.01 props: - name: label value: SR-04(03)_ODP[01] class: sp800-53a label: controls guidelines: - prose: controls to validate that the system or system component received is genuine are defined; - id: sr-04.03_odp.02 props: - name: label value: SR-04(03)_ODP[02] class: sp800-53a label: controls guidelines: - prose: controls to validate that the system or system component received has not been altered are defined; props: - name: label value: SR-04(03) class: zero-padded - name: label value: SR-4(3) - name: label value: SR-04(03) class: sp800-53a - name: sort-id value: sr-04.03 - 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: '#sr-4' rel: required - href: '#at-3' rel: related - href: '#sr-9' rel: related - href: '#sr-10' rel: related - href: '#sr-11' rel: related parts: - id: sr-4.3_smt name: statement prose: 'Employ the following controls to validate that the system or system component received is genuine and has not been altered: {{ insert: param, sr-4.3_prm_1 }}.' - id: sr-4.3_gdn name: guidance prose: For many systems and system components, especially hardware, there are technical means to determine if the items are genuine or have been altered, including optical and nanotechnology tagging, physically unclonable functions, side-channel analysis, cryptographic hash verifications or digital signatures, and visible anti-tamper labels or stickers. Controls can also include monitoring for out of specification performance, which can be an indicator of tampering or counterfeits. Organizations may leverage supplier and contractor processes for validating that a system or component is genuine and has not been altered and for replacing a suspect system or component. Some indications of tampering may be visible and addressable before accepting delivery, such as inconsistent packaging, broken seals, and incorrect labels. When a system or system component is suspected of being altered or counterfeit, the supplier, contractor, or original equipment manufacturer may be able to replace the item or provide a forensic capability to determine the origin of the counterfeit or altered item. Organizations can provide training to personnel on how to identify suspicious system or component deliveries. - id: sr-4.3_obj name: assessment-objective props: - name: label value: SR-04(03) class: sp800-53a parts: - id: sr-4.3_obj-1 name: assessment-objective props: - name: label value: SR-04(03)[01] class: sp800-53a prose: '{{ insert: param, sr-04.03_odp.01 }} are employed to validate that the system or system component received is genuine;' links: - href: '#sr-4.3_smt' rel: assessment-for - id: sr-4.3_obj-2 name: assessment-objective props: - name: label value: SR-04(03)[02] class: sp800-53a prose: '{{ insert: param, sr-04.03_odp.02 }} are employed to validate that the system or system component received has not been altered.' links: - href: '#sr-4.3_smt' rel: assessment-for links: - href: '#sr-4.3_smt' rel: assessment-for - id: sr-4.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-04(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management policy and procedures supply chain risk management plan system and services acquisition policy procedures addressing supply chain protection procedures addressing the security design principle of trusted components used in the specification, design, development, implementation, and modification of the system system design documentation procedures addressing the integration of information security requirements into the acquisition process solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service evidentiary documentation (including applicable configurations) indicating that the system or system component is genuine and has not been altered system security plan other relevant documents or records - id: sr-4.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-04(03)-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-4.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-04(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for defining and employing validation safeguards mechanisms supporting and/or implementing the definition and employment of validation safeguards mechanisms supporting the application of the security design principle of trusted components in system specification, design, development, implementation, and modification - id: sr-4.4 class: SP800-53-enhancement title: Supply Chain Integrity — Pedigree params: - id: sr-04.04_odp.01 props: - name: alt-identifier value: sr-4.4_prm_1 - name: label value: SR-04(04)_ODP[01] class: sp800-53a label: controls guidelines: - prose: controls employed to ensure that the integrity of the system and system component are defined; - id: sr-04.04_odp.02 props: - name: alt-identifier value: sr-4.4_prm_2 - name: alt-label value: analysis class: sp800-53 - name: label value: SR-04(04)_ODP[02] class: sp800-53a label: analysis method guidelines: - prose: an analysis method to be conducted to validate the internal composition and provenance of critical or mission-essential technologies, products, and services to ensure the integrity of the system and system component is defined; props: - name: label value: SR-04(04) class: zero-padded - name: label value: SR-4(4) - name: label value: SR-04(04) class: sp800-53a - name: sort-id value: sr-04.04 - 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: '#sr-4' rel: required - href: '#ra-3' rel: related parts: - id: sr-4.4_smt name: statement prose: 'Employ {{ insert: param, sr-04.04_odp.01 }} and conduct {{ insert: param, sr-04.04_odp.02 }} to ensure the integrity of the system and system components by validating the internal composition and provenance of critical or mission-essential technologies, products, and services.' - id: sr-4.4_gdn name: guidance prose: Authoritative information regarding the internal composition of system components and the provenance of technology, products, and services provides a strong basis for trust. The validation of the internal composition and provenance of technologies, products, and services is referred to as the pedigree. For microelectronics, this includes material composition of components. For software this includes the composition of open-source and proprietary code, including the version of the component at a given point in time. Pedigrees increase the assurance that the claims suppliers assert about the internal composition and provenance of the products, services, and technologies they provide are valid. The validation of the internal composition and provenance can be achieved by various evidentiary artifacts or records that manufacturers and suppliers produce during the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of technology, products, and services. Evidentiary artifacts include, but are not limited to, software identification (SWID) tags, software component inventory, the manufacturers’ declarations of platform attributes (e.g., serial numbers, hardware component inventory), and measurements (e.g., firmware hashes) that are tightly bound to the hardware itself. - id: sr-4.4_obj name: assessment-objective props: - name: label value: SR-04(04) class: sp800-53a parts: - id: sr-4.4_obj-1 name: assessment-objective props: - name: label value: SR-04(04)[01] class: sp800-53a prose: '{{ insert: param, sr-04.04_odp.01 }} are employed to ensure the integrity of the system and system components;' links: - href: '#sr-4.4_smt' rel: assessment-for - id: sr-4.4_obj-2 name: assessment-objective props: - name: label value: SR-04(04)[02] class: sp800-53a prose: '{{ insert: param, sr-04.04_odp.02 }} is conducted to ensure the integrity of the system and system components.' links: - href: '#sr-4.4_smt' rel: assessment-for links: - href: '#sr-4.4_smt' rel: assessment-for - id: sr-4.4_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-04(04)-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 bill of materials for critical systems or system components acquisition documentation software identification tags manufacturer declarations of platform attributes (e.g., serial numbers, hardware component inventory) and measurements (e.g., firmware hashes) that are tightly bound to the hardware itself system security plan other relevant documents or records - id: sr-4.4_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-04(04)-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-4.4_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-04(04)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for identifying pedigree information organizational processes to determine and validate the integrity of the internal composition of critical systems and critical system components mechanisms to determine and validate the integrity of the internal composition of critical systems and critical system components - id: sr-5 class: SP800-53 title: Acquisition Strategies, Tools, and Methods params: - id: sr-05_odp props: - name: alt-identifier value: sr-5_prm_1 - name: alt-label value: acquisition strategies, contract tools, and procurement methods class: sp800-53 - name: label value: SR-05_ODP class: sp800-53a label: strategies, tools, and methods guidelines: - prose: acquisition strategies, contract tools, and procurement methods to protect against, identify, and mitigate supply chain risks are defined; props: - name: label value: SR-05 class: zero-padded - name: label value: SR-5 - name: label value: SR-05 class: sp800-53a - name: sort-id value: sr-05 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#4ff10ed3-d8fe-4246-99e3-443045e27482' rel: reference - href: '#0f963c17-ab5a-432a-a867-91eac550309b' rel: reference - href: '#21caa535-1154-4369-ba7b-32c309fee0f7' rel: reference - href: '#863caf2a-978a-4260-9e8d-4a8929bce40c' rel: reference - href: '#15a95e24-65b6-4686-bc18-90855a10457d' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#e8e84963-14fc-4c3a-be05-b412a5d37cd2' rel: reference - href: '#e24b06cc-9129-4998-a76a-65c3d7a576ba' rel: reference - href: '#38ff38f0-1366-4f50-a4c9-26a39aacee16' rel: reference - href: '#at-3' rel: related - href: '#sa-2' rel: related - href: '#sa-3' rel: related - href: '#sa-4' rel: related - href: '#sa-5' rel: related - href: '#sa-8' rel: related - href: '#sa-9' rel: related - href: '#sa-10' rel: related - href: '#sa-15' rel: related - href: '#sr-6' rel: related - href: '#sr-9' rel: related - href: '#sr-10' rel: related - href: '#sr-11' rel: related parts: - id: sr-5_smt name: statement 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: 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 controls: - id: sr-5.1 class: SP800-53-enhancement title: Adequate Supply params: - id: sr-05.01_odp.01 props: - name: alt-identifier value: sr-5.1_prm_2 - name: label value: SR-05(01)_ODP[01] class: sp800-53a label: controls guidelines: - prose: controls to ensure an adequate supply of critical system components are defined; - id: sr-05.01_odp.02 props: - name: alt-identifier value: sr-5.1_prm_1 - name: label value: SR-05(01)_ODP[02] class: sp800-53a label: critical system components guidelines: - prose: critical system components of which an adequate supply is required are defined; props: - name: label value: SR-05(01) class: zero-padded - name: label value: SR-5(1) - name: label value: SR-05(01) class: sp800-53a - name: sort-id value: sr-05.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sr-5' rel: required - href: '#ra-9' rel: related parts: - id: sr-5.1_smt name: statement prose: 'Employ the following controls to ensure an adequate supply of {{ insert: param, sr-05.01_odp.02 }}: {{ insert: param, sr-05.01_odp.01 }}.' - id: sr-5.1_gdn name: guidance prose: Adversaries can attempt to impede organizational operations by disrupting the supply of critical system components or corrupting supplier operations. Organizations may track systems and component mean time to failure to mitigate the loss of temporary or permanent system function. Controls to ensure that adequate supplies of critical system components include the use of multiple suppliers throughout the supply chain for the identified critical components, stockpiling spare components to ensure operation during mission-critical times, and the identification of functionally identical or similar components that may be used, if necessary. - id: sr-5.1_obj name: assessment-objective props: - name: label value: SR-05(01) class: sp800-53a prose: '{{ insert: param, sr-05.01_odp.01 }} are employed to ensure an adequate supply of {{ insert: param, sr-05.01_odp.02 }}.' links: - href: '#sr-5.1_smt' rel: assessment-for - id: sr-5.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-05(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management policy and procedures supply chain risk management strategy supply chain risk management plan contingency planning documents inventory of critical systems and system components determination of adequate supply system and services acquisition policy procedures addressing supply chain protection procedures addressing the integration of information security requirements into the acquisition process procedures addressing the integration of acquisition strategies, contract tools, and procurement methods into the acquisition process solicitation documentation acquisition documentation service level agreements acquisition contracts for systems or services purchase orders/requisitions for the system, system component, or system service from suppliers system security plan other relevant documents or records - id: sr-5.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-05(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and services acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities - id: sr-5.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-05(01)-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-5.2 class: SP800-53-enhancement title: Assessments Prior to Selection, Acceptance, Modification, or Update props: - name: label value: SR-05(02) class: zero-padded - name: label value: SR-5(2) - name: label value: SR-05(02) class: sp800-53a - name: sort-id value: sr-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: '#sr-5' rel: required - href: '#ca-8' rel: related - href: '#ra-5' rel: related - href: '#sa-11' rel: related - href: '#si-7' rel: related parts: - id: sr-5.2_smt name: statement prose: Assess the system, system component, or system service prior to selection, acceptance, modification, or update. - id: sr-5.2_gdn name: guidance prose: Organizational personnel or independent, external entities conduct assessments of systems, components, products, tools, and services to uncover evidence of tampering, unintentional and intentional vulnerabilities, or evidence of non-compliance with supply chain controls. These include malicious code, malicious processes, defective software, backdoors, and counterfeits. Assessments can include evaluations; design proposal reviews; visual or physical inspection; static and dynamic analyses; visual, x-ray, or magnetic particle inspections; simulations; white, gray, or black box testing; fuzz testing; stress testing; and penetration testing (see [SR-6(1)](#sr-6.1) ). Evidence generated during assessments is documented for follow-on actions by organizations. The evidence generated during the organizational or independent assessments of supply chain elements may be used to improve supply chain processes and inform the supply chain risk management process. The evidence can be leveraged in follow-on assessments. Evidence and other documentation may be shared in accordance with organizational agreements. - id: sr-5.2_obj name: assessment-objective props: - name: label value: SR-05(02) class: sp800-53a parts: - id: sr-5.2_obj-1 name: assessment-objective props: - name: label value: SR-05(02)[01] class: sp800-53a prose: the system, system component, or system service is assessed prior to selection; links: - href: '#sr-5.2_smt' rel: assessment-for - id: sr-5.2_obj-2 name: assessment-objective props: - name: label value: SR-05(02)[02] class: sp800-53a prose: the system, system component, or system service is assessed prior to acceptance; links: - href: '#sr-5.2_smt' rel: assessment-for - id: sr-5.2_obj-3 name: assessment-objective props: - name: label value: SR-05(02)[03] class: sp800-53a prose: the system, system component, or system service is assessed prior to modification; links: - href: '#sr-5.2_smt' rel: assessment-for - id: sr-5.2_obj-4 name: assessment-objective props: - name: label value: SR-05(02)[04] class: sp800-53a prose: the system, system component, or system service is assessed prior to update. links: - href: '#sr-5.2_smt' rel: assessment-for links: - href: '#sr-5.2_smt' rel: assessment-for - id: sr-5.2_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-05(02)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- System security plan system and services acquisition policy procedures addressing supply chain protection procedures addressing the integration of information security requirements into the acquisition process security test and evaluation results vulnerability assessment results penetration testing results organizational risk assessment results system security plan other relevant documents or records - id: sr-5.2_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-05(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 protection responsibilities - id: sr-5.2_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-05(02)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for conducting assessments prior to selection, acceptance, or update mechanisms supporting and/or implementing the conducting of assessments prior to selection, acceptance, or update - id: sr-6 class: SP800-53 title: Supplier Assessments and Reviews params: - id: sr-06_odp props: - name: alt-identifier value: sr-6_prm_1 - name: label value: SR-06_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency at which to assess and review the supply chain-related risks associated with suppliers or contractors and the systems, system components, or system services they provide is defined; props: - name: label value: SR-06 class: zero-padded - name: label value: SR-6 - name: label value: SR-06 class: sp800-53a - name: sort-id value: sr-06 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#4ff10ed3-d8fe-4246-99e3-443045e27482' rel: reference - href: '#0f963c17-ab5a-432a-a867-91eac550309b' rel: reference - href: '#21caa535-1154-4369-ba7b-32c309fee0f7' rel: reference - href: '#863caf2a-978a-4260-9e8d-4a8929bce40c' rel: reference - href: '#15a95e24-65b6-4686-bc18-90855a10457d' rel: reference - href: '#678e3d6c-150b-4393-aec5-6e3481eb1e00' rel: reference - href: '#eea3c092-42ed-4382-a6f4-1adadef01b9d' rel: reference - href: '#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1' rel: reference - href: '#a295ca19-8c75-4b4c-8800-98024732e181' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#e8e84963-14fc-4c3a-be05-b412a5d37cd2' rel: reference - href: '#e24b06cc-9129-4998-a76a-65c3d7a576ba' rel: reference - href: '#38ff38f0-1366-4f50-a4c9-26a39aacee16' rel: reference - href: '#sr-3' rel: related - href: '#sr-5' rel: related parts: - id: sr-6_smt name: statement prose: 'Assess and review the supply chain-related risks associated with suppliers or contractors and the system, system component, or system service they provide {{ insert: param, sr-06_odp }}.' - id: sr-6_gdn name: guidance prose: An assessment and review of supplier risk includes security and supply chain risk management processes, foreign ownership, control or influence (FOCI), and the ability of the supplier to effectively assess subordinate second-tier and third-tier suppliers and contractors. The reviews may be conducted by the organization or by an independent third party. The reviews consider documented processes, documented controls, all-source intelligence, and publicly available information related to the supplier or contractor. Organizations can use open-source information to monitor for indications of stolen information, poor development and quality control practices, information spillage, or counterfeits. In some cases, it may be appropriate or required to share assessment and review results with other organizations in accordance with any applicable rules, policies, or inter-organizational agreements or contracts. - id: sr-6_obj name: assessment-objective props: - name: label value: SR-06 class: sp800-53a prose: 'the supply chain-related risks associated with suppliers or contractors and the systems, system components, or system services they provide are assessed and reviewed {{ insert: param, sr-06_odp }}.' links: - href: '#sr-6_smt' rel: assessment-for - id: sr-6_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-06-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management policy and procedures supply chain risk management strategy supply chain risk management plan system and services acquisition policy procedures addressing supply chain protection procedures addressing the integration of information security requirements into the acquisition process records of supplier due diligence reviews system security plan other relevant documents or records - id: sr-6_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-06-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and services acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain protection responsibilities - id: sr-6_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-06-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for conducting supplier reviews mechanisms supporting and/or implementing supplier reviews controls: - id: sr-6.1 class: SP800-53-enhancement title: Testing and Analysis params: - id: sr-06.01_odp.01 props: - name: alt-identifier value: sr-6.1_prm_1 - name: label value: SR-06(01)_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - organizational analysis - independent third-party analysis - organizational testing - independent third-party testing - id: sr-06.01_odp.02 props: - name: alt-identifier value: sr-6.1_prm_2 - name: label value: SR-06(01)_ODP[02] class: sp800-53a label: supply chain elements, processes, and actors guidelines: - prose: supply chain elements, processes, and actors to be analyzed and tested are defined; props: - name: label value: SR-06(01) class: zero-padded - name: label value: SR-6(1) - name: label value: SR-06(01) class: sp800-53a - name: sort-id value: sr-06.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sr-6' rel: required - href: '#ca-8' rel: related - href: '#si-4' rel: related parts: - id: sr-6.1_smt name: statement prose: 'Employ {{ insert: param, sr-06.01_odp.01 }} of the following supply chain elements, processes, and actors associated with the system, system component, or system service: {{ insert: param, sr-06.01_odp.02 }}.' - id: sr-6.1_gdn name: guidance prose: Relationships between entities and procedures within the supply chain, including development and delivery, are considered. Supply chain elements include organizations, entities, or tools that are used for the research and development, design, manufacturing, acquisition, delivery, integration, operations, maintenance, and disposal of systems, system components, or system services. Supply chain processes include supply chain risk management programs; SCRM strategies and implementation plans; personnel and physical security programs; hardware, software, and firmware development processes; configuration management tools, techniques, and measures to maintain provenance; shipping and handling procedures; and programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated and collected during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions. - id: sr-6.1_obj name: assessment-objective props: - name: label value: SR-06(01) class: sp800-53a prose: '{{ insert: param, sr-06.01_odp.01 }} is/are employed on {{ insert: param, sr-06.01_odp.02 }} associated with the system, system component, or system service.' links: - href: '#sr-6.1_smt' rel: assessment-for - id: sr-6.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-06(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management policy and procedures supply chain risk management plan system and services acquisition policy procedures addressing supply chain protection evidence of organizational analysis, independent third-party analysis, organizational penetration testing, and/or independent third-party penetration testing list of supply chain elements, processes, and actors (associated with the system, system component, or system service) subject to analysis and/or testing system security plan other relevant documents or records - id: sr-6.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-06(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and services acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities organizational personnel with responsibilities for analyzing and/or testing supply chain elements, processes, and actors - id: sr-6.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-06(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for defining and employing methods of analysis/testing of supply chain elements, processes, and actors mechanisms supporting and/or implementing the analysis/testing of supply chain elements, processes, and actors - id: sr-7 class: SP800-53 title: Supply Chain Operations Security params: - id: sr-07_odp props: - name: alt-identifier value: sr-7_prm_1 - name: alt-label value: Operations Security (OPSEC) controls class: sp800-53 - name: label value: SR-07_ODP class: sp800-53a label: OPSEC controls guidelines: - prose: Operations Security (OPSEC) controls to protect supply chain-related information for the system, system component, or system service are defined; props: - name: label value: SR-07 class: zero-padded - name: label value: SR-7 - name: label value: SR-07 class: sp800-53a - name: sort-id value: sr-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: '#21caa535-1154-4369-ba7b-32c309fee0f7' rel: reference - href: '#08b07465-dbdc-48d6-8a0b-37279602ac16' rel: reference - href: '#863caf2a-978a-4260-9e8d-4a8929bce40c' rel: reference - href: '#e8e84963-14fc-4c3a-be05-b412a5d37cd2' rel: reference - href: '#e24b06cc-9129-4998-a76a-65c3d7a576ba' rel: reference - href: '#sc-38' rel: related parts: - id: sr-7_smt name: statement prose: 'Employ the following Operations Security (OPSEC) controls to protect supply chain-related information for the system, system component, or system service: {{ insert: param, sr-07_odp }}.' - id: sr-7_gdn name: guidance prose: Supply chain OPSEC expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process that includes identifying critical information, analyzing friendly actions related to operations and other activities to identify actions that can be observed by potential adversaries, determining indicators that potential adversaries might obtain that could be interpreted or pieced together to derive information in sufficient time to cause harm to organizations, implementing safeguards or countermeasures to eliminate or reduce exploitable vulnerabilities and risk to an acceptable level, and considering how aggregated information may expose users or specific uses of the supply chain. Supply chain information includes user identities; uses for systems, system components, and system services; supplier identities; security and privacy requirements; system and component configurations; supplier processes; design specifications; and testing and evaluation results. Supply chain OPSEC may require organizations to withhold mission or business information from suppliers and may include the use of intermediaries to hide the end use or users of systems, system components, or system services. - id: sr-7_obj name: assessment-objective props: - name: label value: SR-07 class: sp800-53a prose: '{{ insert: param, sr-07_odp }} are employed to protect supply chain-related information for the system, system component, or system service.' links: - href: '#sr-7_smt' rel: assessment-for - id: sr-7_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-07-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management plan supply chain risk management procedures system and services acquisition policy system and services acquisition procedures procedures addressing supply chain protection list of OPSEC controls to be employed solicitation documentation acquisition documentation acquisition contracts for the system, system component, or system service records of all-source intelligence analyses system security plan privacy plan other relevant documents or records - id: sr-7_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-07-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 OPSEC responsibilities organizational personnel with supply chain risk management responsibilities - id: sr-7_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-07-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for defining and employing OPSEC safeguards mechanisms supporting and/or implementing the definition and employment of OPSEC safeguards - 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 select: how-many: one-or-more choice: - notification of supply chain compromises - '{{ insert: param, sr-08_odp.02 }} ' - 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 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_obj name: assessment-objective props: - name: label value: SR-08 class: sp800-53a prose: 'agreements and procedures are established with entities involved in the supply chain for the system, system components, or system service for {{ insert: param, sr-08_odp.01 }}.' links: - href: '#sr-8_smt' rel: assessment-for - id: sr-8_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-08-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management policy and procedures supply chain risk management plan system and services acquisition policy procedures addressing supply chain protection acquisition documentation service level agreements acquisition contracts for the system, system component, or system service inter-organizational agreements and procedures system security plan other relevant documents or records - id: sr-8_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-08-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities - id: sr-8_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-08-Test class: sp800-53a parts: - name: assessment-objects prose: Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities - id: sr-9 class: SP800-53 title: Tamper Resistance and Detection props: - name: label value: SR-09 class: zero-padded - name: label value: SR-9 - name: label value: SR-09 class: sp800-53a - name: sort-id value: sr-09 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#15a95e24-65b6-4686-bc18-90855a10457d' rel: reference - href: '#pe-3' rel: related - href: '#pm-30' rel: related - href: '#sa-15' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related - href: '#sr-3' rel: related - href: '#sr-4' rel: related - href: '#sr-5' rel: related - href: '#sr-10' rel: related - href: '#sr-11' rel: related parts: - id: sr-9_smt name: statement prose: Implement a tamper protection program for the system, system component, or system service. - id: sr-9_gdn name: guidance prose: Anti-tamper technologies, tools, and techniques provide a level of protection for systems, system components, and services against many threats, including reverse engineering, modification, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting systems and components during distribution and when in use. - id: sr-9_obj name: assessment-objective props: - name: label value: SR-09 class: sp800-53a prose: a tamper protection program is implemented for the system, system component, or system service. links: - href: '#sr-9_smt' rel: assessment-for - id: sr-9_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-09-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management policy and procedures supply chain risk management plan system and services acquisition policy procedures addressing supply chain protection procedures addressing tamper resistance and detection tamper protection program documentation tamper protection tools and techniques documentation tamper resistance and detection tools and techniques documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system security plan other relevant documents or records - id: sr-9_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-09-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with tamper protection program responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities - id: sr-9_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-09-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for the implementation of the tamper protection program mechanisms supporting and/or implementing the tamper protection program controls: - id: sr-9.1 class: SP800-53-enhancement title: Multiple Stages of System Development Life Cycle props: - name: label value: SR-09(01) class: zero-padded - name: label value: SR-9(1) - name: label value: SR-09(01) class: sp800-53a - name: sort-id value: sr-09.01 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sr-9' rel: required - href: '#sa-3' rel: related parts: - id: sr-9.1_smt name: statement prose: Employ anti-tamper technologies, tools, and techniques throughout the system development life cycle. - id: sr-9.1_gdn name: guidance prose: The system development life cycle includes research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal. Organizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations use obfuscation and self-checking to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. The customization of systems and system components can make substitutions easier to detect and therefore limit damage. - id: sr-9.1_obj name: assessment-objective props: - name: label value: SR-09(01) class: sp800-53a prose: anti-tamper technologies, tools, and techniques are employed throughout the system development life cycle. links: - href: '#sr-9.1_smt' rel: assessment-for - id: sr-9.1_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-09(01)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management policy and procedures supply chain risk management plan system and services acquisition policy procedures addressing tamper resistance and detection tamper protection program documentation tamper protection tools and techniques documentation tamper resistance and detection tools (technologies) and techniques documentation system development life cycle documentation procedures addressing supply chain protection system development life cycle procedures acquisition documentation service level agreements acquisition contracts for the system, system component, or system service inter-organizational agreements and procedures system security plan other relevant documents or records - id: sr-9.1_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-09(01)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and services acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities organizational personnel with SDLC responsibilities - id: sr-9.1_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-09(01)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for employing anti-tamper technologies mechanisms supporting and/or implementing anti-tamper technologies - id: sr-10 class: SP800-53 title: Inspection of Systems or Components params: - id: sr-10_odp.01 props: - name: alt-identifier value: sr-10_prm_4 - name: label value: SR-10_ODP[01] class: sp800-53a label: systems or system components guidelines: - prose: systems or system components that require inspection are defined; - id: sr-10_odp.02 props: - name: alt-identifier value: sr-10_prm_1 - name: label value: SR-10_ODP[02] class: sp800-53a select: how-many: one-or-more choice: - at random - 'at {{ insert: param, sr-10_odp.03 }} ' - 'upon {{ insert: param, sr-10_odp.04 }} ' - id: sr-10_odp.03 props: - name: alt-identifier value: sr-10_prm_2 - name: label value: SR-10_ODP[03] class: sp800-53a label: frequency guidelines: - prose: frequency at which to inspect systems or system components is defined (if selected); - id: sr-10_odp.04 props: - name: alt-identifier value: sr-10_prm_3 - name: label value: SR-10_ODP[04] class: sp800-53a label: indications of need for inspection guidelines: - prose: indications of the need for an inspection of systems or system components are defined (if selected); props: - name: label value: SR-10 class: zero-padded - name: label value: SR-10 - name: label value: SR-10 class: sp800-53a - name: sort-id value: sr-10 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#15a95e24-65b6-4686-bc18-90855a10457d' rel: reference - href: '#at-3' rel: related - href: '#pm-30' rel: related - href: '#si-4' rel: related - href: '#si-7' rel: related - href: '#sr-3' rel: related - href: '#sr-4' rel: related - href: '#sr-5' rel: related - href: '#sr-9' rel: related - href: '#sr-11' rel: related parts: - id: sr-10_smt name: statement 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: label value: SR-10 class: sp800-53a prose: '{{ insert: param, sr-10_odp.01 }} are inspected {{ insert: param, sr-10_odp.02 }} to detect tampering.' links: - href: '#sr-10_smt' rel: assessment-for - id: sr-10_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-10-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management policy and procedures supply chain risk management plan system and services acquisition policy records of random inspections inspection reports/results assessment reports/results acquisition documentation service level agreements acquisition contracts for the system, system component, or system service inter-organizational agreements and procedures system security plan other relevant documents or records - id: sr-10_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-10-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and services acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities - id: sr-10_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-10-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities organizational processes to inspect for tampering - id: sr-11 class: SP800-53 title: Component Authenticity params: - id: sr-11_odp.01 props: - name: alt-identifier value: sr-11_prm_1 - name: label value: SR-11_ODP[01] class: sp800-53a select: how-many: one-or-more choice: - source of counterfeit component - '{{ insert: param, sr-11_odp.02 }} ' - '{{ insert: param, sr-11_odp.03 }} ' - id: sr-11_odp.02 props: - name: alt-identifier value: sr-11_prm_2 - name: label value: SR-11_ODP[02] class: sp800-53a label: external reporting organizations guidelines: - prose: external reporting organizations to whom counterfeit system components are to be reported is/are defined (if selected); - id: sr-11_odp.03 props: - name: alt-identifier value: sr-11_prm_3 - name: label value: SR-11_ODP[03] class: sp800-53a label: personnel or roles guidelines: - prose: personnel or roles to whom counterfeit system components are to be reported is/are defined (if selected); props: - name: label value: SR-11 class: zero-padded - name: label value: SR-11 - name: label value: SR-11 class: sp800-53a - name: sort-id value: sr-11 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#15a95e24-65b6-4686-bc18-90855a10457d' rel: reference - href: '#pe-3' rel: related - href: '#sa-4' rel: related - href: '#si-7' rel: related - href: '#sr-9' rel: related - href: '#sr-10' rel: related parts: - id: sr-11_smt name: statement parts: - id: sr-11_smt.a name: item props: - name: 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: 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_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: 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: 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: 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: 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: 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 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: 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 guidelines: - prose: system components requiring configuration control are defined; props: - name: label value: SR-11(02) class: zero-padded - name: label value: SR-11(2) - name: label value: SR-11(02) class: sp800-53a - name: sort-id value: sr-11.02 - name: implementation-level ns: http://csrc.nist.gov/ns/rmf value: organization - name: contributes-to-assurance ns: http://csrc.nist.gov/ns/rmf value: "true" links: - href: '#sr-11' rel: required - href: '#cm-3' rel: related - href: '#ma-2' rel: related - href: '#ma-4' rel: related - href: '#sa-10' rel: related parts: - id: sr-11.2_smt name: statement 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: 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-11.3 class: SP800-53-enhancement title: Anti-counterfeit Scanning params: - id: sr-11.03_odp props: - name: alt-identifier value: sr-11.3_prm_1 - name: label value: SR-11(03)_ODP class: sp800-53a label: frequency guidelines: - prose: the frequency at which to scan for counterfeit system components is defined; props: - name: label value: SR-11(03) class: zero-padded - name: label value: SR-11(3) - name: label value: SR-11(03) class: sp800-53a - name: sort-id value: sr-11.03 - 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: '#sr-11' rel: required - href: '#ra-5' rel: related parts: - id: sr-11.3_smt name: statement prose: 'Scan for counterfeit system components {{ insert: param, sr-11.03_odp }}.' - id: sr-11.3_gdn name: guidance prose: The type of component determines the type of scanning to be conducted (e.g., web application scanning if the component is a web application). - id: sr-11.3_obj name: assessment-objective props: - name: label value: SR-11(03) class: sp800-53a prose: 'scanning for counterfeit system components is conducted {{ insert: param, sr-11.03_odp }}.' links: - href: '#sr-11.3_smt' rel: assessment-for - id: sr-11.3_asm-examine name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: EXAMINE - name: label value: SR-11(03)-Examine class: sp800-53a parts: - name: assessment-objects prose: |- Supply chain risk management policy and procedures supply chain risk management plan anti-counterfeit policy and procedures system design documentation system configuration settings and associated documentation scanning tools and associated documentation scanning results procedures addressing supply chain protection acquisition documentation inter-organizational agreements and procedures system security plan other relevant documents or records - id: sr-11.3_asm-interview name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: INTERVIEW - name: label value: SR-11(03)-Interview class: sp800-53a parts: - name: assessment-objects prose: |- Organizational personnel with system and services acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities organizational personnel with responsibilities for anti-counterfeit policies and procedures organizational personnel with responsibility for anti-counterfeit scanning - id: sr-11.3_asm-test name: assessment-method props: - name: method ns: http://csrc.nist.gov/ns/rmf value: TEST - name: label value: SR-11(03)-Test class: sp800-53a parts: - name: assessment-objects prose: |- Organizational processes for scanning for counterfeit system components mechanisms supporting and/or implementing anti-counterfeit scanning - 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 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: 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: d3b71d4d-27c1-40f7-ad7f-1c1fe6d8bde8 title: ATOM54 citation: text: Atomic Energy Act (P.L. 83-703), August 1954. rlinks: - href: https://www.govinfo.gov/content/pkg/STATUTE-68/pdf/STATUTE-68-Pg919.pdf - uuid: 94c64e1a-456c-457f-86da-83ac0dfc85ac title: CMPPA citation: text: Computer Matching and Privacy Protection Act of 1988 (P.L. 100-503), October 1988. rlinks: - href: https://www.govinfo.gov/content/pkg/STATUTE-102/pdf/STATUTE-102-Pg2507.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: 6f63a36d-24bb-44f3-885a-5a50b5e1ada0 title: CNSSI 4009 citation: text: Committee on National Security Systems Instruction No. 4009, *Committee on National Security Systems (CNSS) Glossary* , April 2015. rlinks: - href: https://www.cnss.gov/CNSS/issuances/Instructions.cfm - uuid: 8a687894-cdab-423d-b95b-8d9475e4b51e title: CNSSP 22 citation: text: Committee on National Security Systems Policy No. 22, *Cybersecurity Risk Management Policy* , August 2016. rlinks: - href: https://www.cnss.gov/CNSS/issuances/Policies.cfm - uuid: b9951d04-6385-478c-b1a3-ab68c19d9041 title: DHS NIPP citation: text: Department of Homeland Security, *National Infrastructure Protection Plan (NIPP)* , 2009. rlinks: - href: https://www.dhs.gov/xlibrary/assets/NIPP_Plan.pdf - uuid: 4f42ee6e-86cc-403b-a51f-76c2b4f81b54 title: DHS TIC citation: text: Department of Homeland Security, *Trusted Internet Connections (TIC)*. rlinks: - href: https://www.dhs.gov/trusted-internet-connections - uuid: aa66e14f-e7cb-4a37-99d2-07578dfd4608 title: DOD STIG citation: text: Defense Information Systems Agency, *Security Technical Implementation Guides (STIG)*. rlinks: - href: https://public.cyber.mil/stigs - uuid: d6f8ff7f-4b71-47ba-b61b-a5ee3ffd3af0 title: DODI 8510.01 citation: text: Department of Defense Instruction 8510.01, *Risk Management Framework (RMF) for DoD Information Technology (IT)* , March 2014. rlinks: - href: https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/851001p.pdf?ver=2019-02-26-101520-300 - uuid: 1c861e8c-cb40-463e-9cf2-693554107693 title: DODTERMS citation: text: Department of Defense, *Dictionary of Military and Associated Terms*. rlinks: - href: https://www.jcs.mil/Portals/36/Documents/Doctrine/pubs/dictionary.pdf - uuid: 00db708b-4704-4fcb-b854-b66d1d756a58 title: DSB 2017 citation: text: Department of Defense, Defense Science Board, *Task Force on Cyber Deterrence* , February 2017. rlinks: - href: https://dsb.cto.mil/reports/2010s/DSB-CyberDeterrenceReport_02-28-17_Final.pdf - uuid: 7b0b9634-741a-4335-b6fa-161228c3a76e title: EGOV citation: text: 'E-Government Act [includes FISMA] (P.L. 107-347), December 2002. ' rlinks: - href: https://www.congress.gov/107/plaws/publ347/PLAW-107publ347.pdf - uuid: 55b0c93a-5e48-457a-baa6-5ce81c239c49 title: EO 13526 citation: text: Executive Order 13526, *Classified National Security Information* , December 2009. rlinks: - href: https://www.archives.gov/isoo/policy-documents/cnsi-eo.html - uuid: 34a5571f-e252-4309-a8a1-2fdb2faefbcd title: EO 13556 citation: text: Executive Order 13556, *Controlled Unclassified Information* , November 2010. rlinks: - href: https://obamawhitehouse.archives.gov/the-press-office/2010/11/04/executive-order-13556-controlled-unclassified-information - uuid: 0af071a6-cf8e-48ee-8c82-fe91efa20f94 title: EO 13587 citation: text: Executive Order 13587, *Structural Reforms to Improve the Security of Classified Networks and the Responsible Sharing and Safeguarding of Classified Information* , October 2011. rlinks: - href: https://obamawhitehouse.archives.gov/the-press-office/2011/10/07/executive-order-13587-structural-reforms-improve-security-classified-net - uuid: 3406fdc0-d61c-44a9-a5ca-84180544c83a title: EO 13636 citation: text: Executive Order 13636, *Improving Critical Infrastructure Cybersecurity* , February 2013. rlinks: - href: https://obamawhitehouse.archives.gov/the-press-office/2013/02/12/executive-order-improving-critical-infrastructure-cybersecurity - uuid: 09afa3a7-e564-4c5f-865f-2679049563b0 title: EO 13800 citation: text: Executive Order 13800, *Strengthening the Cybersecurity of Federal Networks and Critical Infrastructure* , May 2017. rlinks: - href: https://www.whitehouse.gov/presidential-actions/presidential-executive-order-strengthening-cybersecurity-federal-networks-critical-infrastructure - 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: 511da9ca-604d-43f7-be41-b862085420a9 title: EVIDACT citation: text: Foundations for Evidence-Based Policymaking Act of 2018 (P.L. 115-435), January 2019. rlinks: - href: https://www.congress.gov/115/plaws/publ435/PLAW-115publ435.pdf - 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: ff989cdc-649d-4f45-8f61-9309c9680933 title: FIPS 196 citation: text: National Institute of Standards and Technology (1997) Standards for Security Categorization of Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 196. rlinks: - href: https://doi.org/10.6028/NIST.FIPS.196 - 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: e9d6c5f2-b3aa-4a28-8bea-a0135718d453 title: FIPS 198-1 citation: text: National Institute of Standards and Technology (2008) Standards for Security Categorization of Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 198-1. rlinks: - href: https://doi.org/10.6028/NIST.FIPS.198-1 - 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: d68867c0-2f21-4193-bef8-300f3270db56 title: FISMA IMP citation: text: Federal Information Security Modernization Act (FISMA) Implementation Project. rlinks: - href: https://nist.gov/RMF - 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: d9b1262c-9ee6-4c3e-846f-3a15f9d7eaa6 title: FOIA96 citation: text: Freedom of Information Act (FOIA), 5 U.S.C. § 552, As Amended By Public Law No. 104-231, 110 Stat. 3048, Electronic Freedom of Information Act Amendments of 1996. rlinks: - href: https://www.govinfo.gov/content/pkg/PLAW-104publ231/pdf/PLAW-104publ231.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: 488d6934-00b2-4252-bf23-1b3c2d71eb13 title: HSPD 7 citation: text: Homeland Security Presidential Directive 7, *Critical Infrastructure Identification, Prioritization, and Protection* , December 2003. rlinks: - href: https://www.dhs.gov/homeland-security-presidential-directive-7 - uuid: 7623635e-1a92-4250-a829-4a5c8a4da2bc title: IETF 4949 citation: text: 'Internet Engineering Task Force (IETF), Request for Comments: 4949, *Internet Security Glossary, Version 2* , August 2007.' rlinks: - href: https://tools.ietf.org/html/rfc4949 - uuid: e4d37285-1e79-4029-8b6a-42df39cace30 title: IETF 5905 citation: text: 'Internet Engineering Task Force (IETF), Request for Comments: 5905, *Network Time Protocol Version 4: Protocol and Algorithms Specification* , June 2010.' rlinks: - href: https://tools.ietf.org/pdf/rfc5905.pdf - uuid: 15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c title: IR 7539 citation: text: Cooper DA, MacGregor WI (2008) Symmetric Key Injection onto Smart Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7539. rlinks: - href: https://doi.org/10.6028/NIST.IR.7539 - uuid: 2be7b163-e50a-435c-8906-f1162f2a457a title: IR 7559 citation: text: Singhal A, Gunestas M, Wijesekera D (2010) Forensics Web Services (FWS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7559. rlinks: - href: https://doi.org/10.6028/NIST.IR.7559 - uuid: e24b06cc-9129-4998-a76a-65c3d7a576ba title: IR 7622 citation: text: Boyens JM, Paulsen C, Bartol N, Shankles S, Moorthy R (2012) Notional Supply Chain Risk Management Practices for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7622. rlinks: - href: https://doi.org/10.6028/NIST.IR.7622 - uuid: 4b38e961-1125-4a5b-aa35-1d6c02846dad title: IR 7676 citation: text: Cooper DA (2010) Maintaining and Using Key History on Personal Identity Verification (PIV) Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7676. rlinks: - href: https://doi.org/10.6028/NIST.IR.7676 - uuid: aa5d04e0-6090-4e17-84d4-b9963d55fc2c title: IR 7788 citation: text: Singhal A, Ou X (2011) Security Risk Analysis of Enterprise Networks Using Probabilistic Attack Graphs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7788. rlinks: - href: https://doi.org/10.6028/NIST.IR.7788 - uuid: 91701292-8bcd-4d2e-a5bd-59ab61e34b3c title: IR 7817 citation: text: Ferraiolo H (2012) A Credential Reliability and Revocation Model for Federated Identities. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7817. rlinks: - href: https://doi.org/10.6028/NIST.IR.7817 - uuid: 4f5f51ac-2b8d-4b90-a3c7-46f56e967617 title: IR 7849 citation: text: Chandramouli R (2014) A Methodology for Developing Authentication Assurance Level Taxonomy for Smart Card-based Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7849. rlinks: - href: https://doi.org/10.6028/NIST.IR.7849 - uuid: 604774da-9e1d-48eb-9c62-4e959dc80737 title: IR 7870 citation: text: Cooper DA (2012) NIST Test Personal Identity Verification (PIV) Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7870. rlinks: - href: https://doi.org/10.6028/NIST.IR.7870 - uuid: 7f473f21-fdbf-4a6c-81a1-0ab95919609d title: IR 7874 citation: text: Hu VC, Scarfone KA (2012) Guidelines for Access Control System Evaluation Metrics. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7874. rlinks: - href: https://doi.org/10.6028/NIST.IR.7874 - uuid: 849b2358-683f-4d97-b111-1cc3d522ded5 title: IR 7956 citation: text: Chandramouli R, Iorga M, Chokhani S (2013) Cryptographic Key Management Issues & Challenges in Cloud Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7956. rlinks: - href: https://doi.org/10.6028/NIST.IR.7956 - uuid: 3915a084-b87b-4f02-83d4-c369e746292f title: IR 7966 citation: text: Ylonen T, Turner P, Scarfone KA, Souppaya MP (2015) Security of Interactive and Automated Access Management Using Secure Shell (SSH). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7966. rlinks: - href: https://doi.org/10.6028/NIST.IR.7966 - uuid: bbac9fc2-df5b-4f2d-bf99-90d0ade45349 title: IR 8011-1 citation: text: 'Dempsey KL, Eavy P, Moore G (2017) Automation Support for Security Control Assessments: Volume 1: Overview. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 1.' rlinks: - href: https://doi.org/10.6028/NIST.IR.8011-1 - uuid: 70402863-5078-43af-9a6c-e11b0f3ec370 title: IR 8011-2 citation: text: 'Dempsey KL, Eavy P, Moore G (2017) Automation Support for Security Control Assessments: Volume 2: Hardware Asset Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 2.' rlinks: - href: https://doi.org/10.6028/NIST.IR.8011-2 - uuid: 996241f8-f692-42d5-91f1-ce8b752e39e6 title: IR 8011-3 citation: text: 'Dempsey KL, Eavy P, Goren N, Moore G (2018) Automation Support for Security Control Assessments: Volume 3: Software Asset Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 3.' rlinks: - href: https://doi.org/10.6028/NIST.IR.8011-3 - uuid: d2ebec9b-f868-4ee1-a2bd-0b2282aed248 title: IR 8011-4 citation: text: 'Dempsey KL, Takamura E, Eavy P, Moore G (2020) Automation Support for Security Control Assessments: Volume 4: Software Vulnerability Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 4.' rlinks: - href: https://doi.org/10.6028/NIST.IR.8011-4 - uuid: 4c501da5-9d79-4cb6-ba80-97260e1ce327 title: IR 8023 citation: text: Dempsey KL, Paulsen C (2015) Risk Management for Replication Devices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8023. rlinks: - href: https://doi.org/10.6028/NIST.IR.8023 - uuid: 81aeb0a3-d0ee-4e44-b842-6bf28d2bd7f5 title: IR 8040 citation: text: Greene KK, Kelsey JM, Franklin JM (2016) Measuring the Usability and Security of Permuted Passwords on Mobile Platforms. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8040. rlinks: - href: https://doi.org/10.6028/NIST.IR.8040 - uuid: 98d415ca-7281-4064-9931-0c366637e324 title: IR 8062 citation: text: Brooks S, Garcia M, Lefkovitz N, Lightman S, Nadeau E (2017) An Introduction to Privacy Engineering and Risk Management in Federal Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8062. rlinks: - href: https://doi.org/10.6028/NIST.IR.8062 - uuid: a2590922-82f3-4277-83c0-ca5bee06dba4 title: IR 8112 citation: text: 'Grassi P, Lefkovitz N, Nadeau E, Galluzzo R, Dinh, A (2018) Attribute Metadata: A Proposed Schema for Evaluating Federated Attributes. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8112.' rlinks: - href: https://doi.org/10.6028/NIST.IR.8112 - uuid: d4296805-2dca-4c63-a95f-eeccaa826aec title: IR 8179 citation: text: 'Paulsen C, Boyens JM, Bartol N, Winkler K (2018) Criticality Analysis Process Model: Prioritizing Systems and Components. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8179.' rlinks: - href: https://doi.org/10.6028/NIST.IR.8179 - uuid: 38ff38f0-1366-4f50-a4c9-26a39aacee16 title: IR 8272 citation: text: Paulsen C, Winkler K, Boyens JM, Ng J, Gimbi J (2020) Impact Analysis Tool for Interdependent Cyber Supply Chain Risks. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8272. rlinks: - href: https://doi.org/10.6028/NIST.IR.8272 - uuid: 0c559766-0df1-468f-a499-3577bb6dfa46 title: ISO 15026-1 citation: text: 'International Organization for Standardization/International Electrotechnical Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) 15026-1:2019, *Systems and software engineering — Systems and software assurance — Part 1: Concepts and vocabulary* , March 2019.' rlinks: - href: https://www.iso.org/standard/73567.html - uuid: 7d8ec7b7-dba0-4a17-981c-c959dbcc6c68 title: ISO 15288 citation: text: International Organization for Standardization/International Electrotechnical Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) 15288:2015, *Systems and software engineering —Systems life cycle processes* , May 2015. rlinks: - href: https://www.iso.org/standard/63711.html - 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: c22d2905-4087-4397-b574-c534b9e808c8 title: ISO 25237 citation: text: International Organization for Standardization/International Electrotechnical Commission 25237:2017, *Health informatics —Pseudonymization* , January 2017. rlinks: - href: https://www.iso.org/standard/63553.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: 094ad8c9-960f-4091-acff-8c99a390f08d title: ISO 29100 citation: text: International Organization for Standardization/International Electrotechnical Commission 29100:2011, *Information technology—Security techniques—Privacy framework* , December 2011. rlinks: - href: https://www.iso.org/standard/45123.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: d1cdab13-4218-400d-91a9-c3818dfa5ec8 title: LAMPSON73 citation: text: B. W. Lampson, *A Note on the Confinement Problem* , Communications of the ACM 16, 10, pp. 613-615, October 1973. rlinks: - href: https://dl.acm.org/doi/10.1145/362375.362389 - 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: aea5026f-e5c5-4256-8293-ffcdc487bcd5 title: NEUM04 citation: text: '*Principled Assuredly Trustworthy Composable Architectures* , P. Neumann, CDRL A001 Final Report, SRI International, December 2004.' rlinks: - href: http://www.csl.sri.com/users/neumann/chats4.pdf - 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: a806de34-70a2-4239-8030-4ab286acc7b8 title: NIST CSF citation: text: National Institute of Standards and Technology (2018) Framework for Improving Critical Infrastructure Cybersecurity, Version 1.1. (National Institute of Standards and Technology, Gaithersburg, MD). rlinks: - href: https://doi.org/10.6028/NIST.CSWP.04162018 - uuid: 956dcbb3-8109-4b6a-9058-ff0b909ec812 title: NIST PF citation: text: 'National Institute of Standards and Technology (2020) Privacy Framework: A Tool for Improving Privacy through Enterprise Risk Management, Version 1.0. (National Institute of Standards and Technology, Gaithersburg, MD).' rlinks: - href: https://doi.org/10.6028/NIST.CSWP.01162020 - uuid: 528135e3-c65b-461a-93d3-46513610f792 title: NITP12 citation: text: Presidential Memorandum for the Heads of Executive Departments and Agencies, *National Insider Threat Policy and Minimum Standards for Executive Branch Insider Threat Programs* , November 2012. rlinks: - href: https://obamawhitehouse.archives.gov/the-press-office/2012/11/21/presidential-memorandum-national-insider-threat-policy-and-minimum-stand - 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: 782a8c6d-39a4-45df-a6db-ad0b9226fa38 title: NVD 800-53 citation: text: 'National Institute of Standards and Technology (2020) *National Vulnerability Database: NIST Special Publication 800-53 [database of controls].* Available at' rlinks: - href: https://nvd.nist.gov/800-53 - 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: 06d74ea9-2178-449c-a9c5-b2980f804ac8 title: ODNI NITP citation: text: 'Office of the Director National Intelligence, *National Insider Threat Policy* ' rlinks: - href: https://www.dni.gov/files/NCSC/documents/nittf/National_Insider_Threat_Policy.pdf - uuid: 3671ff20-c17c-44d6-8a88-7de203fa74aa title: OMB A-108 citation: text: Office of Management and Budget Memorandum Circular A-108, *Federal Agency Responsibilities for Review, Reporting, and Publication under the Privacy Act* , December 2016. rlinks: - href: https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/circulars/A108/omb_circular_a-108.pdf - 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: d229ae60-51dd-4d7b-a8bf-1f7195cc7561 title: OMB M-03-22 citation: text: 'Office of Management and Budget Memorandum M-03-22, *OMB Guidance for Implementing the Privacy Provisions of the E-Government Act of 2002* , September 2003. [https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2003/m03_22.pdf](https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2003/m03_22.pdf) ' rlinks: - href: https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2003/m03_22.pdf - uuid: 047b041a-b4b0-4537-ab2d-2b36283eeda0 title: OMB M-08-05 citation: text: Office of Management and Budget Memorandum M-08-05, *Implementation of Trusted Internet Connections (TIC)* , November 2007. rlinks: - href: https://obamawhitehouse.archives.gov/sites/default/files/omb/assets/omb/memoranda/fy2008/m08-05.pdf - uuid: 206a3284-6a7e-423c-8ea9-25b22542541d title: OMB M-17-06 citation: text: Office of Management and Budget Memorandum M-17-06, *Policies for Federal Agency Public Websites and Digital Services* , November 2016. rlinks: - href: https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2017/m-17-06.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: 81c44706-0227-4258-a920-620a4d259990 title: OMB M-17-25 citation: text: Office of Management and Budget Memorandum M-17-25, *Reporting Guidance for Executive Order on Strengthening the Cybersecurity of Federal Networks and Critical Infrastructure* , May 2017. rlinks: - href: https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2017/M-17-25.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: 227063d4-431e-435f-9e8f-009b6dbc20f4 title: OMB M-19-15 citation: text: Office of Management and Budget Memorandum M-19-15, *Improving Implementation of the Information Quality Act* , April 2019. rlinks: - href: https://www.whitehouse.gov/wp-content/uploads/2019/04/M-19-15.pdf - uuid: d886c141-c832-4ad7-ac6d-4b94f4b550d3 title: OMB M-19-23 citation: text: 'Office of Management and Budget Memorandum M-19-23, *Phase 1 Implementation of the Foundations for Evidence-Based Policymaking Act of 2018: Learning Agendas, Personnel, and Planning Guidance* , July 2019.' rlinks: - href: https://www.whitehouse.gov/wp-content/uploads/2019/07/M-19-23.pdf - uuid: 79453f84-26a4-4995-8257-d32d37aefea3 title: POPEK74 citation: text: G. Popek, *The Principle of Kernel Design* , in 1974 NCC, AFIPS Cong. Proc., Vol. 43, pp. 977-978. rlinks: - href: https://doi.org/10.1145/1500175.1500361 - 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: c9495d6e-ef64-4090-8509-e58c3b9009ff title: SALTZER75 citation: text: J. Saltzer and M. Schroeder, *The Protection of Information in Computer Systems* , in Proceedings of the IEEE 63(9), September 1975, pp. 1278-1308. rlinks: - href: https://ieeexplore.ieee.org/stamp/stamp.jsp?tp=&arnumber=1451869&tag=1 - uuid: 4c0ec2ee-a0d6-428a-9043-4504bc3ade6f title: SP 800-100 citation: text: 'Bowen P, Hash J, Wilson M (2006) Information Security Handbook: A Guide for Managers. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-100, Includes updates as of March 7, 2007.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-100 - uuid: 10cf2fad-a216-41f9-bb1a-531b7e3119e3 title: SP 800-101 citation: text: Ayers RP, Brothers S, Jansen W (2014) Guidelines on Mobile Device Forensics. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-101, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-101r1 - uuid: 22f2d4f0-4365-4e88-a30d-275c1f5473ea title: SP 800-111 citation: text: Scarfone KA, Souppaya MP, Sexton M (2007) Guide to Storage Encryption Technologies for End User Devices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-111. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-111 - uuid: 6bc4d137-aece-42a8-8081-9ecb1ebe9fb4 title: SP 800-113 citation: text: Frankel SE, Hoffman P, Orebaugh AD, Park R (2008) Guide to SSL VPNs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-113. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-113 - uuid: 42e37e51-7cc0-4ffa-81c9-0ac942da7e99 title: SP 800-114 citation: text: Souppaya MP, Scarfone KA (2016) User's Guide to Telework and Bring Your Own Device (BYOD) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-114, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-114r1 - uuid: 122177fa-c4ed-485d-8345-3082c0fb9a06 title: SP 800-115 citation: text: Scarfone KA, Souppaya MP, Cody A, Orebaugh AD (2008) Technical Guide to Information Security Testing and Assessment. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-115. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-115 - uuid: 2100332a-16a5-4598-bacf-7261baea9711 title: SP 800-116 citation: text: Ferraiolo H, Mehta KL, Ghadiali N, Mohler J, Johnson V, Brady S (2018) A Recommendation for the Use of PIV Credentials in Physical Access Control Systems (PACS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-116, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-116r1 - uuid: d17ebd7a-ffab-499d-bfff-e705bbb01fa6 title: SP 800-121 citation: text: Padgette J, Bahr J, Holtmann M, Batra M, Chen L, Smithbey R, Scarfone KA (2017) Guide to Bluetooth Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-121, Rev. 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-121r2 - uuid: 0f66be67-85e7-4ca6-bd19-39453e9f4394 title: SP 800-124 citation: text: Souppaya MP, Scarfone KA (2013) Guidelines for Managing the Security of Mobile Devices in the Enterprise. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-124, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-124r1 - uuid: 88660532-2dcf-442e-845c-03340ce48999 title: SP 800-125B citation: text: Chandramouli R (2016) Secure Virtual Network Configuration for Virtual Machine (VM) Protection. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-125B. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-125B - uuid: 8016d2ed-d30f-4416-9c45-0f42c7aa3232 title: SP 800-126 citation: text: 'Waltermire DA, Quinn SD, Booth H, III, Scarfone KA, Prisaca D (2018) The Technical Specification for the Security Content Automation Protocol (SCAP): SCAP Version 1.3. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-126, Rev. 3.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-126r3 - uuid: 20db4e66-e257-450c-b2e4-2bb9a62a2c88 title: SP 800-128 citation: text: Johnson LA, Dempsey KL, Ross RS, Gupta S, Bailey D (2011) Guide for Security-Focused Configuration Management of Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-128, Includes updates as of October 10, 2019. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-128 - uuid: c7ac44e8-10db-4b64-b2b9-9e32ec1efed0 title: SP 800-12 citation: text: Nieles M, Pillitteri VY, Dempsey KL (2017) An Introduction to Information Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-12, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-12r1 - uuid: 3653e316-8923-430e-8943-b3b2b2562fc6 title: SP 800-130 citation: text: Barker EB, Smid ME, Branstad DK, Chokhani S (2013) A Framework for Designing Cryptographic Key Management Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-130. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-130 - uuid: 62ea77ca-e450-4323-b210-e0d75390e785 title: SP 800-137A citation: text: 'Dempsey KL, Pillitteri VY, Baer C, Niemeyer R, Rudman R, Urban S (2020) Assessing Information Security Continuous Monitoring (ISCM) Programs: Developing an ISCM Program Assessment. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-137A.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-137A - uuid: 067223d8-1ec7-45c5-b21b-c848da6de8fb title: SP 800-137 citation: text: Dempsey KL, Chawla NS, Johnson LA, Johnston R, Jones AC, Orebaugh AD, Scholl MA, Stine KM (2011) Information Security Continuous Monitoring (ISCM) for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-137. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-137 - uuid: e47ee630-9cbc-4133-880e-e013f83ccd51 title: SP 800-147 citation: text: Cooper DA, Polk T, Regenscheid AR, Souppaya MP (2011) BIOS Protection Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-147. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-147 - uuid: 9ef4b43c-42a4-4316-87dc-ffaf528bc05c title: SP 800-150 citation: text: Johnson CS, Waltermire DA, Badger ML, Skorupka C, Snyder J (2016) Guide to Cyber Threat Information Sharing. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-150. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-150 - uuid: 2494df28-9049-4196-b233-540e7440993f title: SP 800-152 citation: text: Barker EB, Branstad DK, Smid ME (2015) A Profile for U.S. Federal Cryptographic Key Management Systems (CKMS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-152. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-152 - uuid: 708b94e1-3d5e-4b22-ab43-1c69f3a97e37 title: SP 800-154 citation: text: Souppaya MP, Scarfone KA (2016) Guide to Data-Centric System Threat Modeling. (National Institute of Standards and Technology, Gaithersburg, MD), Draft NIST Special Publication (SP) 800-154. rlinks: - href: https://csrc.nist.gov/publications/detail/sp/800-154/draft - uuid: d9e036ba-6eec-46a6-9340-b0bf1fea23b4 title: SP 800-156 citation: text: Ferraiolo H, Chandramouli R, Mehta KL, Mohler J, Skordinski S, Brady S (2016) Representation of PIV Chain-of-Trust for Import and Export. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-156. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-156 - uuid: e3cc0520-a366-4fc9-abc2-5272db7e3564 title: SP 800-160-1 citation: text: 'Ross RS, Oren JC, McEvilley M (2016) Systems Security Engineering: Considerations for a Multidisciplinary Approach in the Engineering of Trustworthy Secure Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 1, Includes updates as of March 21, 2018.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-160v1 - uuid: 61ccf0f4-d3e7-42db-9796-ce6cb1c85989 title: SP 800-160-2 citation: text: 'Ross RS, Pillitteri VY, Graubart R, Bodeau D, McQuaid R (2019) Developing Cyber Resilient Systems: A Systems Security Engineering Approach. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 2.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-160v2 - uuid: e8e84963-14fc-4c3a-be05-b412a5d37cd2 title: SP 800-161 citation: text: Boyens JM, Paulsen C, Moorthy R, Bartol N (2015) Supply Chain Risk Management Practices for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-161. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-161 - uuid: 2956e175-f674-43f4-b1b9-e074ad9fc39c title: SP 800-162 citation: text: Hu VC, Ferraiolo DF, Kuhn R, Schnitzer A, Sandlin K, Miller R, Scarfone KA (2014) Guide to Attribute Based Access Control (ABAC) Definition and Considerations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-162, Includes updates as of August 2, 2019. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-162 - uuid: e8552d48-cf41-40aa-8b06-f45f7fb4706c title: SP 800-166 citation: text: Cooper DA, Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Brady S (2016) Derived PIV Application and Data Model Test Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-166. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-166 - uuid: 38f39739-1ebd-43b1-8b8c-00f591d89ebd title: SP 800-167 citation: text: Sedgewick A, Souppaya MP, Scarfone KA (2015) Guide to Application Whitelisting. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-167. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-167 - uuid: 7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849 title: SP 800-171 citation: text: Ross RS, Pillitteri VY, Dempsey KL, Riddle M, Guissanie G (2020) Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-171, Rev. 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-171r2 - uuid: f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e title: SP 800-172 citation: text: 'Ross RS, Pillitteri VY, Graubart RD, Guissanie G, Wagner R, Bodeau D (2020) Enhanced Security Requirements for Protecting Controlled Unclassified Information: A Supplement to NIST Special Publication 800-171 (Final Public Draft). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-172.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-172-draft - uuid: 1c71b420-2bd9-4e52-9fc8-390f58b85b59 title: SP 800-177 citation: text: Rose SW, Nightingale S, Garfinkel SL, Chandramouli R (2019) Trustworthy Email. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-177, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-177r1 - uuid: 388a3aa2-5d85-4bad-b8a3-77db80d63c4f title: SP 800-178 citation: text: 'Ferraiolo DF, Hu VC, Kuhn R, Chandramouli R (2016) A Comparison of Attribute Based Access Control (ABAC) Standards for Data Service Applications: Extensible Access Control Markup Language (XACML) and Next Generation Access Control (NGAC). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-178.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-178 - uuid: 276bd50a-7e58-48e5-a405-8c8cb91d7a5f title: SP 800-181 citation: text: Petersen R, Santos D, Smith MC, Wetzel KA, Witte G (2020) Workforce Framework for Cybersecurity (NICE Framework). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-181, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-181r1 - uuid: 31ae65ab-3f26-46b7-9d64-f25a4dac5778 title: SP 800-184 citation: text: Bartock M, Scarfone KA, Smith MC, Witte GA, Cichonski JA, Souppaya MP (2016) Guide for Cybersecurity Event Recovery. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-184. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-184 - uuid: c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2 title: SP 800-188 citation: text: Garfinkel S (2016) De-Identifying Government Datasets. (National Institute of Standards and Technology, Gaithersburg, MD), Second Draft NIST Special Publication (SP) 800-188. rlinks: - href: https://csrc.nist.gov/publications/detail/sp/800-188/draft - uuid: f5edfe51-d1f2-422e-9b27-5d0e90b49c72 title: SP 800-189 citation: text: 'Sriram K, Montgomery D (2019) Resilient Interdomain Traffic Exchange: BGP Security and DDoS Mitigation. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-189.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-189 - uuid: 30eb758a-2707-4bca-90ad-949a74d4eb16 title: SP 800-18 citation: text: Swanson MA, Hash J, Bowen P (2006) Guide for Developing Security Plans for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-18, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-18r1 - uuid: 53df282b-8b3f-483a-bad1-6a8b8ac00114 title: SP 800-192 citation: text: Yaga DJ, Kuhn R, Hu VC (2017) Verification and Test Methods for Access Control Policies/Models. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-192. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-192 - uuid: f641309f-a3ad-48be-8c67-2b318648b2f5 title: SP 800-28 citation: text: Jansen W, Winograd T, Scarfone KA (2008) Guidelines on Active Content and Mobile Code. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-28, Version 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-28ver2 - uuid: 08b07465-dbdc-48d6-8a0b-37279602ac16 title: SP 800-30 citation: text: Joint Task Force Transformation Initiative (2012) Guide for Conducting Risk Assessments. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-30, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-30r1 - uuid: 8cb338a4-e493-4177-818f-3af18983ddc5 title: SP 800-32 citation: text: Kuhn R, Hu VC, Polk T, Chang S-J (2001) Introduction to Public Key Technology and the Federal PKI Infrastructure. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-32. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-32 - uuid: bc39f179-c735-4da2-b7a7-b2b622119755 title: SP 800-34 citation: text: Swanson MA, Bowen P, Phillips AW, Gallup D, Lynes D (2010) Contingency Planning Guide for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-34, Rev. 1, Includes updates as of November 11, 2010. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-34r1 - uuid: 77faf0bc-c394-44ad-9154-bbac3b79c8ad title: SP 800-35 citation: text: Grance T, Hash J, Stevens M, O'Neal K, Bartol N (2003) Guide to Information Technology Security Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-35. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-35 - uuid: 482e4c99-9dc4-41ad-bba8-0f3f0032c1f8 title: SP 800-37 citation: text: 'Joint Task Force (2018) Risk Management Framework for Information Systems and Organizations: A System Life Cycle Approach for Security and Privacy. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-37, Rev. 2.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-37r2 - uuid: cec037f3-8aba-4c97-84b4-4082f9e515d2 title: SP 800-39 citation: text: 'Joint Task Force Transformation Initiative (2011) Managing Information Security Risk: Organization, Mission, and Information System View. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-39.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-39 - uuid: 155f941a-cba9-4afd-9ca6-5d040d697ba9 title: SP 800-40 citation: text: Souppaya MP, Scarfone KA (2013) Guide to Enterprise Patch Management Technologies. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-40, Rev. 3. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-40r3 - uuid: a7f0e897-29a3-45c4-bd88-40dfef0e034a title: SP 800-41 citation: text: Scarfone KA, Hoffman P (2009) Guidelines on Firewalls and Firewall Policy. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-41, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-41r1 - uuid: 314e33cb-3681-4b50-a2a2-3fae9604accd title: SP 800-45 citation: text: Tracy MC, Jansen W, Scarfone KA, Butterfield J (2007) Guidelines on Electronic Mail Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-45, Version 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-45ver2 - uuid: 83b9d63b-66b1-467c-9f3b-3a0b108771e9 title: SP 800-46 citation: text: Souppaya MP, Scarfone KA (2016) Guide to Enterprise Telework, Remote Access, and Bring Your Own Device (BYOD) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-46, Rev. 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-46r2 - uuid: c3a76872-e160-4267-99e8-6952de967d04 title: SP 800-47 citation: text: Grance T, Hash J, Peck S, Smith J, Korow-Diks K (2002) Security Guide for Interconnecting Information Technology Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-47. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-47 - uuid: 511f6832-23ca-49a3-8c0f-ce493373cab8 title: SP 800-50 citation: text: Wilson M, Hash J (2003) Building an Information Technology Security Awareness and Training Program. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-50. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-50 - uuid: 7537638e-2837-407d-844b-40fb3fafdd99 title: SP 800-52 citation: text: McKay KA, Cooper DA (2019) Guidelines for the Selection, Configuration, and Use of Transport Layer Security (TLS) Implementations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-52, Rev. 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-52r2 - uuid: 4e0d3c99-0f4e-496f-8951-d4f57c122fc2 title: SP 800-53 RES citation: text: NIST Special Publication 800-53, Revision 5 Resource Center. rlinks: - href: https://csrc.nist.gov/publications/detail/sp/800-53/rev-5/final - 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: 7798067b-4ed0-4adc-a505-79dad4741693 title: SP 800-55 citation: text: Chew E, Swanson MA, Stine KM, Bartol N, Brown A, Robinson W (2008) Performance Measurement Guide for Information Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-55, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-55r1 - uuid: 20957dbb-6a1e-40a2-b38a-66f67d33ac2e title: SP 800-56A citation: text: Barker EB, Chen L, Roginsky A, Vassilev A, Davis R (2018) Recommendation for Pair-Wise Key-Establishment Schemes Using Discrete Logarithm Cryptography. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56A, Rev. 3. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-56Ar3 - uuid: 0d083d8a-5cc6-46f1-8d79-3081d42bcb75 title: SP 800-56B citation: text: Barker EB, Chen L, Roginsky A, Vassilev A, Davis R, Simon S (2019) Recommendation for Pair-Wise Key-Establishment Using Integer Factorization Cryptography. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56B, Rev. 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-56Br2 - uuid: eef62b16-c796-4554-955c-505824135b8a title: SP 800-56C citation: text: Barker EB, Chen L, Davis R (2020) Recommendation for Key-Derivation Methods in Key-Establishment Schemes. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56C, Rev. 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-56Cr2 - uuid: 110e26af-4765-49e1-8740-6750f83fcda1 title: SP 800-57-1 citation: text: 'Barker EB (2020) Recommendation for Key Management: Part 1 – General. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 1, Rev. 5.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-57pt1r5 - uuid: e7942589-e267-4a5a-a3d9-f39a7aae81f0 title: SP 800-57-2 citation: text: 'Barker EB, Barker WC (2019) Recommendation for Key Management: Part 2 – Best Practices for Key Management Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 2, Rev. 1.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-57pt2r1 - uuid: 8306620b-1920-4d73-8b21-12008528595f title: SP 800-57-3 citation: text: 'Barker EB, Dang QH (2015) Recommendation for Key Management, Part 3: Application-Specific Key Management Guidance. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 3, Rev. 1.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-57pt3r1 - uuid: e72fde0b-6fc2-497e-a9db-d8fce5a11b8a title: SP 800-60-1 citation: text: Stine KM, Kissel RL, Barker WC, Fahlsing J, Gulick J (2008) Guide for Mapping Types of Information and Information Systems to Security Categories. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-60, Vol. 1, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-60v1r1 - uuid: 9be5d661-421f-41ad-854e-86f98b811891 title: SP 800-60-2 citation: text: 'Stine KM, Kissel RL, Barker WC, Lee A, Fahlsing J (2008) Guide for Mapping Types of Information and Information Systems to Security Categories: Appendices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-60, Vol. 2, Rev. 1.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-60v2r1 - uuid: 49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb title: SP 800-61 citation: text: Cichonski PR, Millar T, Grance T, Scarfone KA (2012) Computer Security Incident Handling Guide. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-61, Rev. 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-61r2 - uuid: 737513fa-6758-403f-831d-5ddab5e23cb3 title: SP 800-63-3 citation: text: Grassi PA, Garcia ME, Fenton JL (2017) Digital Identity Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63-3, Includes updates as of March 2, 2020. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-63-3 - uuid: 9099ed2c-922a-493d-bcb4-d896192243ff title: SP 800-63A citation: text: 'Grassi PA, Fenton JL, Lefkovitz NB, Danker JM, Choong Y-Y, Greene KK, Theofanos MF (2017) Digital Identity Guidelines: Enrollment and Identity Proofing. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63A, Includes updates as of March 2, 2020.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-63a - uuid: e59c5a7c-8b1f-49ca-8de0-6ee0882180ce title: SP 800-63B citation: text: 'Grassi PA, Fenton JL, Newton EM, Perlner RA, Regenscheid AR, Burr WE, Richer, JP, Lefkovitz NB, Danker JM, Choong Y-Y, Greene KK, Theofanos MF (2017) Digital Identity Guidelines: Authentication and Lifecycle Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63B, Includes updates as of March 2, 2020.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-63b - uuid: 4895b4cd-34c5-4667-bf8a-27d443c12047 title: SP 800-70 citation: text: 'Quinn SD, Souppaya MP, Cook MR, Scarfone KA (2018) National Checklist Program for IT Products: Guidelines for Checklist Users and Developers. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-70, Rev. 4.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-70r4 - uuid: 858705be-3c1f-48aa-a328-0ce398d95ef0 title: SP 800-73-4 citation: text: Cooper DA, Ferraiolo H, Mehta KL, Francomacaro S, Chandramouli R, Mohler J (2015) Interfaces for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-73-4, Includes updates as of February 8, 2016. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-73-4 - uuid: 7af2e6ec-9f7e-4232-ad3f-09888eb0793a title: SP 800-76-2 citation: text: Grother PJ, Salamon WJ, Chandramouli R (2013) Biometric Specifications for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-76-2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-76-2 - uuid: d4d7c760-2907-403b-8b2a-767ca5370ecd title: SP 800-77 citation: text: Barker EB, Dang QH, Frankel SE, Scarfone KA, Wouters P (2020) Guide to IPsec VPNs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-77, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-77r1 - uuid: 828856bd-d7c4-427b-8b51-815517ec382d title: SP 800-78-4 citation: text: Polk T, Dodson DF, Burr WE, Ferraiolo H, Cooper DA (2015) Cryptographic Algorithms and Key Sizes for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-78-4. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-78-4 - uuid: 10963761-58fc-4b20-b3d6-b44a54daba03 title: SP 800-79-2 citation: text: Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Shorter S (2015) Guidelines for the Authorization of Personal Identity Verification Card Issuers (PCI) and Derived PIV Credential Issuers (DPCI). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-79-2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-79-2 - uuid: fe209006-bfd4-4033-a79a-9fee1adaf372 title: SP 800-81-2 citation: text: Chandramouli R, Rose SW (2013) Secure Domain Name System (DNS) Deployment Guide. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-81-2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-81-2 - uuid: 6264c85d-19f5-408a-aa44-d737daaf311e title: SP 800-82 citation: text: Stouffer KA, Lightman S, Pillitteri VY, Abrams M, Hahn A (2015) Guide to Industrial Control Systems (ICS) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-82, Rev. 2. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-82r2 - uuid: 3dd249b0-f57d-44ba-a03e-c3eab1b835ff title: SP 800-83 citation: text: Souppaya MP, Scarfone KA (2013) Guide to Malware Incident Prevention and Handling for Desktops and Laptops. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-83, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-83r1 - uuid: 53be2fcf-cfd1-4bcb-896b-9a3b65c22098 title: SP 800-84 citation: text: Grance T, Nolan T, Burke K, Dudley R, White G, Good T (2006) Guide to Test, Training, and Exercise Programs for IT Plans and Capabilities. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-84. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-84 - uuid: cfdb1858-c473-46b3-89f9-a700308d0be2 title: SP 800-86 citation: text: Kent K, Chevalier S, Grance T, Dang H (2006) Guide to Integrating Forensic Techniques into Incident Response. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-86. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-86 - uuid: a5b1d18d-e670-4586-9e6d-4a88b7ba3df6 title: SP 800-88 citation: text: Kissel RL, Regenscheid AR, Scholl MA, Stine KM (2014) Guidelines for Media Sanitization. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-88, Rev. 1. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-88r1 - uuid: 5eee45d8-3313-4fdc-8d54-1742092bbdd6 title: SP 800-92 citation: text: Kent K, Souppaya MP (2006) Guide to Computer Security Log Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-92. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-92 - uuid: 25e3e57b-dc2f-4934-af9b-050b020c6f0e title: SP 800-94 citation: text: Scarfone KA, Mell PM (2007) Guide to Intrusion Detection and Prevention Systems (IDPS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-94. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-94 - uuid: a6b9907a-2a14-4bb4-a142-d4c73026a8b4 title: SP 800-95 citation: text: Singhal A, Winograd T, Scarfone KA (2007) Guide to Secure Web Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-95. rlinks: - href: https://doi.org/10.6028/NIST.SP.800-95 - uuid: 03fb73bc-1b12-4182-bd96-e5719254ea61 title: SP 800-97 citation: text: 'Frankel SE, Eydt B, Owens L, Scarfone KA (2007) Establishing Wireless Robust Security Networks: A Guide to IEEE 802.11i. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-97.' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-97 - uuid: 13f0c39d-eaf7-417a-baef-69a041878bb5 title: USA PATRIOT citation: text: USA Patriot Act (P.L. 107-56), October 2001. rlinks: - href: https://www.congress.gov/107/plaws/publ56/PLAW-107publ56.pdf - uuid: dd1a42a3-20c0-43ba-bbdb-6ea3624f1d38 title: USC 11101 citation: text: '"Definitions," Title 40 U.S. Code, Sec. 11101. 2018 ed.' rlinks: - href: https://www.govinfo.gov/app/details/USCODE-2018-title40/USCODE-2018-title40-subtitleIII-chap111-sec11101 - 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: 82460f0b-1060-420e-9181-554e2dc921df title: USC 3502 citation: text: '"Definitions," Title 44 U.S. Code, Sec. 3502. 2011 ed.' rlinks: - href: https://www.govinfo.gov/app/details/USCODE-2011-title44/USCODE-2011-title44-chap35-subchapI-sec3502 - uuid: ef3550b5-60a0-4489-8d4e-08223a929c7a title: USC 552 citation: text: United States Code, 2006 Edition, Supplement 4, Title 5 - *Government Organization and Employees* , January 2011. rlinks: - href: https://www.govinfo.gov/content/pkg/USCODE-2010-title5/pdf/USCODE-2010-title5-partI-chap5-subchapII-sec552a.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: d68867c0-2f21-4193-bef8-300f32701016 title: 'Cybersecurity and Privacy Reference Tool: *Security and Privacy Controls for Information Systems and Organizations, 5.1.1*' rlinks: - href: https://csrc.nist.gov/projects/cprt/catalog#/cprt/framework/version/SP_800_53_5_1_1/home - 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 - uuid: f7cf488d-bc64-4a91-a994-810e153ee481 title: 'NIST Special Publication 800-53, Revision 5: * Security and Privacy Controls for Information Systems and Organizations* (DOI link)' rlinks: - href: https://doi.org/10.6028/NIST.SP.800-53r5 media-type: application/pdf - uuid: 5a5ffcb9-2272-484e-8d47-4483a0585dec title: NIST SP 800-53 content and other OSCAL content examples rlinks: - href: https://github.com/usnistgov/oscal-content/releases/tag/v1.1.0 - uuid: 1f2fcda3-408f-422c-aecd-b1717c3f7843 title: NIST SP 800-53 Rev 5.1.1 content and other OSCAL content examples rlinks: - href: https://github.com/usnistgov/oscal-content/releases/tag/v1.2.0 - uuid: 9a0dc8cb-d398-4635-a7ec-dcbdef1d2113 title: NIST SP 800-53 Rev 5.1.1 content (with minor errors fixed) and other OSCAL content examples rlinks: - href: https://github.com/usnistgov/oscal-content/releases/tag/v1.2.1