NIST SP 800-53r3 Appendix F

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APPENDIX F

SECURITY CONTROL CATALOG

SECURITY CONTROLS, ENHANCEMENTS, AND SUPPLEMENTAL GUIDANCE

The catalog of security controls in this appendix provides a range of safeguards and countermeasures for organizations and information systems. The organization of the security control catalog, the structure of the controls, and the concept of allocating security controls and control enhancements to the initial baselines in Appendix D are described in Chapter Two. The security controls in the catalog are expected to change over time, as controls are withdrawn, revised and added. In order to maintain stability in security plans and automated tools supporting the implementation of NIST Special Publication 800-53, security controls and control enhancements will not be renumbered each time a control or enhancement is withdrawn. Notations of security controls and controls enhancements that have been withdrawn will be maintained in the catalog for historical purposes.

About the Catalog

Security controls and control enhancements in Appendices F and G are generally designed to be policy-neutral and technology/implementation independent. Additional information about security controls and control enhancements can be provided in two ways:
  • By establishing specific values in the variable sections of selected security controls (i.e., assignment and selection statements); and
  • By specifying security control implementation detail (e.g., platform dependencies) in the associated security plan for the information system or security program plan for the organization.

Assignment and selection statements provide organizations with the capability to specialize security controls and control enhancements based on organizational security requirements and/or requirements originating in federal laws, Executive Orders, directives, policies, regulations, standards, or guidelines. Security control enhancements are used to strengthen or broaden the fundamental security capability described in the base control and are not used as a substitute for using assignment or selection statements to add greater specificity to the control. The first security control in each family (a.k.a. the dash one control) generates the requirement for policy and procedures that are needed for the effective implementation of the other security controls and control enhancements in the family. Therefore, the individual controls/enhancements in the family typically do not call for the development of such policy and procedures.

Security controls and control enhancements are employed in federal information systems in accordance with the risk management guidance provided in NIST Special Publication 800-39 as summarized in Chapter Three of this publication. This guidance includes selecting baseline security controls (see Appendix D) in accordance with the FIPS 199 security category of the information system and the FIPS 200 system impact level, and subsequently tailoring the baseline. The tailored security control baseline represents the minimum controls for low-impact, moderate-impact, and high-impact information systems, respectively. There are additional security controls and control enhancements that appear in the catalog that are not used in any of the baselines. These additional controls and control enhancements are available to organizations and can be used in supplementing the tailored baselines to achieve the needed level of protection in accordance with an organizational assessment of risk. Moreover, security controls and control enhancements contained in higher-level baselines can also be used in lower-level baselines, if deemed appropriate, to provide additional protection measures.

Beginning with NIST Special Publication 800-53, Revision 3, the supplemental guidance sections for security controls and control enhancements contain no requirements or references to FIPS or NIST Special Publications. NIST publications are included in a new References section that has been added to the general description and content of the security control specification. In addition, minimum and maximum values (e.g., testing contingency plans at least annually) have been removed from the assignment statements in security controls. Organizations should consult specific federal laws, Executive Orders, directives, policies, regulations, standards, or guidelines as the definitive sources for such information. Removal of minimum and maximum values from the security controls does not obviate the need of organizations to comply with requirements in the controlling source publications.

Finally, in support of the Joint Task Force Transformation Initiative to develop a unified information security framework for the federal government, security controls for national security systems are included in the security control catalog. The inclusion of these security controls is not intended to impose security requirements on organizations that operate national security systems; rather, the controls are available to use on a voluntary basis with the approval of appropriate federal officials exercising policy authority over such systems. In addition, the security control priorities and security control baselines listed in Appendix D and in the priority and baseline allocation summary boxes below each security control in Appendix F, apply to nonnational security systems only unless otherwise directed by the aforementioned federal officials with national security policy authority.



ACCESS CONTROL

FAMILY: ACCESS CONTROL CLASS: TECHNICAL

AC-1 ACCESS CONTROL POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. A formal, documented access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the access control policy and associated access controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the access control family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The access control policy can be included as part of the general information security policy for the organization. Access control procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the access control policy. Related control: PM-9.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1 LOW AC-1 MOD AC-1 HIGH AC-1


AC-2 ACCOUNT MANAGEMENT

Control: The organization manages information system accounts, including:
a. Identifying account types (i.e., individual, group, system, application, guest/anonymous, and temporary);
b. Establishing conditions for group membership;
c. Identifying authorized users of the information system and specifying access privileges;
d. Requiring appropriate approvals for requests to establish accounts;
e. Establishing, activating, modifying, disabling, and removing accounts;
f. Specifically authorizing and monitoring the use of guest/anonymous and temporary accounts;
g. Notifying account managers when temporary accounts are no longer required and when information system users are terminated, transferred, or information system usage or need-to-know/need-to-share changes;
h. Deactivating: (i) temporary accounts that are no longer required; and (ii) accounts of terminated or transferred users;
i. Granting access to the system based on: (i) a valid access authorization; (ii) intended system usage; and (iii) other attributes as required by the organization or associated missions/business functions; and
j. Reviewing accounts [Assignment: organization-defined frequency].
Supplemental Guidance: The identification of authorized users of the information system and the specification of access privileges is consistent with the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by organizational officials responsible for approving such accounts and privileged access. Related controls: AC-3, AC-4, AC-5, AC-6, AC-10, AC-17, AC-19, AC-20, AU-9, IA-4, IA-5, CM-5, CM-6, MA-3, MA-4, MA-5, SA-7, SC-13, SI-9.
Control Enhancements:
(1) The organization employs automated mechanisms to support the management of information system accounts.
(2) The information system automatically terminates temporary and emergency accounts after [Assignment: organization-defined time period for each type of account].
(3) The information system automatically disables inactive accounts after [Assignment: organization-defined time period].
(4) The information system automatically audits account creation, modification, disabling, and termination actions and notifies, as required, appropriate individuals.
(5) The organization:
(a) Requires that users log out when [Assignment: organization defined time-period of expected inactivity and/or description of when to log out];
(b) Determines normal time-of-day and duration usage for information system accounts;
(c) Monitors for atypical usage of information system accounts; and
(d) Reports atypical usage to designated organizational officials.
(6) The information system dynamically manages user privileges and associated access authorizations.
Enhancement Supplemental Guidance: In contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, many service-oriented architecture implementations rely on run time access control decisions facilitated by dynamic privilege management. While user identities remain relatively constant over time, user privileges may change more frequently based on the ongoing mission/business requirements and operational needs of the organization.
(7) The organization:
(a) Establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes information system and network privileges into roles; and
(b) Tracks and monitors privileged role assignments.
Enhancement Supplemental Guidance: Privileged roles include, for example, key management, network and system administration, database administration, web administration.
References: None.
Priority and Baseline Allocation:
P1 LOW AC-2 MOD AC-2 (1) (2) (3) (4) HIGH AC-2 (1) (2) (3) (4)


AC-3 ACCESS ENFORCEMENT

Control: The information system enforces approved authorizations for logical access to the system in accordance with applicable policy.
Supplemental Guidance: Access control policies (e.g., identity-based policies, role-based policies, attribute-based policies) and access enforcement mechanisms (e.g., access control lists, access control matrices, cryptography) are employed by organizations to control access between users (or processes acting on behalf of users) and objects (e.g., devices, files, records, processes, programs, domains) in the information system. In addition to enforcing authorized access at the information-system level, access enforcement mechanisms are employed at the application level, when necessary, to provide increased information security for the organization. Consideration is given to the implementation of an audited, explicit override of automated mechanisms in the event of emergencies or other serious events. If encryption of stored information is employed as an access enforcement mechanism, the cryptography used is FIPS 140-2 (as amended) compliant. For classified information, the cryptography used is largely dependent on the classification level of the information and the clearances of the individuals having access to the information. Mechanisms implemented by AC-3 are configured to enforce authorizations determined by other security controls. Related controls: AC-2, AC-4, AC-5, AC-6, AC-16, AC-17, AC-18, AC-19, AC-20, AC-21, AC-22, AU-9, CM-5, CM-6, MA-3, MA-4, MA-5, SA-7, SC-13, SI-9.
Control Enhancements:
(1) [Withdrawn: Incorporated into AC-6].
(2) The information system enforces dual authorization, based on organizational policies and procedures for [Assignment: organization-defined privileged commands].
Enhancement Supplemental Guidance: Dual authorization mechanisms require two forms of approval to execute. The organization does not employ dual authorization mechanisms when an immediate response is necessary to ensure public and environmental safety.
(3) The information system enforces [Assignment: organization-defined nondiscretionary access control policies] over [Assignment: organization-defined set of users and resources] where the policy rule set for each policy specifies:
(a) Access control information (i.e., attributes) employed by the policy rule set (e.g., position, nationality, age, project, time of day); and
(b) Required relationships among the access control information to permit access.
Enhancement Supplemental Guidance: Nondiscretionary access control policies that may be implemented by organizations include, for example, Attribute-Based Access Control, Mandatory Access Control, and Originator Controlled Access Control. Nondiscretionary access control policies may be employed by organizations in addition to the employment of discretionary access control policies.
For Mandatory Access Control (MAC): Policy establishes coverage over all subjects and objects under its control to ensure that each user receives only that information to which the user is authorized access based on classification of the information, and on user clearance and formal access authorization. The information system assigns appropriate security attributes (e.g., labels/security domains/types) to subjects and objects, and uses these attributes as the basis for MAC decisions. The Bell-LaPadula security model defines allowed access with regard to an organization-defined set of strictly hierarchical security levels as follows: A subject can read an object only if the security level of the subject dominates the security level of the object and a subject can write to an object only if two conditions are met: the security level of the object dominates the security level of the subject, and the security level of the user's clearance dominates the security level of the object (no read up, no write down).
For Role-Based Access Control (RBAC): Policy establishes coverage over all users and resources to ensure that access rights are grouped by role name, and access to resources is restricted to users who have been authorized to assume the associated role.
(4) The information system enforces a Discretionary Access Control (DAC) policy that:
(a) Allows users to specify and control sharing by named individuals or groups of individuals, or by both;
(b) Limits propagation of access rights; and
(c) Includes or excludes access to the granularity of a single user.
(5) The information system prevents access to [Assignment: organization-defined security-relevant information] except during secure, nonoperable system states.
Enhancement Supplemental Guidance: Security-relevant information is any information within the information system that can potentially impact the operation of security functions in a manner that could result in failure to enforce the system security policy or maintain isolation of code and data. Filtering rules for routers and firewalls, cryptographic key management information, key configuration parameters for security services, and access control lists are examples of security-relevant information. Secure, nonoperable system states are states in which the information system is not performing mission/business-related processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shutdown).
(6) The organization encrypts or stores off-line in a secure location [Assignment: organization-defined user and/or system information].
Enhancement Supplemental Guidance: The use of encryption by the organization reduces the probability of unauthorized disclosure of information and can also detect unauthorized changes to information. Removing information from online storage to offline storage eliminates the possibility of individuals gaining unauthorized access via a network. Related control: MP-4.
References: None.
Priority and Baseline Allocation:
P1 LOW AC-3 MOD AC-3 HIGH AC-3


AC-4 INFORMATION FLOW ENFORCEMENT

Control: The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems in accordance with applicable policy.
Supplemental Guidance: Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. A few examples of flow control restrictions include: keeping export controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, and not passing any web requests to the Internet that are not from the internal web proxy. Information flow control policies and enforcement mechanisms are commonly employed by organizations to control the flow of information between designated sources and destinations (e.g., networks, individuals, devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Specific examples of flow control enforcement can be found in boundary protection devices (e.g., proxies, gateways, guards, encrypted tunnels, firewalls, and routers) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on content (e.g., using key word searches or document characteristics). Mechanisms implemented by AC-4 are configured to enforce authorizations determined by other security controls. Related controls: AC-17, AC-19, AC-21, CM-7, SA-8, SC-2, SC-5, SC-7, SC-18.
Control Enhancements:
(1) The information system enforces information flow control using explicit security attributes on information, source, and destination objects as a basis for flow control decisions.
Enhancement Supplemental Guidance: Information flow enforcement mechanisms compare security attributes on all information (data content and data structure), source and destination objects, and respond appropriately (e.g., block, quarantine, alert administrator) when the mechanisms encounter information flows not explicitly allowed by the information flow policy. Information flow enforcement using explicit security attributes can be used, for example, to control the release of certain types of information.
(2) The information system enforces information flow control using protected processing domains (e.g., domain type-enforcement) as a basis for flow control decisions.
(3) The information system enforces dynamic information flow control based on policy that allows or disallows information flows based on changing conditions or operational considerations.
(4) The information system prevents encrypted data from bypassing content-checking mechanisms.
(5) The information system enforces [Assignment: organization-defined limitations on the embedding of data types within other data types].
(6) The information system enforces information flow control on metadata.
(7) The information system enforces [Assignment: organization-defined one-way flows] using hardware mechanisms.
(8) The information system enforces information flow control using [Assignment: organization-defined security policy filters] as a basis for flow control decisions.
Enhancement Supplemental Guidance: Organization-defined security policy filters include, for example, dirty word filters, file type checking filters, structured data filters, unstructured data filters, metadata content filters, and hidden content filters. Structured data permits the interpretation of its content by virtue of atomic elements that are understandable by an application and indivisible. Unstructured data refers to masses of (usually) digital information that does not have a data structure or has a data structure that is not easily readable by a machine. Unstructured data consists of two basic categories: (i) bitmap objects that are inherently non language-based (i.e., image, video, or audio files); and (ii) textual objects that are based on a written or printed language (i.e., commercial off-the-shelf word processing documents, spreadsheets, or emails).
(9) The information system enforces the use of human review for [Assignment: organization-defined security policy filters] when the system is not capable of making an information flow control decision.
(10) The information system provides the capability for a privileged administrator to enable/disable [Assignment: organization-defined security policy filters].
(11) The information system provides the capability for a privileged administrator to configure [Assignment: organization-defined security policy filters] to support different security policies.
Enhancement Supplemental Guidance: For example, to reflect changes in the security policy, an administrator can change the list of "dirty words" that the security policy mechanism checks in accordance with the definitions provided by the organization.
(12) The information system, when transferring information between different security domains, identifies information flows by data type specification and usage.
Enhancement Supplemental Guidance: Data type specification and usage include, for example, using file naming to reflect type of data and limiting data transfer based on file type.
(13) The information system, when transferring information between different security domains, decomposes information into policy-relevant subcomponents for submission to policy enforcement mechanisms.
Enhancement Supplemental Guidance: Policy enforcement mechanisms include the filtering and/or sanitization rules that are applied to information prior to transfer to a different security domain. Parsing transfer files facilitates policy decisions on source, destination, certificates, classification, subject, attachments, and other information security-related component differentiators. Policy rules for cross domain transfers include, for example, limitations on embedding components/information types within other components/information types, prohibiting more than two-levels of embedding, and prohibiting the transfer of archived information types.
(14) The information system, when transferring information between different security domains, implements policy filters that constrain data structure and content to [Assignment: organization-defined information security policy requirements].
Enhancement Supplemental Guidance: Constraining file lengths, allowed enumerations, character sets, schemas, and other data object attributes reduces the range of potential malicious and/or unsanctioned content. Examples of constraints include ensuring that: (i) character data fields only contain printable ASCII; (ii) character data fields only contain alpha-numeric characters; (iii) character data fields do not contain special characters; or (iv) maximum field sizes and file lengths are enforced based upon organization-defined security policy.
(15) The information system, when transferring information between different security domains, detects unsanctioned information and prohibits the transfer of such information in accordance with the security policy.
Enhancement Supplemental Guidance: Actions to support this enhancement include: checking all transferred information for malware, implementing dirty word list searches on transferred information, and applying the same protection measures to metadata (e.g., security attributes) that is applied to the information payload.
(16) The information system enforces security policies regarding information on interconnected systems.
Enhancement Supplemental Guidance: Transferring information between interconnected information systems of differing security policies introduces risk that such transfers violate one or more policies. While security policy violations may not be absolutely prohibited, policy guidance from information owners/stewards is implemented at the policy enforcement point between the interconnected systems. Specific architectural solutions are mandated, when required, to reduce the potential for undiscovered vulnerabilities. Architectural solutions include, for example: (i) prohibiting information transfers between interconnected systems (i.e. implementing access only, one way transfer mechanisms); (ii) employing hardware mechanisms to enforce unitary information flow directions; and (iii) implementing fully tested, re-grading mechanisms to reassign security attributes and associated security labels.
(17) The information system:
(a) Uniquely identifies and authenticates source and destination domains for information transfer;
(b) Binds security attributes to information to facilitate information flow policy enforcement; and
(c) Tracks problems associated with the security attribute binding and information transfer.
Enhancement Supplemental Guidance: Attribution is a critical component of a security concept of operations. The ability to identify source and destination points for information flowing in an information system, allows forensic reconstruction of events when required, and increases policy compliance by attributing policy violations to specific organizations/individuals. Means to enforce this enhancement include ensuring that the information system resolution labels distinguish between information systems and organizations, and between specific system components or individuals involved in preparing, sending, receiving, or disseminating information.
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD AC-4 HIGH AC-4


AC-5 SEPARATION OF DUTIES

Control: The organization:
a. Separates duties of individuals as necessary, to prevent malevolent activity without collusion;
b. Documents separation of duties; and
c. Implements separation of duties through assigned information system access authorizations.
Supplemental Guidance: Examples of separation of duties include: (i) mission functions and distinct information system support functions are divided among different individuals/roles; (ii) different individuals perform information system support functions (e.g., system management, systems programming, configuration management, quality assurance and testing, network security); (iii) security personnel who administer access control functions do not administer audit functions; and (iv) different administrator accounts for different roles. Access authorizations defined in this control are implemented by control AC-3. Related controls: AC-3.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD AC-5 HIGH AC-5


AC-6 LEAST PRIVILEGE

Control: The organization employs the concept of least privilege, allowing only authorized accesses for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.
Supplemental Guidance: The access authorizations defined in this control are largely implemented by control AC-3. The organization employs the concept of least privilege for specific duties and information systems (including specific ports, protocols, and services) in accordance with risk assessments as necessary to adequately mitigate risk to organizational operations and assets, individuals, other organizations, and the Nation. Related controls: AC-2, AC-3, CM-7.
Control Enhancements:
(1) The organization explicitly authorizes access to [Assignment: organization-defined list of security functions (deployed in hardware, software, and firmware) and security-relevant information].
Enhancement Supplemental Guidance: Establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters are examples of security functions. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users. Related control: AC-17.
(2) The organization requires that users of information system accounts, or roles, with access to [Assignment: organization-defined list of security functions or security-relevant information], use non-privileged accounts, or roles, when accessing other system functions, and if feasible, audits any use of privileged accounts, or roles, for such functions.
Enhancement Supplemental Guidance: This control enhancement is intended to limit exposure due to operating from within a privileged account or role. The inclusion of role is intended to address those situations where an access control policy such as Role Based Access Control (RBAC) is being implemented and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account. Audit of privileged activity may require physical separation employing information systems on which the user does not have privileged access.
(3) The organization authorizes network access to [Assignment: organization-defined privileged commands] only for compelling operational needs and documents the rationale for such access in the security plan for the information system.
(4) The information system provides separate processing domains to enable finer-grained allocation of user privileges.
Enhancement Supplemental Guidance: Employing virtualization techniques to allow greater privilege within a virtual machine while restricting privilege to the underlying actual machine is an example of providing separate processing domains for finer-grained allocation of user privileges.
(5) The organization limits authorization to super user accounts on the information system to designated system administration personnel.
Enhancement Supplemental Guidance: Super user accounts are typically described as "root" or "administrator" for various types of commercial off-the-shelf operating systems. Configuring organizational information systems (e.g., notebook/laptop computers, servers, workstations) such that day-to-day users are not authorized access to super user accounts is an example of limiting system authorization. The organization may differentiate in the application of this control enhancement between allowed privileges for local information system accounts and for domain accounts provided the organization retains the ability to control the configuration of the system with regard to key security parameters and as otherwise necessary to sufficiently mitigate risk.
(6) The organization prohibits privileged access to the information system by non-organizational users.
Enhancement Supplemental Guidance: A qualified organizational user may be advised by a non-organizational user, if necessary.
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD AC-6 (1) (2) HIGH AC-6 (1) (2)


AC-7 UNSUCCESSFUL LOGIN ATTEMPTS

Control: The information system:
a. Enforces a limit of [Assignment: organization-defined number] consecutive invalid login attempts by a user during a [Assignment: organization-defined time period]; and
b. Automatically [Selection: locks the account/node for an [Assignment: organization-defined time period]; locks the account/node until released by an administrator; delays next login prompt according to [Assignment: organization-defined delay algorithm]] when the maximum number of unsuccessful attempts is exceeded. The control applies regardless of whether the login occurs via a local or network connection.
Supplemental Guidance: Due to the potential for denial of service, automatic lockouts initiated by the information system are usually temporary and automatically release after a predetermined time period established by the organization. If a delay algorithm is selected, the organization may chose to employ different algorithms for different information system components based on the capabilities of those components. Response to unsuccessful login attempts may be implemented at both the operating system and the application levels. This control applies to all accesses other than those accesses explicitly identified and documented by the organization in AC-14.
Control Enhancements:
(1) The information system automatically locks the account/node until released by an administrator when the maximum number of unsuccessful attempts is exceeded.
(2) The information system provides additional protection for mobile devices accessed via login by purging information from the device after [Assignment: organization-defined number] consecutive, unsuccessful login attempts to the device.
Enhancement Supplemental Guidance: This enhancement applies only to mobile devices for which a login occurs (e.g., personal digital assistants) and not to mobile devices accessed without a login such as removable media. In certain situations, this enhancement may not apply to mobile devices if the information on the device is encrypted with sufficiently strong encryption mechanisms, making purging unnecessary. The login is to the mobile device, not to any one account on the device. Therefore, a successful login to any account on the mobile device resets the unsuccessful login count to zero.
References: None.
Priority and Baseline Allocation:
P2 LOW AC-7 MOD AC-7 HIGH AC-7


AC-8 SYSTEM USE NOTIFICATION

Control: The information system:
a. Displays an approved system use notification message or banner before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that: (i) users are accessing a U.S. Government information system; (ii) system usage may be monitored, recorded, and subject to audit; (iii) unauthorized use of the system is prohibited and subject to criminal and civil penalties; and (iv) use of the system indicates consent to monitoring and recording;
b. Retains the notification message or banner on the screen until users take explicit actions to log on to or further access the information system; and
c. For publicly accessible systems: (i) displays the system use information when appropriate, before granting further access; (ii) displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and (iii) includes in the notice given to public users of the information system, a description of the authorized uses of the system.
Supplemental Guidance: System use notification messages can be implemented in the form of warning banners displayed when individuals log in to the information system. System use notification is intended only for information system access that includes an interactive login interface with a human user and is not intended to require notification when an interactive interface does not exist.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P1 LOW AC-8 MOD AC-8 HIGH AC-8


AC-9 PREVIOUS LOGON (ACCESS) NOTIFICATION

Control: The information system notifies the user, upon successful logon (access), of the date and time of the last logon (access).
Supplemental Guidance: This control is intended to cover both traditional logons to information systems and general accesses to information systems that occur in other types of architectural configurations (e.g., service oriented architectures).
Control Enhancements:
(1) The information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.
(2) The information system notifies the user of the number of [Selection: successful logins/accesses; unsuccessful login/access attempts; both] during [Assignment: organization-defined time period].
(3) The information system notifies the user of [Assignment: organization-defined set of security-related changes to the user's account] during [Assignment: organization-defined time period].
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


AC-10 CONCURRENT SESSION CONTROL

Control: The information system limits the number of concurrent sessions for each system account to [Assignment: organization-defined number].
Supplemental Guidance: The organization may define the maximum number of concurrent sessions for an information system account globally, by account type, by account, or a combination. This control addresses concurrent sessions for a given information system account and does not address concurrent sessions by a single user via multiple system accounts.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P2 LOW Not Selected MOD Not Selected HIGH AC-10


AC-11 SESSION LOCK

Control: The information system:
a. Prevents further access to the system by initiating a session lock after [Assignment: organization-defined time period] of inactivity or upon receiving a request from a user; and
b. Retains the session lock until the user reestablishes access using established identification and authentication procedures.
Supplemental Guidance: A session lock is a temporary action taken when a user stops work and moves away from the immediate physical vicinity of the information system but does not want to log out because of the temporary nature of the absence. The session lock is implemented at the point where session activity can be determined. This is typically at the operating system-level, but may be at the application-level. A session lock is not a substitute for logging out of the information system, for example, if the organization requires users to log out at the end of the workday.
Control Enhancements:
(1) The information system session lock mechanism, when activated on a device with a display screen, places a publicly viewable pattern onto the associated display, hiding what was previously visible on the screen.
References: OMB Memorandum 06-16.
Priority and Baseline Allocation:
P3 LOW Not Selected MOD AC-11 HIGH AC-11


AC-12 SESSION TERMINATION

[Withdrawn: Incorporated into SC-10].


AC-13 SUPERVISION AND REVIEW — ACCESS CONTROL

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


AC-14 PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION

Control: The organization:
a. Identifies specific user actions that can be performed on the information system without identification or authentication; and
b. Documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification and authentication.
Supplemental Guidance: This control is intended for those specific instances where an organization determines that no identification and authentication is required; it is not, however, mandating that such instances exist in given information system. The organization may allow a limited number of user actions without identification and authentication (e.g., when individuals access public websites or other publicly accessible federal information systems such as http://www.usa.gov). Organizations also identify any actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypass may be, for example, via a software-readable physical switch that commands bypass of the login functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not being repeated, but rather to situations where identification and/or authentication have not yet occurred. Related control: CP-2, IA-2.
Control Enhancements:
(1) The organization permits actions to be performed without identification and authentication only to the extent necessary to accomplish mission/business objectives.
References: None.
Priority and Baseline Allocation:
P1 LOW AC-14 MOD AC-14 (1) HIGH AC-14 (1)


AC-15 AUTOMATED MARKING

[Withdrawn: Incorporated into MP-3].


AC-16 SECURITY ATTRIBUTES

Control: The information system supports and maintains the binding of [Assignment: organization-defined security attributes] to information in storage, in process, and in transmission.
Supplemental Guidance: Security attributes are abstractions representing the basic properties or characteristics of an entity (e.g., subjects and objects) with respect to safeguarding information. These attributes are typically associated with internal data structures (e.g., records, buffers, files) within the information system and are used to enable the implementation of access control and flow control policies, reflect special dissemination, handling or distribution instructions, or support other aspects of the information security policy. The term security label is often used to associate a set of security attributes with a specific information object as part of the data structure for that object (e.g., user access privileges, nationality, affiliation as contractor). Related controls: AC-3, AC-4, SC-16, MP-3.
Control Enhancements:
(1) The information system dynamically reconfigures security attributes in accordance with an identified security policy as information is created and combined.
(2) The information system allows authorized entities to change security attributes.
(3) The information system maintains the binding of security attributes to information with sufficient assurance that the information-attribute association can be used as the basis for automated policy actions.
Enhancement Supplemental Guidance: Examples of automated policy actions include automated access control decisions (e.g., Mandatory Access Control decisions), or decisions to release (or not release) information (e.g., information flows via cross domain systems).
(4) The information system allows authorized users to associate security attributes with information.
Enhancement Supplemental Guidance: The support provided by the information system can vary from prompting users to select security attributes to be associated with specific information objects, to ensuring that the combination of attributes selected is valid.
(5) The information system displays security attributes in human-readable form on each object output from the system to system output devices to identify [Assignment: organization-identified set of special dissemination, handling, or distribution instructions] using [Assignment: organization-identified human readable, standard naming conventions].
Enhancement Supplemental Guidance: Objects output from the information system include, for example, pages, screens, or equivalent. Output devices include, for example, printers and video displays on computer terminals, monitors, screens on notebook/laptop computers and personal digital assistants.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


AC-17 REMOTE ACCESS

Control: The organization:
a. Documents allowed methods of remote access to the information system;
b. Establishes usage restrictions and implementation guidance for each allowed remote access method;
c. Monitors for unauthorized remote access to the information system;
d. Authorizes remote access to the information system prior to connection; and
e. Enforces requirements for remote connections to the information system.
Supplemental Guidance: This control requires explicit authorization prior to allowing remote access to an information system without specifying a specific format for that authorization. For example, while the organization may deem it appropriate to use a system interconnection agreement to authorize a given remote access, such agreements are not required by this control. Remote access is any access to an organizational information system by a user (or process acting on behalf of a user) communicating through an external network (e.g., the Internet). Examples of remote access methods include dial-up, broadband, and wireless (see AC-18 for wireless access). A virtual private network when adequately provisioned with appropriate security controls, is considered an internal network (i.e., the organization establishes a network connection between organization-controlled endpoints in a manner that does not require the organization to depend on external networks to protect the confidentiality or integrity of information transmitted across the network). Remote access controls are applicable to information systems other than public web servers or systems specifically designed for public access. Enforcing access restrictions associated with remote connections is accomplished by control AC-3. Related controls: AC-3, AC-18, AC-20, IA-2, IA-3, IA-8, MA-4.
Control Enhancements:
(1) The organization employs automated mechanisms to facilitate the monitoring and control of remote access methods.
Enhancement Supplemental Guidance: Automated monitoring of remote access sessions allows organizations to audit user activities on a variety of information system components (e.g., servers, workstations, notebook/laptop computers) and to ensure compliance with remote access policy.
(2) The organization uses cryptography to protect the confidentiality and integrity of remote access sessions.
Enhancement Supplemental Guidance: The encryption strength of mechanism is selected based on the security categorization of the information. Related controls: SC-8, SC-9, SC-13.
(3) The information system routes all remote accesses through a limited number of managed access control points.
Enhancement Supplemental Guidance: Related control: SC-7.
(4) The organization authorizes the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs and documents the rationale for such access in the security plan for the information system.
Enhancement Supplemental Guidance: Related control: AC-6.
(5) The organization monitors for unauthorized remote connections to the information system [Assignment: organization-defined frequency], and takes appropriate action if an unauthorized connection is discovered.
(6) The organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.
(7) The organization ensures that remote sessions for accessing [Assignment: organization-defined list of security functions and security-relevant information] employ [Assignment: organization-defined additional security measures] and are audited.
Enhancement Supplemental Guidance: Additional security measures are typically above and beyond standard bulk or session layer encryption (e.g., Secure Shell [SSH], Virtual Private Networking [VPN] with blocking mode enabled). Related controls: SC-8, SC-9.
(8) The organization disables [Assignment: organization-defined networking protocols within the information system deemed to be nonsecure] except for explicitly identified components in support of specific operational requirements.
Enhancement Supplemental Guidance: The organization can either make a determination of the relative security of the networking protocol or base the security decision on the assessment of other entities. Bluetooth and peer-to-peer networking are examples of less than secure networking protocols.
References: NIST Special Publications 800-46, 800-77, 800-113, 800-114, 800-121.
Priority and Baseline Allocation:
P1 LOW AC-17 MOD AC-17 (1) (2) (3) (4) (5) (7) (8) HIGH AC-17 (1) (2) (3) (4) (5) (7) (8)


AC-18 WIRELESS ACCESS

Control: The organization:
a. Establishes usage restrictions and implementation guidance for wireless access;
b. Monitors for unauthorized wireless access to the information system;
c. Authorizes wireless access to the information system prior to connection; and
d. Enforces requirements for wireless connections to the information system.
Supplemental Guidance: Wireless technologies include, but are not limited to, microwave, satellite, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication. In certain situations, wireless signals may radiate beyond the confines and control of organization-controlled facilities. Related controls: AC-3, IA-2, IA-3, IA-8.
Control Enhancements:
(1) The information system protects wireless access to the system using authentication and encryption.
Enhancement Supplemental Guidance: Authentication applies to user, device, or both as necessary. Related control: SC-13.
(2) The organization monitors for unauthorized wireless connections to the information system, including scanning for unauthorized wireless access points [Assignment: organization-defined frequency], and takes appropriate action if an unauthorized connection is discovered.
Enhancement Supplemental Guidance: Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. The scan is not necessarily limited to only those areas within the facility containing the information systems, yet is conducted outside of those areas only as needed to verify that unauthorized wireless access points are not connected to the system.
(3) The organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.
(4) The organization does not allow users to independently configure wireless networking capabilities.
(5) The organization confines wireless communications to organization-controlled boundaries.
Enhancement Supplemental Guidance: Actions that may be taken by the organization to confine wireless communications to organization-controlled boundaries include: (i) reducing the power of the wireless transmission such that it cannot transit the physical perimeter of the organization; (ii) employing measures such as TEMPEST to control wireless emanations; and (iii) configuring the wireless access such that it is point to point in nature.
References: NIST Special Publications 800-48, 800-94, 800-97.
Priority and Baseline Allocation:
P1 LOW AC-18 MOD AC-18 (1) HIGH AC-18 (1) (2) (4) (5)


AC-19 ACCESS CONTROL FOR MOBILE DEVICES

Control: The organization:
a. Establishes usage restrictions and implementation guidance for organization-controlled mobile devices;
b. Authorizes connection of mobile devices meeting organizational usage restrictions and implementation guidance to organizational information systems;
c. Monitors for unauthorized connections of mobile devices to organizational information systems;
d. Enforces requirements for the connection of mobile devices to organizational information systems;
e. Disables information system functionality that provides the capability for automatic execution of code on mobile devices without user direction;
f. Issues specially configured mobile devices to individuals traveling to locations that the organization deems to be of significant risk in accordance with organizational policies and procedures; and
g. Applies [Assignment: organization-defined inspection and preventative measures] to mobile devices returning from locations that the organization deems to be of significant risk in accordance with organizational policies and procedures.
Supplemental Guidance: Mobile devices include portable storage media (e.g., USB memory sticks, external hard disk drives) and portable computing and communications devices with information storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones, digital cameras, and audio recording devices). Organization-controlled mobile devices include those devices for which the organization has the authority to specify and the ability to enforce specific security requirements. Usage restrictions and implementation guidance related to mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Examples of information system functionality that provide the capability for automatic execution of code are AutoRun and AutoPlay.
Organizational policies and procedures for mobile devices used by individuals departing on and returning from travel include, for example, determining which locations are of concern, defining required configurations for the devices, ensuring that the devices are configured as intended before travel is initiated, and applying specific measures to the device after travel is completed. Specially configured mobile devices include, for example, computers with sanitized hard drives, limited applications, and additional hardening (e.g., more stringent configuration settings). Specified measures applied to mobile devices upon return from travel include, for example, examining the device for signs of physical tampering and purging/reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the media protection family. Related controls: MP-4, MP-5.
Control Enhancements:
(1) The organization restricts the use of writable, removable media in organizational information systems.
(2) The organization prohibits the use of personally owned, removable media in organizational information systems.
(3) The organization prohibits the use of removable media in organizational information systems when the media has no identifiable owner.
Enhancement Supplemental Guidance: An identifiable owner (e.g., individual, organization, or project) for removable media helps to reduce the risk of using such technology by assigning responsibility and accountability for addressing known vulnerabilities in the media (e.g., malicious code insertion).
(4) The organization:
(a) Prohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the appropriate authorizing official(s); and
(b) Enforces the following restrictions on individuals permitted to use mobile devices in facilities containing information systems processing, storing, or transmitting classified information:
- Connection of unclassified mobile devices to classified information systems is prohibited;
- Connection of unclassified mobile devices to unclassified information systems requires approval from the appropriate authorizing official(s);
- Use of internal or external modems or wireless interfaces within the mobile devices is prohibited; and
- Mobile devices and the information stored on those devices are subject to random reviews/inspections by [Assignment: organization-defined security officials], and if classified information is found, the incident handling policy is followed.
References: NIST Special Publications 800-114, 800-124.
Priority and Baseline Allocation:
P1 LOW AC-19 MOD AC-19 (1) (2) (3) HIGH AC-19 (1) (2) (3)


AC-20 USE OF EXTERNAL INFORMATION SYSTEMS

Control: The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:
a. Access the information system from the external information systems; and
b. Process, store, and/or transmit organization-controlled information using the external information systems.
Supplemental Guidance: External information systems are information systems or components of information systems that are outside of the authorization boundary established by the organization and for which the organization typically has no direct supervision and authority over the application of required security controls or the assessment of security control effectiveness. External information systems include, but are not limited to: (i) personally owned information systems (e.g., computers, cellular telephones, or personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, convention centers, or airports); (iii) information systems owned or controlled by nonfederal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of the organization. For some external systems, in particular those systems operated by other federal agencies, including organizations subordinate to those agencies, the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. In effect, the information systems of these organizations would not be considered external. These situations typically occur when, for example, there is some pre-existing sharing or trust agreement (either implicit or explicit) established between federal agencies and/or organizations subordinate to those agencies, or such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include organizational personnel, contractors, or any other individuals with authorized access to the organizational information system and over which the organization has the authority to impose rules of behavior with regard to system access. The restrictions that an organization imposes on authorized individuals need not be uniform, as those restrictions are likely to vary depending upon the trust relationships between organizations. Thus, an organization might impose more stringent security restrictions on a contractor than on a state, local, or tribal government.
This control does not apply to the use of external information systems to access public interfaces to organizational information systems and information (e.g., individuals accessing federal information through http://www.usa.gov). The organization establishes terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. The terms and conditions address as a minimum; (i) the types of applications that can be accessed on the organizational information system from the external information system; and (ii) the maximum security categorization of information that can be processed, stored, and transmitted on the external information system. This control defines access authorizations enforced by AC-3, rules of behavior requirements enforced by PL-4, and session establishment rules enforced by AC-17. Related controls: AC-3, AC-17, PL-4.
Control Enhancements:
(1) The organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:
(a) Can verify the implementation of required security controls on the external system as specified in the organization's information security policy and security plan; or
(b) Has approved information system connection or processing agreements with the organizational entity hosting the external information system.
(2) The organization limits the use of organization-controlled portable storage media by authorized individuals on external information systems.
Enhancement Supplemental Guidance: Limits on the use of organization-controlled portable storage media in external information systems can include, for example, complete prohibition of the use of such devices or restrictions on how the devices may be used and under what conditions the devices may be used.
References: FIPS Publication 199.
Priority and Baseline Allocation:
P1 LOW AC-20 MOD AC-20 (1) (2) HIGH AC-20 (1) (2)


AC-21 USER-BASED COLLABORATION AND INFORMATION SHARING

Control: The organization:
a. Facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for [Assignment: organization-defined information sharing circumstances where user discretion is required]; and
b. Employs [Assignment: list of organization-defined information sharing circumstances and automated mechanisms or manual processes required] to assist users in making information sharing/collaboration decisions.
Supplemental Guidance: The control applies to information that may be restricted in some manner (e.g., privileged medical, contract-sensitive, proprietary, personally identifiable information, special access programs/compartments) based on some formal or administrative determination. Depending on the information-sharing circumstance, the sharing partner may be defined at the individual, group, or organization level and information may be defined by specific content, type, or security categorization. Related control: AC-3.
Control Enhancements:
(1) The information system employs automated mechanisms to enable authorized users to make information-sharing decisions based on access authorizations of sharing partners and access restrictions on information to be shared.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


AC-22 PUBLICLY ACCESSIBLE CONTENT

Control: The organization:
a. Designates individuals authorized to post information onto an organizational information system that is publicly accessible;
b. Trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;
c. Reviews the proposed content of publicly accessible information for nonpublic information prior to posting onto the organizational information system;
d. Reviews the content on the publicly accessible organizational information system for nonpublic information [Assignment: organization-defined frequency]; and
e. Removes nonpublic information from the publicly accessible organizational information system, if discovered.
Supplemental Guidance: Nonpublic information is any information for which the general public is not authorized access in accordance with federal laws, Executive Orders, directives, policies, regulations, standards, or guidance. Information protected under the Privacy Act and vendor proprietary information are examples of nonpublic information. This control addresses posting information on an organizational information system that is accessible to the general public, typically without identification or authentication. The posting of information on non-organization information systems is covered by appropriate organizational policy. Related controls: AC-3, AU-13.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P2 LOW AC-22 MOD AC-22 HIGH AC-22


AWARENESS AND TRAINING

FAMILY: AWARENESS AND TRAINING CLASS: OPERATIONAL

AT-1 SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. A formal, documented security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the security awareness and training family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The security awareness and training policy can be included as part of the general information security policy for the organization. Security awareness and training procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the security awareness and training policy. Related control: PM-9.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-16, 800-50, 800-100.
Priority and Baseline Allocation:
P1 LOW AT-1 MOD AT-1 HIGH AT-1


AT-2 SECURITY AWARENESS

Control: The organization provides basic security awareness training to all information system users (including managers, senior executives, and contractors) as part of initial training for new users, when required by system changes, and [Assignment: organization-defined frequency] thereafter.
Supplemental Guidance: The organization determines the appropriate content of security awareness training and security awareness techniques based on the specific requirements of the organization and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security as it relates to the organization's information security program. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events.
Control Enhancements:
(1) The organization includes practical exercises in security awareness training that simulate actual cyber attacks.
Enhancement Supplemental Guidance: Practical exercises may include, for example, no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking malicious web links.
References: C.F.R. Part 5 Subpart C (5 C.F.R 930.301); NIST Special Publication 800-50.
Priority and Baseline Allocation:
P1 LOW AT-2 MOD AT-2 HIGH AT-2


AT-3 SECURITY TRAINING

Control: The organization provides role-based security-related training: (i) before authorizing access to the system or performing assigned duties; (ii) when required by system changes; and (iii) [Assignment: organization-defined frequency] thereafter.
Supplemental Guidance: The organization determines the appropriate content of security training based on assigned roles and responsibilities and the specific requirements of the organization and the information systems to which personnel have authorized access. In addition, the organization provides information system managers, system and network administrators, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training to perform their assigned duties. Organizational security training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. The organization also provides the training necessary for these individuals to carry out their responsibilities related to operations security within the context of the organization's information security program. Related controls: AT-2, SA-3.
Control Enhancements:
(1) The organization provides employees with initial and [Assignment: organization-defined frequency] training in the employment and operation of environmental controls.
Enhancement Supplemental Guidance: Environmental controls include, for example, fire suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature/humidity, HVAC, and power within the facility.
(2) The organization provides employees with initial and [Assignment: organization-defined frequency] training in the employment and operation of physical security controls.
Enhancement Supplemental Guidance: Physical security controls include, for example, physical access control devices, physical intrusion alarms, monitoring and surveillance equipment, and security guards (deployment and operating procedures).
References: C.F.R. Part 5 Subpart C (5 C.F.R 930.301); NIST Special Publications 800-16, 800-50.
Priority and Baseline Allocation:
P1 LOW AT-3 MOD AT-3 HIGH AT-3


AT-4 SECURITY TRAINING RECORDS

Control: The organization:
a. Documents and monitors individual information system security training activities including basic security awareness training and specific information system security training; and
b. Retains individual training records for [Assignment: organization-defined time period].
Supplemental Guidance: While an organization may deem that organizationally mandated individual training programs and the development of individual training plans are necessary, this control does not mandate either. Documentation for specialized training may be maintained by individual supervisors at the option of the organization.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P3 LOW AT-4 MOD AT-4 HIGH AT-4


AT-5 CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS

Control: The organization establishes and institutionalizes contact with selected groups and associations within the security community:
- To facilitate ongoing security education and training for organizational personnel;
- To stay up to date with the latest recommended security practices, techniques, and technologies; and
- To share current security-related information including threats, vulnerabilities, and incidents.
Supplemental Guidance: Ongoing contact with security groups and associations is of paramount importance in an environment of rapid technology changes and dynamic threats. Security groups and associations can include, for example, special interest groups, specialized forums, professional associations, news groups, and/or peer groups of security professionals in similar organizations. The groups and associations selected are consistent with the organization's mission/business requirements. Information-sharing activities regarding threats, vulnerabilities, and incidents related to information systems are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


AUDIT AND ACCOUNTABILITY

FAMILY: AUDIT AND ACCOUNTABILITY CLASS: TECHNICAL

AU-1 AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. A formal, documented audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the audit and accountability family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The audit and accountability policy can be included as part of the general information security policy for the organization. Audit and accountability procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the audit and accountability policy. Related control: PM-9.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1 LOW AU-1 MOD AU-1 HIGH AU-1


AU-2 AUDITABLE EVENTS

Control: The organization:
a. Determines, based on a risk assessment and mission/business needs, that the information system must be capable of auditing the following events: [Assignment: organization-defined list of auditable events];
b. Coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;
c. Provides a rationale for why the list of auditable events are deemed to be adequate to support after-the-fact investigations of security incidents; and
d. Determines, based on current threat information and ongoing assessment of risk, that the following events are to be audited within the information system: [Assignment: organization-defined subset of the auditable events defined in AU-2 a. to be audited along with the frequency of (or situation requiring) auditing for each identified event].
Supplemental Guidance: The purpose of this control is for the organization to identify events which need to be auditable as significant and relevant to the security of the information system; giving an overall system requirement in order to meet ongoing and specific audit needs. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are to be audited at a given point in time. For example, the organization may determine that the information system must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the extreme burden on system performance. In addition, audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the right level of abstraction for audit record generation is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Related control: AU-3.
Control Enhancements:
(1) [Withdrawn: Incorporated into AU-12].
(2) [Withdrawn: Incorporated into AU-12].
(3) The organization reviews and updates the list of auditable events [Assignment: organization-defined frequency].
Enhancement Supplemental Guidance: The list of auditable events is defined in AU-2.
(4) The organization includes execution of privileged functions in the list of events to be audited by the information system.
References: NIST Special Publication 800-92; Web: http://CSRC.NIST.GOV/PCIG/CIG.HTML.
Priority and Baseline Allocation:
P1 LOW AU-2 MOD AU-2 (3) (4) HIGH AU-2 (3) (4)


AU-3 CONTENT OF AUDIT RECORDS

Control: The information system produces audit records that contain sufficient information to, at a minimum, establish what type of event occurred, when (date and time) the event occurred, where the event occurred, the source of the event, the outcome (success or failure) of the event, and the identity of any user/subject associated with the event.
Supplemental Guidance: Audit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Related controls: AU-2, AU-8.
Control Enhancements:
(1) The information system includes [Assignment: organization-defined additional, more detailed information] in the audit records for audit events identified by type, location, or subject.
Enhancement Supplemental Guidance: An example of detailed information that the organization may require in audit records is full-text recording of privileged commands or the individual identities of group account users.
(2) The organization centrally manages the content of audit records generated by [Assignment: organization-defined information system components].
References: None.
Priority and Baseline Allocation:
P1 LOW AU-3 MOD AU-3 (1) HIGH AU-3 (1) (2)


AU-4 AUDIT STORAGE CAPACITY

Control: The organization allocates audit record storage capacity and configures auditing to reduce the likelihood of such capacity being exceeded.
Supplemental Guidance: The organization considers the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Related controls: AU-2, AU-5, AU-6, AU-7, SI-4.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P1 LOW AU-4 MOD AU-4 HIGH AU-4


AU-5 RESPONSE TO AUDIT PROCESSING FAILURES

Control: The information system:
a. Alerts designated organizational officials in the event of an audit processing failure; and
b. Takes the following additional actions: [Assignment: organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)].
Supplemental Guidance: Audit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Related control: AU-4.
Control Enhancements:
(1) The information system provides a warning when allocated audit record storage volume reaches [Assignment: organization-defined percentage] of maximum audit record storage capacity.
(2) The information system provides a real-time alert when the following audit failure events occur: [Assignment: organization-defined audit failure events requiring real-time alerts].
(3) The information system enforces configurable traffic volume thresholds representing auditing capacity for network traffic and [Selection: rejects or delays] network traffic above those thresholds.
(4) The information system invokes a system shutdown in the event of an audit failure, unless an alternative audit capability exists.
References: None.
Priority and Baseline Allocation:
P1 LOW AU-5 MOD AU-5 HIGH AU-5 (1) (2)


AU-6 AUDIT REVIEW, ANALYSIS, AND REPORTING

Control: The organization:
a. Reviews and analyzes information system audit records [Assignment: organization-defined frequency] for indications of inappropriate or unusual activity, and reports findings to designated organizational officials; and
b. Adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk to organizational operations, organizational assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information.
Supplemental Guidance: Related control: AU-7.
Control Enhancements:
(1) The information system integrates audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.
(2) [Withdrawn: Incorporated into SI-4].
(3) The organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.
(4) The information system centralizes the review and analysis of audit records from multiple components within the system.
Enhancement Supplemental Guidance: An example of an automated mechanism for centralized review and analysis is a Security Information Management (SIM) product. Related control: AU-2.
(5) The organization integrates analysis of audit records with analysis of vulnerability scanning information, performance data, and network monitoring information to further enhance the ability to identify inappropriate or unusual activity.
Enhancement Supplemental Guidance: A Security Event/Information Management system tool can facilitate audit record aggregation and consolidation from multiple information system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by the organization (with localized script adjustments, as necessary), provides a more cost-effective approach for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of the vulnerability scans and correlating attack detection events with scanning results. Related control: AU-7, RA-5, SI-4.
(6) The organization correlates information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.
Enhancement Supplemental Guidance: Related control: PE-6.
(7) The organization specifies the permitted actions for each authorized information system process, role, and/or user in the audit and accountability policy.
Enhancement Supplemental Guidance: Permitted actions for information system processes, roles, and/or users associated with the review, analysis, and reporting of audit records include, for example, read, write, append, and delete.
(8) [Withdrawn: Incorporated into SI-4].
(9) The organization performs, in a physically dedicated information system, full-text analysis of privileged functions executed.
References: None.
Priority and Baseline Allocation:
P1 LOW AU-6 MOD AU-6 HIGH AU-6 (1)


AU-7 AUDIT REDUCTION AND REPORT GENERATION

Control: The information system provides an audit reduction and report generation capability.
Supplemental Guidance: An audit reduction and report generation capability provides support for near real-time audit review, analysis, and reporting requirements described in AU-6 and after-the-fact investigations of security incidents. Audit reduction and reporting tools do not alter original audit records. Related control: AU-6.
Control Enhancements:
(1) The information system provides the capability to automatically process audit records for events of interest based on selectable event criteria.
References: None.
Priority and Baseline Allocation:
P2 LOW Not Selected MOD AU-7 (1) HIGH AU-7 (1)


AU-8 TIME STAMPS

Control: The information system uses internal system clocks to generate time stamps for audit records.
Supplemental Guidance: Time stamps generated by the information system include both date and time. The time may be expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Related control: AU-3.
Control Enhancements:
(1) The information system synchronizes internal information system clocks [Assignment: organization-defined frequency] with [Assignment: organization-defined authoritative time source].
References: None.
Priority and Baseline Allocation:
P1 LOW AU-8 MOD AU-8 (1) HIGH AU-8 (1)


AU-9 PROTECTION OF AUDIT INFORMATION

Control: The information system protects audit information and audit tools from unauthorized access, modification, and deletion.
Supplemental Guidance: Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. Related controls: AC-3, AC-6.
Control Enhancements:
(1) The information system produces audit records on hardware-enforced, write-once media.
(2) The information system backs up audit records [Assignment: organization-defined frequency] onto a different system or media than the system being audited.
(3) The information system uses cryptographic mechanisms to protect the integrity of audit information and audit tools.
Enhancement Supplemental Guidance: An example of a cryptographic mechanism for the protection of integrity is the computation and application of a cryptographic-signed hash using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information.
(4) The organization:
(a) Authorizes access to management of audit functionality to only a limited subset of privileged users; and
(b) Protects the audit records of non-local accesses to privileged accounts and the execution of privileged functions.
Enhancement Supplemental Guidance: Auditing may not be reliable when performed by the information system to which the user being audited has privileged access. The privileged user may inhibit auditing or modify audit records. This control enhancement helps mitigate this risk by requiring that privileged access be further defined between audit-related privileges and other privileges, thus, limiting the users with audit-related privileges. Reducing the risk of audit compromises by privileged users can also be achieved, for example, by performing audit activity on a separate information system or by using storage media that cannot be modified (e.g., write-once recording devices).
References: None.
Priority and Baseline Allocation:
P1 LOW AU-9 MOD AU-9 HIGH AU-9


AU-10 NON-REPUDIATION

Control: The information system protects against an individual falsely denying having performed a particular action.
Supplemental Guidance: Examples of particular actions taken by individuals include creating information, sending a message, approving information (e.g., indicating concurrence or signing a contract), and receiving a message. Non-repudiation protects individuals against later claims by an author of not having authored a particular document, a sender of not having transmitted a message, a receiver of not having received a message, or a signatory of not having signed a document. 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 received specific information. Non-repudiation services are obtained by employing various techniques or mechanisms (e.g., digital signatures, digital message receipts).
Control Enhancements:
(1) The information system associates the identity of the information producer with the information.
Enhancement Supplemental Guidance: This control enhancement supports audit requirements that provide appropriate organizational officials the means to identify who produced specific information in the event of an information transfer. The nature and strength of the binding between the information producer and the information are determined and approved by the appropriate organizational officials based on the security categorization of the information and relevant risk factors.
(2) The information system validates the binding of the information producer's identity to the information.
Enhancement Supplemental Guidance: This control enhancement is intended to mitigate the risk that information is modified between production and review. The validation of bindings can be achieved, for example, by the use of cryptographic checksums.
(3) The information system maintains reviewer/releaser identity and credentials within the established chain of custody for all information reviewed or released.
Enhancement Supplemental Guidance: If the reviewer is a human or if the review function is automated but separate from the release/transfer function, the information system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, this control enhancement provides appropriate organizational officials the means to identify who reviewed and released the information. In the case of automated reviews, this control enhancement helps ensure that only approved review functions are employed.
(4) The information system validates the binding of the reviewer's identity to the information at the transfer/release point prior to release/transfer from one security domain to another security domain.
Enhancement Supplemental Guidance: This control enhancement is intended to mitigate the risk that information is modified between review and transfer/release.
(5) The organization employs [Selection: FIPS-validated; NSA-approved] cryptography to implement digital signatures.
Enhancement Supplemental Guidance: Related control: SC-13.
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD Not Selected HIGH AU-10


AU-11 AUDIT RECORD RETENTION

Control: The organization retains audit records for [Assignment: organization-defined time period consistent with records retention policy] to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements.
Supplemental Guidance: The organization retains audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoena, and law enforcement actions. Standard categorizations of audit records relative to such types of actions and standard response processes for each type of action are developed and disseminated. The National Archives and Records Administration (NARA) General Records Schedules (GRS) provide federal policy on record retention.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P3 LOW AU-11 MOD AU-11 HIGH AU-11


AU-12 AUDIT GENERATION

Control: The information system:
a. Provides audit record generation capability for the list of auditable events defined in AU-2 at [Assignment: organization-defined information system components];
b. Allows designated organizational personnel to select which auditable events are to be audited by specific components of the system; and
c. Generates audit records for the list of audited events defined in AU-2 with the content as defined in AU-3.
Supplemental Guidance: Audits records can be generated from various components within the information system. The list of audited events is the set of events for which audits are to be generated. This set of events is typically a subset of the list of all events for which the system is capable of generating audit records (i.e., auditable events). Related controls: AU-2, AU-3.
Control Enhancements:
(1) The information system compiles audit records from [Assignment: organization-defined information system components] into a system-wide (logical or physical) audit trail that is time-correlated to within [Assignment: organization-defined level of tolerance for relationship between time stamps of individual records in the audit trail].
Enhancement Supplemental Guidance: The audit trail is time-correlated if the time stamp in the individual audit records can be reliably related to the time stamp in other audit records to achieve a time ordering of the records within the organization-defined tolerance.
(2) The information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.
Enhancement Supplemental Guidance: Audit information normalized to a common standard promotes interoperability and exchange of such information between dissimilar devices and information systems. This facilitates an audit system that produces event information that can be more readily analyzed and correlated. System log records and audit records compliant with the Common Event Expression (CEE) are examples of standard formats for audit records. If individual logging mechanisms within the information system do not conform to a standardized format, the system may convert individual audit records into a standardized format when compiling the system-wide audit trail.
References: None.
Priority and Baseline Allocation:
P1 LOW AU-12 MOD AU-12 HIGH AU-12 (1)


AU-13 MONITORING FOR INFORMATION DISCLOSURE

Control: The organization monitors open source information for evidence of unauthorized exfiltration or disclosure of organizational information [Assignment: organization-defined frequency].
Supplemental Guidance: None.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


AU-14 SESSION AUDIT

Control: The information system provides the capability to:
a. Capture/record and log all content related to a user session; and
b. Remotely view/hear all content related to an established user session in real time.
Supplemental Guidance: Session auditing activities are developed, integrated, and used in consultation with legal counsel in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations.
Control Enhancements:
(1) The information system initiates session audits at system start-up.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


SECURITY ASSESSMENT AND AUTHORIZATION

FAMILY: SECURITY ASSESSMENT AND AUTHORIZATION CLASS: MANAGEMENT

CA-1 SECURITY ASSESSMENT AND AUTHORIZATION POLICIES AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. Formal, documented security assessment and authorization policies that address purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the security assessment and authorization policies and associated security assessment and authorization controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the security assessment and authorization family. The policies and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The security assessment/authorization policies can be included as part of the general information security policy for the organization. Security assessment/authorization procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the security assessment and authorization policy. Related control: PM-9.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-37, 800-53A, 800-100.
Priority and Baseline Allocation:
P1 LOW CA-1 MOD CA-1 HIGH CA-1


CA-2 SECURITY ASSESSMENTS

Control: The organization:
a. Develops a security assessment plan that describes the scope of the assessment including:
- Security controls and control enhancements under assessment;
- Assessment procedures to be used to determine security control effectiveness; and
- Assessment environment, assessment team, and assessment roles and responsibilities;
b. Assesses the security controls in the information system [Assignment: organization-defined frequency] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements for the system;
c. Produces a security assessment report that documents the results of the assessment; and
d. Provides the results of the security control assessment, in writing, to the authorizing official or authorizing official designated representative.
Supplemental Guidance: The organization assesses the security controls in an information system as part of: (i) security authorization or reauthorization; (ii) meeting the FISMA requirement for annual assessments; (iii) continuous monitoring; and (iv) testing/evaluation of the information system as part of the system development life cycle process. The assessment report documents the assessment results in sufficient detail as deemed necessary by the organization, to determine the accuracy and completeness of the report and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements of the information system. The FISMA requirement for (at least) annual security control assessments should not be interpreted by organizations as adding additional assessment requirements to those requirements already in place in the security authorization process. To satisfy the FISMA annual assessment requirement, organizations can draw upon the security control assessment results from any of the following sources, including but not limited to: (i) assessments conducted as part of an information system authorization or reauthorization process; (ii) continuous monitoring (see CA-7); or (iii) testing and evaluation of an information system as part of the ongoing system development life cycle (provided that the testing and evaluation results are current and relevant to the determination of security control effectiveness). Existing security control assessment results are reused to the extent that they are still valid and are supplemented with additional assessments as needed.
Subsequent to the initial authorization of the information system and in accordance with OMB policy, the organization assesses a subset of the security controls annually during continuous monitoring. The organization establishes the security control selection criteria and subsequently selects a subset of the security controls within the information system and its environment of operation for assessment. Those security controls that are the most volatile (i.e., controls most affected by ongoing changes to the information system or its environment of operation) or deemed critical by the organization to protecting organizational operations and assets, individuals, other organizations, and the Nation are assessed more frequently in accordance with an organizational assessment of risk. All other controls are assessed at least once during the information system's three-year authorization cycle. The organization can use the current year's assessment results from any of the above sources to meet the FISMA annual assessment requirement provided that the results are current, valid, and relevant to determining security control effectiveness. External audits (e.g., audits conducted by external entities such as regulatory agencies) are outside the scope of this control. Related controls: CA-6, CA-7, PM-9, SA-11.
Control Enhancements:
(1) The organization employs an independent assessor or assessment team to conduct an assessment of the security controls in the information system.
Enhancement Supplemental Guidance: An independent assessor or assessment team is any individual or group capable of conducting an impartial assessment of an organizational information system. Impartiality implies that the assessors are free from any perceived or actual conflicts of interest with respect to the developmental, operational, and/or management chain associated with the information system or to the determination of security control effectiveness. Independent security assessment services can be obtained from other elements within the organization or can be contracted to a public or private sector entity outside of the organization. Contracted assessment services are considered independent if the information system owner is not directly involved in the contracting process or cannot unduly influence the impartiality of the assessor or assessment team conducting the assessment of the security controls in the information system. The authorizing official determines the required level of assessor independence based on the security categorization of the information system and/or the ultimate risk to organizational operations and assets, and to individuals. The authorizing official determines if the level of assessor independence is sufficient to provide confidence that the assessment results produced are sound and can be used to make a credible, risk-based decision. In special situations, for example when the organization that owns the information system is small or the organizational structure requires that the assessment be accomplished by individuals that are in the developmental, operational, and/or management chain of the system owner, independence in the assessment process can be achieved by ensuring that the assessment results are carefully reviewed and analyzed by an independent team of experts to validate the completeness, accuracy, integrity, and reliability of the results.
(2) The organization includes as part of security control assessments, [Assignment: organization-defined frequency], [Selection: announced; unannounced], [Selection: in-depth monitoring; malicious user testing; penetration testing; red team exercises; [Assignment: organization-defined other forms of security testing]].
Enhancement Supplemental Guidance: Penetration testing exercises both physical and technical security controls. A standard method for penetration testing consists of: (i) pretest analysis based on full knowledge of the target system; (ii) pretest identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. Detailed rules of engagement are agreed upon by all parties before the commencement of any penetration testing scenario. These rules of engagement are correlated with the tools, techniques, and procedures that are anticipated to be employed by threat-sources in carrying out attacks. An organizational assessment of risk guides the decision on the level of independence required for penetration agents or penetration teams conducting penetration testing. Red team exercises are conducted as a simulated adversarial attempt to compromise organizational missions and/or business processes to provide a comprehensive assessment of the security capability of the information system and organization. While penetration testing may be laboratory-based testing, red team exercises are intended to be more comprehensive in nature and reflect real-world conditions. Information system monitoring, malicious user testing, penetration testing, red-team exercises, and other forms of security testing (e.g., independent verification and validation) are conducted to improve the readiness of the organization by exercising organizational capabilities and indicating current performance levels as a means of focusing organizational actions to improve the security state of the system and organization. Testing is conducted in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Testing methods are approved by authorizing officials in coordination with the organization's Risk Executive Function. Vulnerabilities uncovered during red team exercises are incorporated into the vulnerability remediation process. Related controls: RA-5, SI-2.
References: FIPS Publication 199; NIST Special Publications 800-37, 800-53A, 800-115.
Priority and Baseline Allocation:
P2 LOW CA-2 MOD CA-2 (1) HIGH CA-2 (1) (2)


CA-3 INFORMATION SYSTEM CONNECTIONS

Control: The organization:
a. Authorizes connections from the information system to other information systems outside of the authorization boundary through the use of Interconnection Security Agreements;
b. Documents, for each connection, the interface characteristics, security requirements, and the nature of the information communicated; and
c. Monitors the information system connections on an ongoing basis verifying enforcement of security requirements.
Supplemental Guidance: This control applies to dedicated connections between information systems and does not apply to transitory, user-controlled connections such as email and website browsing. The organization carefully considers the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within the organization and external to the organization. Authorizing officials determine the risk associated with each connection and the appropriate controls employed. If the interconnecting systems have the same authorizing official, an Interconnection Security Agreement is not required. Rather, the interface characteristics between the interconnecting information systems are described in the security plans for the respective systems. If the interconnecting systems have different authorizing officials but the authorizing officials are in the same organization, the organization determines whether an Interconnection Security Agreement is required, or alternatively, the interface characteristics between systems are described in the security plans of the respective systems. Instead of developing an Interconnection Security Agreement, organizations may choose to incorporate this information into a formal contract, especially if the interconnection is to be established between a federal agency and a nonfederal (private sector) organization. In every case, documenting the interface characteristics is required, yet the formality and approval process vary considerably even though all accomplish the same fundamental objective of managing the risk being incurred by the interconnection of the information systems. Risk considerations also include information systems sharing the same networks. Information systems may be identified and authenticated as devices in accordance with IA-3. Related controls: AC-4, IA-3, SC-7, SA-9.
Control Enhancements:
(1) The organization prohibits the direct connection of an unclassified, national security system to an external network.
Enhancement Supplemental Guidance: An external network is a network that is not controlled by the organization (e.g., the Internet). No direct connection means that an information system cannot connect to an external network without the use of an approved boundary protection device (e.g., firewall) that mediates the communication between the system and the network.
(2) The organization prohibits the direct connection of a classified, national security system to an external network.
Enhancement Supplemental Guidance: An external network is a network that is not controlled by the organization (e.g., the Internet). No direct connection means that an information system cannot connect to an external network without the use of an approved boundary protection device (e.g., firewall) that mediates the communication between the system and the network. In addition, the approved boundary protection device (typically a managed interface/cross-domain system), provides information flow enforcement from the information system to the external network consistent with AC-4.
References: FIPS Publication 199; NIST Special Publication 800-47.
Priority and Baseline Allocation:
P1 LOW CA-3 MOD CA-3 HIGH CA-3


CA-4 SECURITY CERTIFICATION

[Withdrawn: Incorporated into CA-2].


CA-5 PLAN OF ACTION AND MILESTONES

Control: The organization:
a. Develops a plan of action and milestones for the information system to document the organization's planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system; and
b. Updates existing plan of action and milestones [Assignment: organization-defined frequency] based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities.
Supplemental Guidance: The plan of action and milestones is a key document in the security authorization package and is subject to federal reporting requirements established by OMB. Related control: PM-4.
Control Enhancements:
(1) The organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is accurate, up to date, and readily available.
References: OMB Memorandum 02-01; NIST Special Publication 800-37.
Priority and Baseline Allocation:
P3 LOW CA-5 MOD CA-5 HIGH CA-5


CA-6 SECURITY AUTHORIZATION

Control: The organization:
a. Assigns a senior-level executive or manager to the role of authorizing official for the information system;
b. Ensures that the authorizing official authorizes the information system for processing before commencing operations; and
c. Updates the security authorization [Assignment: organization-defined frequency].
Supplemental Guidance: Security authorization is the official management decision, conveyed through the authorization decision document, given by a senior organizational official or executive (i.e., authorizing official) to authorize operation of an information system and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of an agreed-upon set of security controls. Authorizing officials typically have budgetary oversight for information systems or are responsible for the mission or business operations supported by the systems. Security authorization is an inherently federal responsibility and therefore, authorizing officials must be federal employees. Through the security authorization process, authorizing officials are accountable for the security risks associated with information system operations. Accordingly, authorizing officials are in management positions with a level of authority commensurate with understanding and accepting such information system-related security risks. Through the employment of a comprehensive continuous monitoring process, the critical information contained in the authorization package (i.e., the security plan (including risk assessment), the security assessment report, and the plan of action and milestones) is updated on an ongoing basis, providing the authorizing official and the information system owner with an up-to-date status of the security state of the information system. To reduce the administrative cost of security reauthorization, the authorizing official uses the results of the continuous monitoring process to the maximum extent possible as the basis for rendering a reauthorization decision. OMB policy requires that federal information systems are reauthorized at least every three years or when there is a significant change to the system. The organization defines what constitutes a significant change to the information system. Related controls: CA-2, CA-7, PM-9, PM-10.
Control Enhancements: None.
References: OMB Circular A-130; NIST Special Publication 800-37.
Priority and Baseline Allocation:
P3 LOW CA-6 MOD CA-6 HIGH CA-6


CA-7 CONTINUOUS MONITORING

Control: The organization establishes a continuous monitoring strategy and implements a continuous monitoring program that includes:
a. A configuration management process for the information system and its constituent components;
b. A determination of the security impact of changes to the information system and environment of operation;
c. Ongoing security control assessments in accordance with the organizational continuous monitoring strategy; and
d. Reporting the security state of the information system to appropriate organizational officials [Assignment: organization-defined frequency].
Supplemental Guidance: A continuous monitoring program allows an organization to maintain the security authorization of an information system over time in a highly dynamic environment of operation with changing threats, vulnerabilities, technologies, and missions/business processes. Continuous monitoring of security controls using automated support tools facilitates near real-time risk management and promotes organizational situational awareness with regard to the security state of the information system. The implementation of a continuous monitoring program results in ongoing updates to the security plan, the security assessment report, and the plan of action and milestones, the three principal documents in the security authorization package. A rigorous and well executed continuous monitoring program significantly reduces the level of effort required for the reauthorization of the information system. Continuous monitoring activities are scaled in accordance with the security categorization of the information system. Related controls: CA-2, CA-5, CA-6, CM-3, CM-4.
Control Enhancements:
(1) The organization employs an independent assessor or assessment team to monitor the security controls in the information system on an ongoing basis.
Enhancement Supplemental Guidance: The organization can extend and maximize the value of the ongoing assessment of security controls during the continuous monitoring process by requiring an independent assessor or team to assess all of the security controls during the information system's three-year authorization cycle. See supplemental guidance for CA-2, enhancement (1), for further information on assessor independence. Related controls: CA-2, CA-5, CA-6, CM-4.
(2) The organization plans, schedules, and conducts assessments [Assignment: organization-defined frequency], [Selection: announced; unannounced], [Selection: in-depth monitoring; malicious user testing; penetration testing; red team exercises; [Assignment: organization-defined other forms of security assessment]] to ensure compliance with all vulnerability mitigation procedures.
Enhancement Supplemental Guidance: Examples of vulnerability mitigation procedures are contained in Information Assurance Vulnerability Alerts. Testing is intended to ensure that the information system continues to provide adequate security against constantly evolving threats and vulnerabilities. Conformance testing also provides independent validation. See supplemental guidance for CA-2, enhancement (2) for further information on malicious user testing, penetration testing, red-team exercises, and other forms of security testing. Related control: CA-2.
References: NIST Special Publications 800-37, 800-53A; US-CERT Technical Cyber Security Alerts; DOD Information Assurance Vulnerability Alerts.
Priority and Baseline Allocation:
P3 LOW CA-7 MOD CA-7 HIGH CA-7


CONFIGURATION MANAGEMENT

FAMILY: CONFIGURATION MANAGEMENT CLASS: OPERATIONAL

CM-1 CONFIGURATION MANAGEMENT POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. A formal, documented configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the configuration management policy and associated configuration management controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the configuration management family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The configuration management policy can be included as part of the general information security policy for the organization. Configuration management procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the configuration management policy. Related control: PM-9.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1 LOW CM-1 MOD CM-1 HIGH CM-1


CM-2 BASELINE CONFIGURATION

Control: The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system.
Supplemental Guidance: This control establishes a baseline configuration for the information system and its constituent components including communications and connectivity-related aspects of the system. The baseline configuration provides information about the components of an information system (e.g., the standard software load for a workstation, server, network component, or mobile device including operating system/installed applications with current version numbers and patch information), network topology, and the logical placement of the component within the system architecture. The baseline configuration is a documented, up-to-date specification to which the information system is built. Maintaining the baseline configuration involves creating new baselines as the information system changes over time. The baseline configuration of the information system is consistent with the organization's enterprise architecture. Related controls: CM-3, CM-6, CM-8, CM-9.
Control Enhancements:
(1) The organization reviews and updates the baseline configuration of the information system:
(a) [Assignment: organization-defined frequency];
(b) When required due to [Assignment organization-defined circumstances]; and
(c) As an integral part of information system component installations and upgrades.
(2) The organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system.
Enhancement Supplemental Guidance: Software inventory tools are examples of automated mechanisms that help organizations maintain consistent baseline configurations for information systems. Software inventory tools can be deployed for each operating system in use within the organization (e.g., on workstations, servers, network components, mobile devices) and used to track operating system version numbers, applications and types of software installed on the operating systems, and current patch levels. Software inventory tools can also scan information systems for unauthorized software to validate organization-defined lists of authorized and unauthorized software programs.
(3) The organization retains older versions of baseline configurations as deemed necessary to support rollback.
(4) The organization:
(a) Develops and maintains [Assignment: organization-defined list of software programs not authorized to execute on the information system]; and
(b) Employs an allow-all, deny-by-exception authorization policy to identify software allowed to execute on the information system.
(5) The organization:
(a) Develops and maintains [Assignment: organization-defined list of software programs authorized to execute on the information system]; and
(b) Employs a deny-all, permit-by-exception authorization policy to identify software allowed to execute on the information system.
(6) The organization maintains a baseline configuration for development and test environments that is managed separately from the operational baseline configuration.
References: NIST Special Publication 800-128.
Priority and Baseline Allocation:
P1 LOW CM-2 MOD CM-2 (1) (3) (4) HIGH CM-2 (1) (2) (3) (5) (6)


CM-3 CONFIGURATION CHANGE CONTROL

Control: The organization:
a. Determines the types of changes to the information system that are configuration controlled;
b. Approves configuration-controlled changes to the system with explicit consideration for security impact analyses;
c. Documents approved configuration-controlled changes to the system;
d. Retains and reviews records of configuration-controlled changes to the system;
e. Audits activities associated with configuration-controlled changes to the system; and
f. Coordinates and provides oversight for configuration change control activities through [Assignment: organization-defined configuration change control element (e.g., committee, board] that convenes [Selection: (one or more): [Assignment: organization-defined frequency]; [Assignment: organization-defined configuration change conditions]].
Supplemental Guidance: The organization determines the types of changes to the information system that are configuration controlled. Configuration change control for the information system involves the systematic proposal, justification, implementation, test/evaluation, review, and disposition of changes to the system, including upgrades and modifications. Configuration change control includes changes to components of the information system, changes to the configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers), emergency changes, and changes to remediate flaws. A typical organizational process for managing configuration changes to the information system includes, for example, a chartered Configuration Control Board that approves proposed changes to the system. Auditing of changes refers to changes in activity before and after a change is made to the information system and the auditing activities required to implement the change. Related controls: CM-4, CM-5, CM-6, SI-2.
Control Enhancements:
(1) The organization employs automated mechanisms to:
(a) Document proposed changes to the information system;
(b) Notify designated approval authorities;
(c) Highlight approvals that have not been received by [Assignment: organization-defined time period];
(d) Inhibit change until designated approvals are received; and
(e) Document completed changes to the information system.
(2) The organization tests, validates, and documents changes to the information system before implementing the changes on the operational system.
Enhancement Supplemental Guidance: The organization ensures that testing does not interfere with information system operations. The individual/group conducting the tests understands the organizational information security policies and procedures, the information system security policies and procedures, and the specific health, safety, and environmental risks associated with a particular facility and/or process. An operational system may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If an information system must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. In situations where the organization cannot conduct testing of an operational system, the organization employs compensating controls (e.g., providing a replicated system to conduct testing) in accordance with the general tailoring guidance.
(3) The organization employs automated mechanisms to implement changes to the current information system baseline and deploys the updated baseline across the installed base.
Enhancement Supplemental Guidance: Related controls: CM-2, CM-6.
(4) The organization requires an information security representative to be a member of the [Assignment: organization-defined configuration change control element (e.g., committee, board)].
Enhancement Supplemental Guidance: Information security representatives can include, for example, information system security officers or information system security managers. The configuration change control element in this control enhancement is consistent with the change control element defined by the organization in CM-3.
References: NIST Special Publication 800-128.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD CM-3 (2) HIGH CM-3 (1) (2)


CM-4 SECURITY IMPACT ANALYSIS

Control: The organization analyzes changes to the information system to determine potential security impacts prior to change implementation.
Supplemental Guidance: Security impact analyses are conducted by organizational personnel with information security responsibilities, including for example, Information System Administrators, Information System Security Officers, Information System Security Managers, and Information System Security Engineers. Individuals conducting security impact analyses have the appropriate skills and technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing information system documentation such as the security plan to understand how specific security controls are implemented within the system and how the changes might affect the controls. Security impact analysis may also include an assessment of risk to understand the impact of the changes and to determine if additional security controls are required. Security impact analysis is scaled in accordance with the security categorization of the information system. Related controls: CA-2, CA-7, CM-3, CM-9, SI-2.
Control Enhancements:
(1) The organization analyzes new software in a separate test environment before installation in an operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or intentional malice.
(2) The organization, after the information system is changed, checks the security functions to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security requirements for the system.
Enhancement Supplemental Guidance: Changes include information system upgrades and modifications.
References: NIST Special Publication 800-128.
Priority and Baseline Allocation:
P2 LOW CM-4 MOD CM-4 HIGH CM-4 (1)


CM-5 ACCESS RESTRICTIONS FOR CHANGE

Control: The organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system.
Supplemental Guidance: Any changes to the hardware, software, and/or firmware components of the information system can potentially have significant effects on the overall security of the system. Accordingly, only qualified and authorized individuals are allowed to obtain access to information system components for purposes of initiating changes, including upgrades and modifications. Additionally, maintaining records of access is essential for ensuring that configuration change control is being implemented as intended and for supporting after-the-fact actions should the organization become aware of an unauthorized change to the information system. Access restrictions for change also include software libraries. Examples of access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes are implemented into a third-party interface rather than directly into the information system component), and change windows (e.g., changes occur only during specified times, making unauthorized changes outside the window easy to discover). Some or all of the enforcement mechanisms and processes necessary to implement this security control are included in other controls. For measures implemented in other controls, this control provides information to be used in the implementation of the other controls to cover specific needs related to enforcing authorizations to make changes to the information system, auditing changes, and retaining and review records of changes. Related controls: AC-3, AC-6, PE-3.
Control Enhancements:
(1) The organization employs automated mechanisms to enforce access restrictions and support auditing of the enforcement actions.
(2) The organization conducts audits of information system changes [Assignment: organization-defined frequency] and when indications so warrant to determine whether unauthorized changes have occurred.
(3) The information system prevents the installation of [Assignment: organization-defined critical software programs] that are not signed with a certificate that is recognized and approved by the organization.
Enhancement Supplemental Guidance: Critical software programs and/or modules include, for example, patches, service packs, and where applicable, device drivers.
(4) The organization enforces a two-person rule for changes to [Assignment: organization-defined information system components and system-level information].
(5) The organization:
(a) Limits information system developer/integrator privileges to change hardware, software, and firmware components and system information directly within a production environment; and
(b) Reviews and reevaluates information system developer/integrator privileges [Assignment: organization-defined frequency].
(6) The organization limits privileges to change software resident within software libraries (including privileged programs).
(7) The information system automatically implements [Assignment: organization-defined safeguards and countermeasures] if security functions (or mechanisms) are changed inappropriately.
Enhancement Supplemental Guidance: The information system reacts automatically when inappropriate and/or unauthorized modifications have occurred to security functions or mechanisms. Automatic implementation of safeguards and countermeasures includes, for example, reversing the change, halting the information system or triggering an audit alert when an unauthorized modification to a critical security file occurs.
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD CM-5 HIGH CM-5 (1) (2) (3)


CM-6 CONFIGURATION SETTINGS

Control: The organization:
a. Establishes and documents mandatory configuration settings for information technology products employed within the information system using [Assignment: organization-defined security configuration checklists] that reflect the most restrictive mode consistent with operational requirements;
b. Implements the configuration settings;
c. Identifies, documents, and approves exceptions from the mandatory configuration settings for individual components within the information system based on explicit operational requirements; and
d. Monitors and controls changes to the configuration settings in accordance with organizational policies and procedures.
Supplemental Guidance: Configuration settings are the configurable security-related parameters of information technology products that are part of the information system. Security-related parameters are those parameters impacting the security state of the system including parameters related to meeting other security control requirements. Security-related parameters include, for example, registry settings; account, file, and directory settings (i.e., permissions); and settings for services, ports, protocols, and remote connections. Organizations establish organization-wide mandatory configuration settings from which the settings for a given information system are derived. A security configuration checklist (sometimes referred to as a lockdown guide, hardening guide, security guide, security technical implementation guide [STIG], or benchmark) is a series of instructions or procedures for configuring an information system component to meet operational requirements. Checklists can be developed by information technology developers and vendors, consortia, academia, industry, federal agencies (and other government organizations), and others in the public and private sectors. An example of a security configuration checklist is the Federal Desktop Core Configuration (FDCC) which potentially affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems. Related controls: CM-2, CM-3, SI-4.
Control Enhancements:
(1) The organization employs automated mechanisms to centrally manage, apply, and verify configuration settings.
(2) The organization employs automated mechanisms to respond to unauthorized changes to [Assignment: organization-defined configuration settings].
Enhancement Supplemental Guidance: Responses to unauthorized changes to configuration settings can include, for example, alerting designated organizational personnel, restoring mandatory/organization-defined configuration settings, or in the extreme case, halting affected information system processing.
(3) The organization incorporates detection of unauthorized, security-relevant configuration changes into the organization's incident response capability to ensure that such detected events are tracked, monitored, corrected, and available for historical purposes.
Enhancement Supplemental Guidance: Related controls: IR-4, IR-5.
(4) The information system (including modifications to the baseline configuration) demonstrates conformance to security configuration guidance (i.e., security checklists), prior to being introduced into a production environment.
References: OMB Memoranda 07-11, 07-18, 08-22; NIST Special Publications 800-70, 800-128; Web: NVD.NIST.GOV; http://WWW.NSA.GOV.
Priority and Baseline Allocation:
P1 LOW CM-6 MOD CM-6 (3) HIGH CM-6 (1) (2) (3)


CM-7 LEAST FUNCTIONALITY

Control: The organization configures the information system to provide only essential capabilities and specifically prohibits or restricts the use of the following functions, ports, protocols, and/or services: [Assignment: organization-defined list of prohibited or restricted functions, ports, protocols, and/or services].
Supplemental Guidance: Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from a single component of an information system, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email server or web server, not both). The functions and services provided by organizational information systems, or individual components of information systems, are carefully reviewed to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, file sharing). Organizations consider disabling unused or unnecessary physical and logical ports and protocols (e.g., Universal Serial Bus [USB], File Transfer Protocol [FTP], Internet Protocol Version 6 [IPv6], Hyper Text Transfer Protocol [HTTP]) on information system components to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services. Related control: RA-5.
Control Enhancements:
(1) The organization reviews the information system [Assignment: organization-defined frequency] to identify and eliminate unnecessary functions, ports, protocols, and/or services.
(2) The organization employs automated mechanisms to prevent program execution in accordance with [Selection (one or more): list of authorized software programs; list of unauthorized software programs; rules authorizing the terms and conditions of software program usage].
Enhancement Supplemental Guidance: Related control: CM-2.
(3) The organization ensures compliance with [Assignment: organization-defined registration requirements for ports, protocols, and services].
Enhancement Supplemental Guidance: Organizations use the registration process to manage, track, and provide oversight for information systems and implemented functionality.
References: None.
Priority and Baseline Allocation:
P1 LOW CM-7 MOD CM-7 (1) HIGH CM-7 (1) (2)


CM-8 INFORMATION SYSTEM COMPONENT INVENTORY

Control: The organization develops, documents, and maintains an inventory of information system components that:
a. Accurately reflects the current information system;
b. Is consistent with the authorization boundary of the information system;
c. Is at the level of granularity deemed necessary for tracking and reporting;
d. Includes [Assignment: organization-defined information deemed necessary to achieve effective property accountability]; and
e. Is available for review and audit by designated organizational officials.
Supplemental Guidance: Information deemed to be necessary by the organization to achieve effective property accountability can include, for example, hardware inventory specifications (manufacturer, type, model, serial number, physical location), software license information, information system/component owner, and for a networked component/device, the machine name and network address. Related controls: CM-2, CM-6.
Control Enhancements:
(1) The organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates.
(2) The organization employs automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of information system components.
Enhancement Supplemental Guidance: Organizations maintain the information system inventory to the extent feasible. Virtual machines, for example, can be difficult to monitor because they are not visible to the network when not in use. In such cases, the intent of this control enhancement is to maintain as up-to-date, complete, and accurate an inventory as is reasonable.
(3) The organization:
(a) Employs automated mechanisms [Assignment: organization-defined frequency] to detect the addition of unauthorized components/devices into the information system; and
(b) Disables network access by such components/devices or notifies designated organizational officials.
Enhancement Supplemental Guidance: This control enhancement is applied in addition to the monitoring for unauthorized remote connections in AC-17 and for unauthorized mobile devices in AC-19. The monitoring for unauthorized components/devices on information system networks may be accomplished on an ongoing basis or by the periodic scanning of organizational networks for that purpose. Automated mechanisms can be implemented within the information system and/or in another separate information system or device. Related controls: AC-17, AC-19.
(4) The organization includes in property accountability information for information system components, a means for identifying by [Selection (one or more): name; position; role] individuals responsible for administering those components.
(5) The organization verifies that all components within the authorization boundary of the information system are either inventoried as a part of the system or recognized by another system as a component within that system.
(6) The organization includes assessed component configurations and any approved deviations to current deployed configurations in the information system component inventory.
Enhancement Supplemental Guidance: This control enhancement focuses on the configuration settings established by the organization for its information system components, the specific information system components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings in the deployed information system components. Related controls: CM-2, CM-6.
References: NIST Special Publication 800-128.
Priority and Baseline Allocation:
P1 LOW CM-8 MOD CM-8 (1) (5) HIGH CM-8 (1) (2) (3) (4) (5)


CM-9 CONFIGURATION MANAGEMENT PLAN

Control: The organization develops, documents, and implements a configuration management plan for the information system that:
a. Addresses roles, responsibilities, and configuration management processes and procedures;
b. Defines the configuration items for the information system and when in the system development life cycle the configuration items are placed under configuration management; and
c. Establishes the means for identifying configuration items throughout the system development life cycle and a process for managing the configuration of the configuration items.
Supplemental Guidance: Configuration items are the information system items (hardware, software, firmware, and documentation) to be configuration managed. The configuration management plan satisfies the requirements in the organization's configuration management policy while being tailored to the individual information system. The configuration management plan defines detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. The plan describes how to move a change through the change management process, how configuration settings and configuration baselines are updated, how the information system component inventory is maintained, how development, test, and operational environments are controlled, and finally, how documents are developed, released, and updated. The configuration management approval process includes designation of key management stakeholders that are responsible for reviewing and approving proposed changes to the information system, and security personnel that would conduct an impact analysis prior to the implementation of any changes to the system. Related control: SA-10.
Control Enhancements:
(1) The organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in system development.
Enhancement Supplemental Guidance: In the absence of a dedicated configuration management team, the system integrator may be tasked with developing the configuration management process.
References: NIST Special Publication 800-128.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD CM-9 HIGH CM-9


CONTINGENCY PLANNING

FAMILY: CONTINGENCY PLANNING CLASS: OPERATIONAL

CP-1 CONTINGENCY PLANNING POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. A formal, documented contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the contingency planning family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The contingency planning policy can be included as part of the general information security policy for the organization. Contingency planning procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the contingency planning policy. Related control: PM-9.
Control Enhancements: None.
References: Federal Continuity Directive 1; NIST Special Publications 800-12, 800-34, 800-100.
Priority and Baseline Allocation:
P1 LOW CP-1 MOD CP-1 HIGH CP-1


CP-2 CONTINGENCY PLAN

Control: The organization:
a. Develops a contingency plan for the information system that:
- Identifies essential missions and business functions and associated contingency requirements;
- Provides recovery objectives, restoration priorities, and metrics;
- Addresses contingency roles, responsibilities, assigned individuals with contact information;
- Addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;
- Addresses eventual, full information system restoration without deterioration of the security measures originally planned and implemented; and
- Is reviewed and approved by designated officials within the organization;


b. Distributes copies of the contingency plan to [Assignment: organization-defined list of key contingency personnel (identified by name and/or by role) and organizational elements];
c. Coordinates contingency planning activities with incident handling activities;
d. Reviews the contingency plan for the information system [Assignment: organization-defined frequency];
e. Revises the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing; and
f. Communicates contingency plan changes to [Assignment: organization-defined list of key contingency personnel (identified by name and/or by role) and organizational elements].
Supplemental Guidance: Contingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business operations. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are compromised. Information system recovery objectives are consistent with applicable laws, Executive Orders, directives, policies, standards, or regulations. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission/business effectiveness, such as malicious attacks compromising the confidentiality or integrity of the information system. Examples of actions to call out in contingency plans include, for example, graceful degradation, information system shutdown, fall back to a manual mode, alternate information flows, or operating in a mode that is reserved solely for when the system is under attack. Related controls: AC-14, CP-6, CP-7, CP-8, IR-4, PM-8, PM-11.
Control Enhancements:
(1) The organization coordinates contingency plan development with organizational elements responsible for related plans.
Enhancement Supplemental Guidance: Examples of related plans include Business Continuity Plan, Disaster Recovery Plan, Continuity of Operations Plan, Crisis Communications Plan, Critical Infrastructure Plan, Cyber Incident Response Plan, and Occupant Emergency Plan.
(2) The organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.
(3) The organization plans for the resumption of essential missions and business functions within [Assignment: organization-defined time period] of contingency plan activation.
(4) The organization plans for the full resumption of missions and business functions within [Assignment: organization-defined time period] of contingency plan activation.
(5) The organization plans for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full information system restoration at primary processing and/or storage sites.
(6) The organization provides for the transfer of all essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity and sustains that continuity through restoration to primary processing and/or storage sites.
References: Federal Continuity Directive 1; NIST Special Publication 800-34.
Priority and Baseline Allocation:
P1 LOW CP-2 MOD CP-2 (1) HIGH CP-2 (1) (2) (3)


CP-3 CONTINGENCY TRAINING

Control: The organization trains personnel in their contingency roles and responsibilities with respect to the information system and provides refresher training [Assignment: organization-defined frequency].
Supplemental Guidance: None.
Control Enhancements:
(1) The organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.
(2) The organization employs automated mechanisms to provide a more thorough and realistic training environment.
References: NIST Special Publications 800-16, 800-50.
Priority and Baseline Allocation:
P2 LOW CP-3 MOD CP-3 HIGH CP-3 (1)


CP-4 CONTINGENCY PLAN TESTING AND EXERCISES

Control: The organization:
a. Tests and/or exercises the contingency plan for the information system [Assignment: organization-defined frequency] using [Assignment: organization-defined tests and/or exercises] to determine the plan's effectiveness and the organization's readiness to execute the plan; and
b. Reviews the contingency plan test/exercise results and initiates corrective actions.
Supplemental Guidance: There are several methods for testing and/or exercising contingency plans to identify potential weaknesses (e.g., checklist, walk-through/tabletop, simulation: parallel, full interrupt). Contingency plan testing and/or exercises include a determination of the effects on organizational operations and assets (e.g., reduction in mission capability) and individuals arising due to contingency operations in accordance with the plan.
Control Enhancements:
(1) The organization coordinates contingency plan testing and/or exercises with organizational elements responsible for related plans.
Enhancement Supplemental Guidance: Examples of related plans include Business Continuity Plan, Disaster Recovery Plan, Continuity of Operations Plan, Crisis Communications Plan, Critical Infrastructure Plan, Cyber Incident Response Plan, and Occupant Emergency Plan.
(2) The organization tests/exercises the contingency plan at the alternate processing site to familiarize contingency personnel with the facility and available resources and to evaluate the site's capabilities to support contingency operations.
(3) The organization employs automated mechanisms to more thoroughly and effectively test/exercise the contingency plan by providing more complete coverage of contingency issues, selecting more realistic test/exercise scenarios and environments, and more effectively stressing the information system and supported missions.
(4) The organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing.
Enhancement Supplemental Guidance: Related controls: CP-10, SC-24.
References: FIPS Publication 199; NIST Special Publications 800-34, 800-84.
Priority and Baseline Allocation:
P2 LOW CP-4 MOD CP-4 (1) HIGH CP-4 (1) (2) (4)


CP-5 CONTINGENCY PLAN UPDATE

[Withdrawn: Incorporated into CP-2].


CP-6 ALTERNATE STORAGE SITE

Control: The organization establishes an alternate storage site including necessary agreements to permit the storage and recovery of information system backup information.
Supplemental Guidance: Related controls: CP-2, CP-9, MP-4.
Control Enhancements:
(1) The organization identifies an alternate storage site that is separated from the primary storage site so as not to be susceptible to the same hazards.
Enhancement Supplemental Guidance: Hazards of concern to the organization are typically defined in an organizational assessment of risk.
(2) The organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.
(3) The organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.
Enhancement Supplemental Guidance: Explicit mitigation actions include, for example, duplicating backup information at another alternate storage site if access to the first alternate site is hindered; or, if electronic accessibility to the alternate site is disrupted, planning for physical access to retrieve backup information.
References: NIST Special Publication 800-34.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD CP-6 (1) (3) HIGH CP-6 (1) (2) (3)


CP-7 ALTERNATE PROCESSING SITE

Control: The organization:
a. Establishes an alternate processing site including necessary agreements to permit the resumption of information system operations for essential missions and business functions within [Assignment: organization-defined time period consistent with recovery time objectives] when the primary processing capabilities are unavailable; and
b. Ensures that equipment and supplies required to resume operations are available at the alternate site or contracts are in place to support delivery to the site in time to support the organization-defined time period for resumption.
Supplemental Guidance: Related control: CP-2.
Control Enhancements:
(1) The organization identifies an alternate processing site that is separated from the primary processing site so as not to be susceptible to the same hazards.
Enhancement Supplemental Guidance: Hazards that might affect the information system are typically defined in the risk assessment.
(2) The organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.
(3) The organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with the organization's availability requirements.
(4) The organization configures the alternate processing site so that it is ready to be used as the operational site supporting essential missions and business functions.
(5) The organization ensures that the alternate processing site provides information security measures equivalent to that of the primary site.
References: NIST Special Publication 800-34.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD CP-7 (1) (2) (3) (5) HIGH CP-7 (1) (2) (3) (4) (5)


CP-8 TELECOMMUNICATIONS SERVICES

Control: The organization establishes alternate telecommunications services including necessary agreements to permit the resumption of information system operations for essential missions and business functions within [Assignment: organization-defined time period] when the primary telecommunications capabilities are unavailable.
Supplemental Guidance: Related control: CP-2.
Control Enhancements:
(1) The organization:
(a) Develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with the organization's availability requirements; and
(b) Requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.
(2) The organization obtains alternate telecommunications services with consideration for reducing the likelihood of sharing a single point of failure with primary telecommunications services.
(3) The organization obtains alternate telecommunications service providers that are separated from primary service providers so as not to be susceptible to the same hazards.
(4) The organization requires primary and alternate telecommunications service providers to have contingency plans.
References: NIST Special Publication 800-34; Web: TSP.NCS.GOV.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD CP-8 (1) (2) HIGH CP-8 (1) (2) (3) (4)


CP-9 INFORMATION SYSTEM BACKUP

Control: The organization:
a. Conducts backups of user-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
b. Conducts backups of system-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
c. Conducts backups of information system documentation including security-related documentation [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; and
d. Protects the confidentiality and integrity of backup information at the storage location.
Supplemental Guidance: System-level information includes, for example, system-state information, operating system and application software, and licenses. Digital signatures and cryptographic hashes are examples of mechanisms that can be employed by organizations to protect the integrity of information system backups. An organizational assessment of risk guides the use of encryption for protecting backup information. The protection of system backup information while in transit is beyond the scope of this control. Related controls: CP-6, MP-4.
Control Enhancements:
(1) The organization tests backup information [Assignment: organization-defined frequency] to verify media reliability and information integrity.
(2) The organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.
(3) The organization stores backup copies of the operating system and other critical information system software, as well as copies of the information system inventory (including hardware, software, and firmware components) in a separate facility or in a fire-rated container that is not colocated with the operational system.
(4) [Withdrawn: Incorporated into CP-9].
(5) The organization transfers information system backup information to the alternate storage site [Assignment: organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives].
(6) The organization accomplishes information system backup by maintaining a redundant secondary system, not collocated, that can be activated without loss of information or disruption to the operation.
References: NIST Special Publication 800-34.
Priority and Baseline Allocation:
P1 LOW CP-9 MOD CP-9 (1) HIGH CP-9 (1) (2) (3)


CP-10 INFORMATION SYSTEM RECOVERY AND RECONSTITUTION

Control: The organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure.
Supplemental Guidance: Recovery is executing information system contingency plan activities to restore essential missions and business functions. Reconstitution takes place following recovery and includes activities for returning the information system to its original functional state before contingency plan activation. Recovery and reconstitution procedures are based on organizational priorities, established recovery point/time and reconstitution objectives, and appropriate metrics. Reconstitution includes the deactivation of any interim information system capability that may have been needed during recovery operations. Reconstitution also includes an assessment of the fully restored information system capability, a potential system reauthorization and the necessary activities to prepare the system against another disruption, compromise, or failure. Recovery and reconstitution capabilities employed by the organization can be a combination of automated mechanisms and manual procedures. Related controls: CA-2, CA-6, CA-7, SC-24.
Control Enhancements:
(1) [Withdrawn: Incorporated into CP-4].
(2) The information system implements transaction recovery for systems that are transaction-based.
Enhancement Supplemental Guidance: Database management systems and transaction processing systems are examples of information systems that are transaction-based. Transaction rollback and transaction journaling are examples of mechanisms supporting transaction recovery.
(3) The organization provides compensating security controls for [Assignment: organization-defined circumstances that can inhibit recovery and reconstitution to a known state].
(4) The organization provides the capability to reimage information system components within [Assignment: organization-defined restoration time-periods] from configuration-controlled and integrity-protected disk images representing a secure, operational state for the components.
(5) The organization provides [Selection: real-time; near-real-time] [Assignment: organization-defined failover capability for the information system].
Enhancement Supplemental Guidance: Examples of failover capability are incorporating mirrored information system operations at an alternate processing site or periodic data mirroring at regular intervals during a time period defined by the organization's recovery time period.
(6) The organization protects backup and restoration hardware, firmware, and software.
Enhancement Supplemental Guidance: Protection of backup and restoration hardware, firmware, and software includes both physical and technical measures. Router tables, compilers, and other security-relevant system software are examples of backup and restoration software.
References: NIST Special Publication 800-34.
Priority and Baseline Allocation:
P1 LOW CP-10 MOD CP-10 (2) (3) HIGH CP-10 (2) (3) (4)


IDENTIFICATION AND AUTHENTICATION

FAMILY: IDENTIFICATION AND AUTHENTICATION CLASS: TECHNICAL

IA-1 IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. A formal, documented identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the identification and authentication family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The identification and authentication policy can be included as part of the general information security policy for the organization. Identification and authentication procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the identification and authentication policy. Related control: PM-9.
Control Enhancements: None.
References: FIPS Publication 201; NIST Special Publications 800-12, 800-63, 800-73, 800-76, 800-78, 800-100.
Priority and Baseline Allocation:
P1 LOW IA-1 MOD IA-1 HIGH IA-1


IA-2 IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

Control: The information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).
Supplemental Guidance: Organizational users include organizational employees or individuals the organization deems to have equivalent status of employees (e.g., contractors, guest researchers, individuals from allied nations). Users are uniquely identified and authenticated for all accesses other than those accesses explicitly identified and documented by the organization in AC-14. Unique identification of individuals in group accounts (e.g., shared privilege accounts) may need to be considered for detailed accountability of activity. Authentication of user identities is accomplished through the use of passwords, tokens, biometrics, or in the case of multifactor authentication, some combination thereof. Access to organizational information systems is defined as either local or network. Local access is any access to an organizational information system by a user (or process acting on behalf of a user) where such access is obtained by direct connection without the use of a network. Network access is any access to an organizational information system by a user (or process acting on behalf of a user) where such access is obtained through a network connection. Remote access is a type of network access which involves communication through an external network (e.g., the Internet). Internal networks include local area networks, wide area networks, and virtual private networks that are under the control of the organization. For a virtual private network (VPN), the VPN is considered an internal network if the organization establishes the VPN connection between organization-controlled endpoints in a manner that does not require the organization to depend on any external networks across which the VPN transits to protect the confidentiality and integrity of information transmitted. Identification and authentication requirements for information system access by other than organizational users are described in IA-8.
The identification and authentication requirements in this control are satisfied by complying with Homeland Security Presidential Directive 12 consistent with organization-specific implementation plans provided to OMB. In addition to identifying and authenticating users at the information-system level (i.e., at logon), identification and authentication mechanisms are employed at the application level, when necessary, to provide increased information security for the organization. Related controls: AC-14, AC-17, AC-18, IA-4, IA-5.
Control Enhancements:
(1) The information system uses multifactor authentication for network access to privileged accounts.
(2) The information system uses multifactor authentication for network access to non-privileged accounts.
(3) The information system uses multifactor authentication for local access to privileged accounts.
(4) The information system uses multifactor authentication for local access to non-privileged accounts.
(5) The organization:
(a) Allows the use of group authenticators only when used in conjunction with an individual/unique authenticator; and
(b) Requires individuals to be authenticated with an individual authenticator prior to using a group authenticator.
(6) The information system uses multifactor authentication for network access to privileged accounts where one of the factors is provided by a device separate from the information system being accessed.
(7) The information system uses multifactor authentication for network access to non-privileged accounts where one of the factors is provided by a device separate from the information system being accessed.
(8) The information system uses [Assignment: organization-defined replay-resistant authentication mechanisms] for network access to privileged accounts.
Enhancement Supplemental Guidance: An authentication process resists replay attacks if it is impractical to achieve a successful authentication by recording and replaying a previous authentication message. Techniques used to address this include protocols that use nonces or challenges (e.g., TLS), and time synchronous or challenge-response one-time authenticators.
(9) The information system uses [Assignment: organization-defined replay-resistant authentication mechanisms] for network access to non-privileged accounts.
Enhancement Supplemental Guidance: An authentication process resists replay attacks if it is impractical to achieve a successful authentication by recording and replaying a previous authentication message. Techniques used to address this include protocols that use nonces or challenges (e.g., TLS), and time synchronous or challenge-response one-time authenticators.
References: HSPD 12; OMB Memorandum 04-04; FIPS Publication 201; NIST Special Publications 800-63, 800-73, 800-76, 800-78.
Priority and Baseline Allocation:
P1 LOW IA-2 (1) MOD IA-2 (1) (2) (3) (8) HIGH IA-2 (1) (2) (3) (4) (8) (9)


IA-3 DEVICE IDENTIFICATION AND AUTHENTICATION

Control: The information system uniquely identifies and authenticates [Assignment: organization-defined list of specific and/or types of devices] before establishing a connection.
Supplemental Guidance: The devices requiring unique identification and authentication may be defined by type, by specific device, or by a combination of type and device as deemed appropriate by the organization. The information system typically uses either shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for identification or an organizational authentication solution (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify and authenticate devices on local and/or wide area networks. The required strength of the device authentication mechanism is determined by the security categorization of the information system.
Control Enhancements:
(1) The information system authenticates devices before establishing remote and wireless network connections using bidirectional authentication between devices that is cryptographically based.
Enhancement Supplemental Guidance: Remote network connection is any connection with a device communicating through an external network (e.g., the Internet). Related controls: AC-17, AC-18.
(2) The information system authenticates devices before establishing network connections using bidirectional authentication between devices that is cryptographically based.
(3) The organization standardizes, with regard to dynamic address allocation, Dynamic Host Control Protocol (DHCP) lease information and the time assigned to devices, and audits lease information when assigned to a device.
Enhancement Supplemental Guidance: With regard to dynamic address allocation for devices, DHCP-enabled clients typically obtain leases for IP addresses from DHCP servers.
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD IA-3 HIGH IA-3


IA-4 IDENTIFIER MANAGEMENT

Control: The organization manages information system identifiers for users and devices by:
a. Receiving authorization from a designated organizational official to assign a user or device identifier;
b. Selecting an identifier that uniquely identifies an individual or device;
c. Assigning the user identifier to the intended party or the device identifier to the intended device;
d. Preventing reuse of user or device identifiers for [Assignment: organization-defined time period]; and
e. Disabling the user identifier after [Assignment: organization-defined time period of inactivity].
Supplemental Guidance: Common device identifiers include media access control (MAC) or Internet protocol (IP) addresses, or device-unique token identifiers. Management of user identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). It is commonly the case that a user identifier is the name of an information system account associated with an individual. In such instances, identifier management is largely addressed by the account management activities of AC-2. IA-4 also covers user identifiers not necessarily associated with an information system account (e.g., the identifier used in a physical security control database accessed by a badge reader system for access to the information system). Related control: AC-2, IA-2.
Control Enhancements:
(1) The organization prohibits the use of information system account identifiers as public identifiers for user electronic mail accounts (i.e., user identifier portion of the electronic mail address).
Enhancement Supplemental Guidance: The organization implements this control enhancement to the extent that the information system allows.
(2) The organization requires that registration to receive a user ID and password include authorization by a supervisor, and be done in person before a designated registration authority.
(3) The organization requires multiple forms of certification of individual identification such as documentary evidence or a combination of documents and biometrics be presented to the registration authority.
(4) The organization manages user identifiers by uniquely identifying the user as [Assignment: organization-defined characteristic identifying user status].
Enhancement Supplemental Guidance: Characteristics identifying user status include, for example, contractors and foreign nationals.
(5) The information system dynamically manages identifiers, attributes, and associated access authorizations.
Enhancement Supplemental Guidance: In contrast to conventional approaches to identification and authentication which employ static information system accounts for preregistered users, many service-oriented architecture implementations rely on establishing identities at run time for entities that were previously unknown. Dynamic establishment of identities and association of attributes and privileges with these identities is anticipated and provisioned. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.
References: FIPS Publication 201; NIST Special Publications 800-73, 800-76, 800-78.
Priority and Baseline Allocation:
P1 LOW IA-4 MOD IA-4 HIGH IA-4


IA-5 AUTHENTICATOR MANAGEMENT

Control: The organization manages information system authenticators for users and devices by:
a. Verifying, as part of the initial authenticator distribution, the identity of the individual and/or device receiving the authenticator;
b. Establishing initial authenticator content for authenticators defined by the organization;
c. Ensuring that authenticators have sufficient strength of mechanism for their intended use;
d. Establishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;
e. Changing default content of authenticators upon information system installation;
f. Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators (if appropriate);
g. Changing/refreshing authenticators [Assignment: organization-defined time period by authenticator type];
h. Protecting authenticator content from unauthorized disclosure and modification; and
i. Requiring users to take, and having devices implement, specific measures to safeguard authenticators.
Supplemental Guidance: User authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). Many information system components are shipped with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, present a significant security risk, and therefore, are changed upon installation. The requirement to protect user authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of users and by controls AC-3, AC-6, and SC-28 for authenticators stored within the information system (e.g., passwords stored in a hashed or encrypted format, files containing encrypted or hashed passwords accessible only with super user privileges). The information system supports user authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one time tokens, and number of allowed rejections during verification stage of biometric authentication. Measures to safeguard user authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing authenticators with others, and reporting lost or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords. Related controls: AC-2, IA-2, PL-4, PS-6.
Control Enhancements:
(1) The information system, for password-based authentication:
(a) Enforces minimum password complexity of [Assignment: organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type];
(b) Enforces at least a [Assignment: organization-defined number of changed characters] when new passwords are created;
(c) Encrypts passwords in storage and in transmission;
(d) Enforces password minimum and maximum lifetime restrictions of [Assignment: organization-defined numbers for lifetime minimum, lifetime maximum]; and
(e) Prohibits password reuse for [Assignment: organization-defined number] generations.
Enhancement Supplemental Guidance: This control enhancement is intended primarily for environments where passwords are used as a single factor to authenticate users, or in a similar manner along with one or more additional authenticators. The enhancement generally does not apply to situations where passwords are used to unlock hardware authenticators. The implementation of such password mechanisms may not meet all of the requirements in the enhancement.
(2) The information system, for PKI-based authentication:
(a) Validates certificates by constructing a certification path with status information to an accepted trust anchor;
(b) Enforces authorized access to the corresponding private key; and
(c) Maps the authenticated identity to the user account.
Enhancement Supplemental Guidance: Status information for certification paths includes, for example, certificate revocation lists or online certificate status protocol responses.
(3) The organization requires that the registration process to receive [Assignment: organization-defined types of and/or specific authenticators] be carried out in person before a designated registration authority with authorization by a designated organizational official (e.g., a supervisor).
(4) The organization employs automated tools to determine if authenticators are sufficiently strong to resist attacks intended to discover or otherwise compromise the authenticators.
(5) The organization requires vendors and/or manufacturers of information system components to provide unique authenticators or change default authenticators prior to delivery.
Enhancement Supplemental Guidance: This control enhancement extends the requirement for organizations to change default authenticators upon information system installation, by requiring vendors and/or manufacturers of information system components to provide unique authenticators or change default authenticators for those components prior to delivery to the organization. Unique authenticators are assigned by vendors and/or manufacturers to specific information system components (i.e., delivered information technology products) with distinct serial numbers. This requirement is included in acquisition documents prepared by the organization when procuring information systems and/or information system components.
(6) The organization protects authenticators commensurate with the classification or sensitivity of the information accessed.
(7) The organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys.
Enhancement Supplemental Guidance: Organizations exercise caution in determining whether an embedded or stored authenticator is in encrypted or unencrypted form. If the authenticator in its stored representation, is used in the manner stored, then that representation is considered an unencrypted authenticator. This is irrespective of whether that representation is perhaps an encrypted version of something else (e.g., a password).
(8) The organization takes [Assignment: organization-defined measures] to manage the risk of compromise due to individuals having accounts on multiple information systems.
Enhancement Supplemental Guidance: When an individual has accounts on multiple information systems, there is the risk that if one account is compromised and the individual is using the same user identifier and authenticator, other accounts will be compromised as well. Possible alternatives include, but are not limited to: (i) having the same user identifier but different authenticators on all systems; (ii) having different user identifiers and authenticators on each system; (iii) employing some form of single sign-on mechanism; or (iv) including some form of one-time passwords on all systems.
References: OMB Memorandum 04-04; FIPS Publication 201; NIST Special Publications 800-73, 800-63, 800-76, 800-78.
Priority and Baseline Allocation:
P1 LOW IA-5 (1) MOD IA-5 (1) (2) (3) HIGH IA-5 (1) (2) (3)


IA-6 AUTHENTICATOR FEEDBACK

Control: The information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.
Supplemental Guidance: The feedback from the information system does not provide information that would allow an unauthorized user to compromise the authentication mechanism. Displaying asterisks when a user types in a password, is an example of obscuring feedback of authentication information.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P1 LOW IA-6 MOD IA-6 HIGH IA-6


IA-7 CRYPTOGRAPHIC MODULE AUTHENTICATION

Control: The information system uses mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.
Supplemental Guidance: None.
Control Enhancements: None.
References: FIPS Publication 140-2; Web: http://CSRC.NIST.GOV/CRYPTVAL.
Priority and Baseline Allocation:
P1 LOW IA-7 MOD IA-7 HIGH IA-7


IA-8 IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)

Control: The information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).
Supplemental Guidance: Non-organizational users include all information system users other than organizational users explicitly covered by IA-2. Users are uniquely identified and authenticated for all accesses other than those accesses explicitly identified and documented by the organization in accordance with AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Accordingly, a risk assessment is used in determining the authentication needs of the organization. Scalability, practicality, and security are simultaneously considered in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk to organizational operations, organizational assets, individuals, other organizations, and the Nation. Identification and authentication requirements for information system access by organizational users are described in IA-2. Related controls: AC-14, AC-17, AC-18, MA-4.
Control Enhancements: None.
References: OMB Memorandum 04-04; Web: http://WWW.CIO.GOV/EAUTHENTICATION; NIST Special Publication 800-63.
Priority and Baseline Allocation:
P1 LOW IA-8 MOD IA-8 HIGH IA-8


INCIDENT RESPONSE

FAMILY: INCIDENT RESPONSE CLASS: OPERATIONAL

IR-1 INCIDENT RESPONSE POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. A formal, documented incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the incident response policy and associated incident response controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the incident response family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The incident response policy can be included as part of the general information security policy for the organization. Incident response procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the incident response policy. Related control: PM-9.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-61, 800-83, 800-100.
Priority and Baseline Allocation:
P1 LOW IR-1 MOD IR-1 HIGH IR-1


IR-2 INCIDENT RESPONSE TRAINING

Control: The organization:
a. Trains personnel in their incident response roles and responsibilities with respect to the information system; and
b. Provides refresher training [Assignment: organization-defined frequency].
Supplemental Guidance: Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources. Related control: AT-3.
Control Enhancements:
(1) The organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations.
(2) The organization employs automated mechanisms to provide a more thorough and realistic training environment.
References: NIST Special Publications 800-16, 800-50.
Priority and Baseline Allocation:
P2 LOW IR-2 MOD IR-2 HIGH IR-2 (1) (2)


IR-3 INCIDENT RESPONSE TESTING AND EXERCISES

Control: The organization tests and/or exercises the incident response capability for the information system [Assignment: organization-defined frequency] using [Assignment: organization-defined tests and/or exercises] to determine the incident response effectiveness and documents the results.
Supplemental Guidance: None.
Control Enhancements:
(1) The organization employs automated mechanisms to more thoroughly and effectively test/exercise the incident response capability.
Enhancement Supplemental Guidance: Automated mechanisms can provide the ability to more thoroughly and effectively test or exercise the incident response capability by providing more complete coverage of incident response issues, selecting more realistic test/exercise scenarios and environments, and more effectively stressing the response capability. Related control: AT-2.
References: NIST Special Publications 800-84, 800-115.
Priority and Baseline Allocation:
P2 LOW Not Selected MOD IR-3 HIGH IR-3 (1)


IR-4 INCIDENT HANDLING

Control: The organization:
a. Implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery;
b. Coordinates incident handling activities with contingency planning activities; and
c. Incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing/exercises, and implements the resulting changes accordingly.
Supplemental Guidance: Incident-related information can be obtained from a variety of sources including, but not limited to, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports. Related controls: AU-6, CP-2, IR-2, IR-3, PE-6, SC-5, SC-7, SI-3, SI-4, SI-7.
Control Enhancements:
(1) The organization employs automated mechanisms to support the incident handling process.
Enhancement Supplemental Guidance: An online incident management system is an example of an automated mechanism.
(2) The organization includes dynamic reconfiguration of the information system as part of the incident response capability.
Enhancement Supplemental Guidance: Dynamic reconfiguration includes, for example, changes to router rules, access control lists, intrusion detection/prevention system parameters, and filter rules for firewalls and gateways.
(3) The organization identifies classes of incidents and defines appropriate actions to take in response to ensure continuation of organizational missions and business functions.
Enhancement Supplemental Guidance: Classes of incidents include, for example, malfunctions due to design/implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Incident response actions that may be appropriate include, for example, graceful degradation, information system shutdown, fall back to manual mode or alternative technology whereby the system operates differently, employing deceptive measures (e.g., false data flows, false status measures), alternate information flows, or operating in a mode that is reserved solely for when a system is under attack.
(4) The organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.
(5) The organization implements a configurable capability to automatically disable the information system if any of the following security violations are detected: [Assignment: organization-defined list of security violations].
References: NIST Special Publication 800-61.
Priority and Baseline Allocation:
P1 LOW IR-4 MOD IR-4 (1) HIGH IR-4 (1)


IR-5 INCIDENT MONITORING

Control: The organization tracks and documents information system security incidents.
Supplemental Guidance: Documenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, incident reports, incident response teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports.
Control Enhancements:
(1) The organization employs automated mechanisms to assist in the tracking of security incidents and in the collection and analysis of incident information.
Enhancement Supplemental Guidance: Automated mechanisms for tracking security incidents and collecting/analyzing incident information include, for example, the Einstein network monitoring device and monitoring online Computer Incident Response Centers (CIRCs) or other electronic databases of incidents. Related controls: AU-6, AU-7, SI-4.
References: NIST Special Publication 800-61.
Priority and Baseline Allocation:
P1 LOW IR-5 MOD IR-5 HIGH IR-5 (1)


IR-6 INCIDENT REPORTING

Control: The organization:
a. Requires personnel to report suspected security incidents to the organizational incident response capability within [Assignment: organization-defined time-period]; and
b. Reports security incident information to designated authorities.
Supplemental Guidance: The intent of this control is to address both specific incident reporting requirements within an organization and the formal incident reporting requirements for federal agencies and their subordinate organizations. The types of security incidents reported, the content and timeliness of the reports, and the list of designated reporting authorities are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Current federal policy requires that all federal agencies (unless specifically exempted from such requirements) report security incidents to the United States Computer Emergency Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling. Related controls: IR-4, IR-5.
Control Enhancements:
(1) The organization employs automated mechanisms to assist in the reporting of security incidents.
(2) The organization reports information system weaknesses, deficiencies, and/or vulnerabilities associated with reported security incidents to appropriate organizational officials.
References: NIST Special Publication 800-61: Web: http://WWW.US-CERT.GOV.
Priority and Baseline Allocation:
P1 LOW IR-6 MOD IR-6 (1) HIGH IR-6 (1)


IR-7 INCIDENT RESPONSE ASSISTANCE

Control: The organization provides an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the information system for the handling and reporting of security incidents.
Supplemental Guidance: Possible implementations of incident response support resources in an organization include a help desk or an assistance group and access to forensics services, when required. Related controls: IR-4, IR-6.
Control Enhancements:
(1) The organization employs automated mechanisms to increase the availability of incident response-related information and support.
Enhancement Supplemental Guidance: Automated mechanisms can provide a push and/or pull capability for users to obtain incident response assistance. For example, individuals might have access to a website to query the assistance capability, or conversely, the assistance capability may have the ability to proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.
(2) The organization:
(a) Establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and
(b) Identifies organizational incident response team members to the external providers.
Enhancement Supplemental Guidance: External providers of information system protection capability include, for example, the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks.
References: None.
Priority and Baseline Allocation:
P3 LOW IR-7 MOD IR-7 (1) HIGH IR-7 (1)


IR-8 INCIDENT RESPONSE PLAN

Control: The organization:
a. Develops an incident response plan that:
- Provides the organization with a roadmap for implementing its incident response capability;
- Describes the structure and organization of the incident response capability;
- Provides a high-level approach for how the incident response capability fits into the overall organization;
- Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;
- Defines reportable incidents;
- Provides metrics for measuring the incident response capability within the organization. - Defines the resources and management support needed to effectively maintain and mature an incident response capability; and
- Is reviewed and approved by designated officials within the organization;
b. Distributes copies of the incident response plan to [Assignment: organization-defined list of incident response personnel (identified by name and/or by role) and organizational elements];
c. Reviews the incident response plan [Assignment: organization-defined frequency];
d. Revises the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing; and
e. Communicates incident response plan changes to [Assignment: organization-defined list of incident response personnel (identified by name and/or by role) and organizational elements].
Supplemental Guidance: It is important that organizations have a formal, focused, and coordinated approach to responding to incidents. The organization's mission, strategies, and goals for incident response help determine the structure of its incident response capability.
Control Enhancements: None.
References: NIST Special Publication 800-61.
Priority and Baseline Allocation:
P1 LOW IR-8 MOD IR-8 HIGH IR-8


MAINTENANCE

FAMILY: MAINTENANCE CLASS: OPERATIONAL

MA-1 SYSTEM MAINTENANCE POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. A formal, documented information system maintenance policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the information system maintenance policy and associated system maintenance controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system maintenance family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The information system maintenance policy can be included as part of the general information security policy for the organization. System maintenance procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system maintenance policy. Related control: PM-9.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1 LOW MA-1 MOD MA-1 HIGH MA-1


MA-2 CONTROLLED MAINTENANCE

Control: The organization:
a. Schedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements;
b. Controls all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;
c. Requires that a designated official explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;
d. Sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs; and
e. Checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions.
Supplemental Guidance: The control is intended to address the information security aspects of the organization's information system maintenance program. Related controls: MP-6, SI-2.
Control Enhancements:
(1) The organization maintains maintenance records for the information system that include:
(a) Date and time of maintenance;
(b) Name of the individual performing the maintenance;
(c) Name of escort, if necessary;
(d) A description of the maintenance performed; and
(e) A list of equipment removed or replaced (including identification numbers, if applicable).
(2) The organization employs automated mechanisms to schedule, conduct, and document maintenance and repairs as required, producing up-to date, accurate, complete, and available records of all maintenance and repair actions, needed, in process, and completed.
References: None.
Priority and Baseline Allocation:
P2 LOW MA-2 MOD MA-2 (1) HIGH MA-2 (1) (2)


MA-3 MAINTENANCE TOOLS

Control: The organization approves, controls, monitors the use of, and maintains on an ongoing basis, information system maintenance tools.
Supplemental Guidance: The intent of this control is to address the security-related issues arising from the hardware and software brought into the information system specifically for diagnostic and repair actions (e.g., a hardware or software packet sniffer that is introduced for the purpose of a particular maintenance activity). Hardware and/or software components that may support information system maintenance, yet are a part of the system (e.g., the software implementing "ping," "ls," "ipconfig," or the hardware and software implementing the monitoring port of an Ethernet switch) are not covered by this control. Related control: MP-6.
Control Enhancements:
(1) The organization inspects all maintenance tools carried into a facility by maintenance personnel for obvious improper modifications.
Enhancement Supplemental Guidance: Maintenance tools include, for example, diagnostic and test equipment used to conduct maintenance on the information system.
(2) The organization checks all media containing diagnostic and test programs for malicious code before the media are used in the information system.
(3) The organization prevents the unauthorized removal of maintenance equipment by one of the following: (i) verifying that there is no organizational information contained on the equipment; (ii) sanitizing or destroying the equipment; (iii) retaining the equipment within the facility; or (iv) obtaining an exemption from a designated organization official explicitly authorizing removal of the equipment from the facility.
(4) The organization employs automated mechanisms to restrict the use of maintenance tools to authorized personnel only.
References: NIST Special Publication 800-88.
Priority and Baseline Allocation:
P2 LOW Not Selected MOD MA-3 (1) (2) HIGH MA-3 (1) (2) (3)


MA-4 NON-LOCAL MAINTENANCE

Control: The organization:
a. Authorizes, monitors, and controls non-local maintenance and diagnostic activities;
b. Allows the use of non-local maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system;
c. Employs strong identification and authentication techniques in the establishment of non-local maintenance and diagnostic sessions;
d. Maintains records for non-local maintenance and diagnostic activities; and
e. Terminates all sessions and network connections when non-local maintenance is completed.
Supplemental Guidance: Non-local maintenance and diagnostic activities are those activities conducted by individuals communicating through a network; either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Identification and authentication techniques used in the establishment of non-local maintenance and diagnostic sessions are consistent with the network access requirements in IA-2. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part, by other controls. Related controls: AC-2, AC-3, AC-6, AC-17, AU-2, AU-3, IA-2, IA-8, MA-5, MP-6, SC-7.
Control Enhancements:
(1) The organization audits non-local maintenance and diagnostic sessions and designated organizational personnel review the maintenance records of the sessions.
(2) The organization documents, in the security plan for the information system, the installation and use of non-local maintenance and diagnostic connections.
(3) The organization:
(a) Requires that non-local maintenance and diagnostic services be performed from an information system that implements a level of security at least as high as that implemented on the system being serviced; or
(b) Removes the component to be serviced from the information system and prior to non-local maintenance or diagnostic services, sanitizes the component (with regard to organizational information) before removal from organizational facilities, and after the service is performed, inspects and sanitizes the component (with regard to potentially malicious software and surreptitious implants) before reconnecting the component to the information system.
(4) The organization protects non-local maintenance sessions through the use of a strong authenticator tightly bound to the user and by separating the maintenance session from other network sessions with the information system by either:
(a) Physically separated communications paths; or
(b) Logically separated communications paths based upon encryption.
Enhancement Supplemental Guidance: Related control: SC-13.
(5) The organization requires that:
(a) Maintenance personnel notify [Assignment: organization-defined personnel] when non-local maintenance is planned (i.e., date/time); and
(b) A designated organizational official with specific information security/information system knowledge approves the non-local maintenance.
(6) The organization employs cryptographic mechanisms to protect the integrity and confidentiality of non-local maintenance and diagnostic communications.
(7) The organization employs remote disconnect verification at the termination of non-local maintenance and diagnostic sessions.
References: FIPS Publications 140-2, 197, 201; NIST Special Publications 800-63, 800-88; CNSS Policy 15.
Priority and Baseline Allocation:
P1 LOW MA-4 MOD MA-4 (1) (2) HIGH MA-4 (1) (2) (3)


MA-5 MAINTENANCE PERSONNEL

Control: The organization:
a. Establishes a process for maintenance personnel authorization and maintains a current list of authorized maintenance organizations or personnel; and
b. Ensures that personnel performing maintenance on the information system have required access authorizations or designates organizational personnel with required access authorizations and technical competence deemed necessary to supervise information system maintenance when maintenance personnel do not possess the required access authorizations.
Supplemental Guidance: Individuals not previously identified in the information system, such as vendor personnel and consultants, may legitimately require privileged access to the system, for example, when required to conduct maintenance or diagnostic activities with little or no notice. Based on a prior assessment of risk, the organization may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for a very limited time period. Related controls: IA-8, MA-5.
Control Enhancements:
(1) The organization maintains procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:
(a) 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 information system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;
(b) 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 information system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and
(c) In the event an information system component cannot be sanitized, the procedures contained in the security plan for the system are enforced.
Enhancement Supplemental Guidance: The intent of this control enhancement is to deny individuals who lack appropriate security clearances (i.e., individuals who do not possess security clearances or possess security clearances at a lower level than required) or who are not U.S. citizens, visual and electronic access to any classified information, Controlled Unclassified Information (CUI), or any other sensitive information contained on the information system. Procedures for the use of maintenance personnel can be documented in the security plan for the information system.
(2) The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are cleared (i.e., possess appropriate security clearances) for the highest level of information on the system.
(3) The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.
(4) The organization ensures that:
(a) Cleared foreign nationals (i.e., foreign nationals with appropriate security clearances), are used to conduct maintenance and diagnostic activities on an information system only when the system is jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and
(b) Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on an information system are fully documented within a Memorandum of Agreement.
References: None.
Priority and Baseline Allocation:
P1 LOW MA-5 MOD MA-5 HIGH MA-5


MA-6 TIMELY MAINTENANCE

Control: The organization obtains maintenance support and/or spare parts for [Assignment: organization-defined list of security-critical information system components and/or key information technology components] within [Assignment: organization-defined time period] of failure.
Supplemental Guidance: The organization specifies those information system components that, when not operational, result in increased risk to organizations, individuals, or the Nation because the security functionality intended by that component is not being provided. Security-critical components include, for example, firewalls, guards, gateways, intrusion detection systems, audit repositories, authentication servers, and intrusion prevention systems. Related control: CP-2.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD MA-6 HIGH MA-6


MEDIA PROTECTION

FAMILY: MEDIA PROTECTION CLASS: OPERATIONAL

MP-1 MEDIA PROTECTION POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. A formal, documented media protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the media protection policy and associated media protection controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the media protection family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The media protection policy can be included as part of the general information security policy for the organization. Media protection procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the media protection policy. Related control: PM-9.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1 LOW MP-1 MOD MP-1 HIGH MP-1


MP-2 MEDIA ACCESS

Control: The organization restricts access to [Assignment: organization-defined types of digital and non-digital media] to [Assignment: organization-defined list of authorized individuals] using [Assignment: organization-defined security measures].
Supplemental Guidance: Information system media includes both digital media (e.g., diskettes, magnetic tapes, external/removable hard drives, flash/thumb drives, compact disks, digital video disks) and non-digital media (e.g., paper, microfilm). This control also applies to mobile computing and communications devices with information storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones, digital cameras, and audio recording devices). An organizational assessment of risk guides the selection of media and associated information contained on that media requiring restricted access. Organizations document in policy and procedures, the media requiring restricted access, individuals authorized to access the media, and the specific measures taken to restrict access. Fewer protection measures are needed for media containing information determined by the organization to be in the public domain, to be publicly releasable, or to have limited or no adverse impact if accessed by other than authorized personnel. In these situations, it is assumed that the physical access controls where the media resides provide adequate protection. Related controls: MP-4, PE-3.
Control Enhancements:
(1) The organization employs automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted.
Enhancement Supplemental Guidance: This control enhancement is primarily applicable to media storage areas within an organization where a significant volume of media is stored and is not applicable to every location where some media is stored (e.g., in individual offices).
(2) The information system uses cryptographic mechanisms to protect and restrict access to information on portable digital media.
References: FIPS Publication 199; NIST Special Publication 800-111.
Priority and Baseline Allocation:
P1 LOW MP-2 MOD MP-2 (1) HIGH MP-2 (1)


MP-3 MEDIA MARKING

Control: The organization:
a. Marks, in accordance with organizational policies and procedures, removable information system media and information system output indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and
b. Exempts [Assignment: organization-defined list of removable media types] from marking as long as the exempted items remain within [Assignment: organization-defined controlled areas].
Supplemental Guidance: The term marking is used when referring to the application or use of human-readable security attributes. The term labeling is used when referring to the application or use of security attributes with regard to internal data structures within the information system (see AC-16, Security Attributes). Removable information system media includes both digital media (e.g., diskettes, magnetic tapes, external/removable hard drives, flash/thumb drives, compact disks, digital video disks) and non-digital media (e.g., paper, microfilm). An organizational assessment of risk guides the selection of media requiring marking. Marking is generally not required for media containing information determined by the organization to be in the public domain or to be publicly releasable. Some organizations, however, may require markings for public information indicating that the information is publicly releasable. Organizations may extend the scope of this control to include information system output devices containing organizational information, including, for example, monitors and printers. Marking of removable media and information system output is consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
Control Enhancements: None.
References: FIPS Publication 199.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD MP-3 HIGH MP-3


MP-4 MEDIA STORAGE

Control: The organization:
a. Physically controls and securely stores [Assignment: organization-defined types of digital and non-digital media] within [Assignment: organization-defined controlled areas] using [Assignment: organization-defined security measures];
b. Protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.
Supplemental Guidance: Information system media includes both digital media (e.g., diskettes, magnetic tapes, external/removable hard drives, flash/thumb drives, compact disks, digital video disks) and non-digital media (e.g., paper, microfilm). This control also applies to mobile computing and communications devices with information storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones, digital cameras, and audio recording devices). Telephone systems are also considered information systems and may have the capability to store information on internal media (e.g., on voicemail systems). Since telephone systems do not have, in most cases, the identification, authentication, and access control mechanisms typically employed in other information systems, organizational personnel use extreme caution in the types of information stored on telephone voicemail systems. A controlled area is any area or space for which the organization has confidence that the physical and procedural protections are sufficient to meet the requirements established for protecting the information and/or information system.
An organizational assessment of risk guides the selection of media and associated information contained on that media requiring physical protection. Fewer protection measures are needed for media containing information determined by the organization to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on the organization or individuals if accessed by other than authorized personnel. In these situations, it is assumed that the physical access controls to the facility where the media resides provide adequate protection.
As part of a defense-in-depth strategy, the organization considers routinely encrypting information at rest on selected secondary storage devices. The employment of cryptography is at the discretion of the information owner/steward. The selection of the cryptographic mechanisms used is based upon maintaining the confidentiality and integrity of the information. The strength of mechanisms is commensurate with the classification and sensitivity of the information. Related controls: AC-3, AC-19, CP-6, CP-9, MP-2, PE-3.
Control Enhancements:
(1) The organization employs cryptographic mechanisms to protect information in storage.
Enhancement Supplemental Guidance: Related control: SC-13.
References: FIPS Publication 199; NIST Special Publications 800-56, 800-57, 800-111.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD MP-4 HIGH MP-4


MP-5 MEDIA TRANSPORT

Control: The organization:
a. Protects and controls [Assignment: organization-defined types of digital and non-digital media] during transport outside of controlled areas using [Assignment: organization-defined security measures];
b. Maintains accountability for information system media during transport outside of controlled areas; and
c. Restricts the activities associated with transport of such media to authorized personnel.
Supplemental Guidance: Information system media includes both digital media (e.g., diskettes, magnetic tapes, removable hard drives, flash/thumb drives, compact disks, digital video disks) and non-digital media (e.g., paper, microfilm). This control also applies to mobile computing and communications devices with information storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones, digital cameras, and audio recording devices) that are transported outside of controlled areas. Telephone systems are also considered information systems and may have the capability to store information on internal media (e.g., on voicemail systems). Since telephone systems do not have, in most cases, the identification, authentication, and access control mechanisms typically employed in other information systems, organizational personnel use caution in the types of information stored on telephone voicemail systems that are transported outside of controlled areas. A controlled area is any area or space for which the organization has confidence that the physical and procedural protections provided are sufficient to meet the requirements established for protecting the information and/or information system.
Physical and technical security measures for the protection of digital and non-digital media are commensurate with the classification or sensitivity of the information residing on the media, and consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Locked containers and cryptography are examples of security measures available to protect digital and non-digital media during transport. Cryptographic mechanisms can provide confidentiality and/or integrity protections depending upon the mechanisms used. An organizational assessment of risk guides: (i) the selection of media and associated information contained on that media requiring protection during transport; and (ii) the selection and use of storage containers for transporting non-digital media. Authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Related controls: AC-19, CP-9.
Control Enhancements:
(1) [Withdrawn: Incorporated into MP-5].
(2) The organization documents activities associated with the transport of information system media.
Enhancement Supplemental Guidance: Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with the organizational assessment of risk to include the flexibility to define different record-keeping methods for different types of media transport as part of an overall system of transport-related records.
(3) The organization employs an identified custodian throughout the transport of information system media.
Enhancement Supplemental Guidance: Custodial responsibilities can be transferred from one individual to another as long as an unambiguous custodian is identified at all times.
(4) The organization employs cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.
Enhancement Supplemental Guidance: This control enhancement also applies to mobile devices. Mobile devices include portable storage media (e.g., USB memory sticks, external hard disk drives) and portable computing and communications devices with storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones). Related control: MP-4. Related controls: MP-2; SC-13.
References: FIPS Publication 199; NIST Special Publication 800-60.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD MP-5 (2) (4) HIGH MP-5 (2) (3) (4)


MP-6 MEDIA SANITIZATION

Control: The organization:
a. Sanitizes information system media, both digital and non-digital, prior to disposal, release out of organizational control, or release for reuse; and
b. Employs sanitization mechanisms with strength and integrity commensurate with the classification or sensitivity of the information.
Supplemental Guidance: This control applies to all media subject to disposal or reuse, whether or not considered removable. Sanitization is the process used to remove information from information system media such that there is reasonable assurance that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, and destroying media information, prevent the disclosure of organizational information to unauthorized individuals when such media is reused or released for disposal. The organization uses its discretion on the employment of sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on the organization or individuals if released for reuse or disposal.
Control Enhancements:
(1) The organization tracks, documents, and verifies media sanitization and disposal actions.
(2) The organization tests sanitization equipment and procedures to verify correct performance [Assignment: organization-defined frequency].
(3) The organization sanitizes portable, removable storage devices prior to connecting such devices to the information system under the following circumstances: [Assignment: organization-defined list of circumstances requiring sanitization of portable, removable storage devices].
Enhancement Supplemental Guidance: Portable, removable storage devices (e.g., thumb drives, flash drives, external storage devices) can be the source of malicious code insertions into organizational information systems. Many of these devices are obtained from unknown sources and may contain various types of malicious code that can be readily transferred to the information system through USB ports or other entry portals. While scanning such devices is always recommended, sanitization provides additional assurance that the device is free of all malicious code to include code capable of initiating zero-day attacks. Organizations consider sanitization of portable, removable storage devices, for example, when such devices are first purchased from the manufacturer or vendor prior to initial use or when the organization loses a positive chain of custody for the device. An organizational assessment of risk guides the specific circumstances for employing the sanitization process. Related control: SI-3.
(4) The organization sanitizes information system media containing Controlled Unclassified Information (CUI) or other sensitive information in accordance with applicable organizational and/or federal standards and policies.
(5) The organization sanitizes information system media containing classified information in accordance with NSA standards and policies.
(6) The organization destroys information system media that cannot be sanitized.
References: FIPS Publication 199; NIST Special Publications 800-60, 800-88; Web: http://WWW.NSA.GOV/IA/GUIDANCE/MEDIA_DESTRUCTION_GUIDANCE/INDEX.SHTML.
Priority and Baseline Allocation:
P1 LOW MP-6 MOD MP-6 HIGH MP-6 (1) (2) (3)


PHYSICAL AND ENVIRONMENTAL PROTECTION

FAMILY: PHYSICAL AND ENVIRONMENTAL PROTECTION CLASS: OPERATIONAL

PE-1 PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. A formal, documented physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the physical and environmental protection family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The physical and environmental protection policy can be included as part of the general information security policy for the organization. Physical and environmental protection procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the physical and environmental protection policy. Related control: PM-9.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1 LOW PE-1 MOD PE-1 HIGH PE-1


PE-2 PHYSICAL ACCESS AUTHORIZATIONS

Control: The organization:
a. Develops and keeps current a list of personnel with authorized access to the facility where the information system resides (except for those areas within the facility officially designated as publicly accessible);
b. Issues authorization credentials;
c. Reviews and approves the access list and authorization credentials [Assignment: organization-defined frequency], removing from the access list personnel no longer requiring access.
Supplemental Guidance: Authorization credentials include, for example, badges, identification cards, and smart cards. Related control: PE-3, PE-4.
Control Enhancements:
(1) The organization authorizes physical access to the facility where the information system resides based on position or role.
(2) The organization requires two forms of identification to gain access to the facility where the information system resides.
Enhancement Supplemental Guidance: Examples of forms of identification are identification badge, key card, cipher PIN, and biometrics.
(3) The organization restricts physical access to the facility containing an information system that processes classified information to authorized personnel with appropriate clearances and access authorizations.
References: None.
Priority and Baseline Allocation:
P1 LOW PE-2 MOD PE-2 HIGH PE-2


PE-3 PHYSICAL ACCESS CONTROL

Control: The organization:
a. Enforces physical access authorizations for all physical access points (including designated entry/exit points) to the facility where the information system resides (excluding those areas within the facility officially designated as publicly accessible);
b. Verifies individual access authorizations before granting access to the facility;
c. Controls entry to the facility containing the information system using physical access devices and/or guards;
d. Controls access to areas officially designated as publicly accessible in accordance with the organization's assessment of risk;
e. Secures keys, combinations, and other physical access devices;
f. Inventories physical access devices [Assignment: organization-defined frequency]; and
g. Changes combinations and keys [Assignment: organization-defined frequency] and when keys are lost, combinations are compromised, or individuals are transferred or terminated.
Supplemental Guidance: The organization determines the types of guards needed, for example, professional physical security staff or other personnel such as administrative staff or information system users, as deemed appropriate. Physical access devices include, for example, keys, locks, combinations, and card readers. Workstations and associated peripherals connected to (and part of) an organizational information system may be located in areas designated as publicly accessible with access to such devices being safeguarded. Related controls: MP-2, MP-4, PE-2.
Control Enhancements:
(1) The organization enforces physical access authorizations to the information system independent of the physical access controls for the facility.
Enhancement Supplemental Guidance: This control enhancement applies to server rooms, media storage areas, communications centers, or any other areas within an organizational facility containing large concentrations of information system components. The intent is to provide additional physical security for those areas where the organization may be more vulnerable due to the concentration of information system components. Security requirements for facilities containing organizational information systems that process, store, or transmit Sensitive Compartmented Information (SCI) are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. See also PS-3, security requirements for personnel access to SCI.
(2) The organization performs security checks at the physical boundary of the facility or information system for unauthorized exfiltration of information or information system components.
Enhancement Supplemental Guidance: The extent/frequency or randomness of the checks is as deemed necessary by the organization to adequately mitigate risk associated with exfiltration.
(3) The organization guards, alarms, and monitors every physical access point to the facility where the information system resides 24 hours per day, 7 days per week.
(4) The organization uses lockable physical casings to protect [Assignment: organization-defined information system components] from unauthorized physical access.
(5) The information system detects/prevents physical tampering or alteration of hardware components within the system.
(6) The organization employs a penetration testing process that includes [Assignment: organization-defined frequency], unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.
Enhancement Supplemental Guidance: Related control: CA-2.
References: FIPS Publication 201; NIST Special Publications 800-73, 800-76, 800-78; ICD 704; DCID 6/9.
Priority and Baseline Allocation:
P1 LOW PE-3 MOD PE-3 HIGH PE-3 (1)


PE-4 ACCESS CONTROL FOR TRANSMISSION MEDIUM

Control: The organization controls physical access to information system distribution and transmission lines within organizational facilities.
Supplemental Guidance: Physical protections applied to information system distribution and transmission lines help prevent accidental damage, disruption, and physical tampering. Additionally, physical protections are necessary to help prevent eavesdropping or in transit modification of unencrypted transmissions. Protective measures to control physical access to information system distribution and transmission lines include: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays. Related control: PE-2.
Control Enhancements: None.
References: NSTISSI No. 7003.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD PE-4 HIGH PE-4


PE-5 ACCESS CONTROL FOR OUTPUT DEVICES

Control: The organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.
Supplemental Guidance: Monitors, printers, and audio devices are examples of information system output devices.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD PE-5 HIGH PE-5


PE-6 MONITORING PHYSICAL ACCESS

Control: The organization:
a. Monitors physical access to the information system to detect and respond to physical security incidents;
b. Reviews physical access logs [Assignment: organization-defined frequency]; and
c. Coordinates results of reviews and investigations with the organization's incident response capability.
Supplemental Guidance: Investigation of and response to detected physical security incidents, including apparent security violations or suspicious physical access activities, are part of the organization's incident response capability.
Control Enhancements:
(1) The organization monitors real-time physical intrusion alarms and surveillance equipment.
(2) The organization employs automated mechanisms to recognize potential intrusions and initiate designated response actions.
References: None.
Priority and Baseline Allocation:
P1 LOW PE-6 MOD PE-6 (1) HIGH PE-6 (1) (2)


PE-7 VISITOR CONTROL

Control: The organization controls physical access to the information system by authenticating visitors before authorizing access to the facility where the information system resides other than areas designated as publicly accessible.
Supplemental Guidance: Individuals (to include organizational employees, contract personnel, and others) with permanent authorization credentials for the facility are not considered visitors.
Control Enhancements:
(1) The organization escorts visitors and monitors visitor activity, when required.
(2) The organization requires two forms of identification for visitor access to the facility.
References: None.
Priority and Baseline Allocation:
P1 LOW PE-7 MOD PE-7 (1) HIGH PE-7 (1)


PE-8 ACCESS RECORDS

Control: The organization:
a. Maintains visitor access records to the facility where the information system resides (except for those areas within the facility officially designated as publicly accessible); and
b. Reviews visitor access records [Assignment: organization-defined frequency].
Supplemental Guidance: Visitor access records include, for example, name/organization of the person visiting, signature of the visitor, form(s) of identification, date of access, time of entry and departure, purpose of visit, and name/organization of person visited.
Control Enhancements:
(1) The organization employs automated mechanisms to facilitate the maintenance and review of access records.
(2) The organization maintains a record of all physical access, both visitor and authorized individuals.
References: None.
Priority and Baseline Allocation:
P3 LOW PE-8 MOD PE-8 HIGH PE-8 (1) (2)


PE-9 POWER EQUIPMENT AND POWER CABLING

Control: The organization protects power equipment and power cabling for the information system from damage and destruction.
Supplemental Guidance: This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
Control Enhancements:
(1) The organization employs redundant and parallel power cabling paths.
(2) The organization employs automatic voltage controls for [Assignment: organization-defined list of critical information system components].
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD PE-9 HIGH PE-9


PE-10 EMERGENCY SHUTOFF

Control: The organization:
a. Provides the capability of shutting off power to the information system or individual system components in emergency situations;
b. Places emergency shutoff switches or devices in [Assignment: organization-defined location by information system or system component] to facilitate safe and easy access for personnel; and
c. Protects emergency power shutoff capability from unauthorized activation.
Supplemental Guidance: This control applies to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms.
Control Enhancements:
(1) [Withdrawn: Incorporated into PE-10].
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD PE-10 HIGH PE-10


PE-11 EMERGENCY POWER

Control: The organization provides a short-term uninterruptible power supply to facilitate an orderly shutdown of the information system in the event of a primary power source loss.
Supplemental Guidance: This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
Control Enhancements:
(1) The organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.
(2) The organization provides a long-term alternate power supply for the information system that is self-contained and not reliant on external power generation.
Enhancement Supplemental Guidance: Long-term alternate power supplies for the information system are either manually or automatically activated.
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD PE-11 HIGH PE-11 (1)


PE-12 EMERGENCY LIGHTING

Control: The organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.
Supplemental Guidance: This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
Control Enhancements:
(1) The organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.
References: None.
Priority and Baseline Allocation:
P1 LOW PE-12 MOD PE-12 HIGH PE-12


PE-13 FIRE PROTECTION

Control: The organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.
Supplemental Guidance: Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors. This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
Control Enhancements:
(1) The organization employs fire detection devices/systems for the information system that activate automatically and notify the organization and emergency responders in the event of a fire.
(2) The organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to the organization and emergency responders.
(3) The organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.
(4) The organization ensures that the facility undergoes [Assignment: organization-defined frequency] fire marshal inspections and promptly resolves identified deficiencies.
References: None.
Priority and Baseline Allocation:
P1 LOW PE-13 MOD PE-13 (1) (2) (3) HIGH PE-13 (1) (2) (3)


PE-14 TEMPERATURE AND HUMIDITY CONTROLS

Control: The organization:
a. Maintains temperature and humidity levels within the facility where the information system resides at [Assignment: organization-defined acceptable levels]; and
b. Monitors temperature and humidity levels [Assignment: organization-defined frequency].
Supplemental Guidance: This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
Control Enhancements:
(1) The organization employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the information system.
(2) The organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment.
References: None.
Priority and Baseline Allocation:
P1 LOW PE-14 MOD PE-14 HIGH PE-14


PE-15 WATER DAMAGE PROTECTION

Control: The organization protects the information system from damage resulting from water leakage by providing master shutoff valves that are accessible, working properly, and known to key personnel.
Supplemental Guidance: This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
Control Enhancements:
(1) The organization employs mechanisms that, without the need for manual intervention, protect the information system from water damage in the event of a water leak.
References: None.
Priority and Baseline Allocation:
P1 LOW PE-15 MOD PE-15 HIGH PE-15 (1)


PE-16 DELIVERY AND REMOVAL

Control: The organization authorizes, monitors, and controls [Assignment: organization-defined types of information system components] entering and exiting the facility and maintains records of those items.
Supplemental Guidance: Effectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P1 LOW PE-16 MOD PE-16 HIGH PE-16


PE-17 ALTERNATE WORK SITE

Control: The organization:
a. Employs [Assignment: organization-defined management, operational, and technical information system security controls] at alternate work sites;
b. Assesses as feasible, the effectiveness of security controls at alternate work sites; and
c. Provides a means for employees to communicate with information security personnel in case of security incidents or problems.
Supplemental Guidance: Alternate work sites may include, for example, government facilities or private residences of employees. The organization may define different sets of security controls for specific alternate work sites or types of sites.
Control Enhancements: None.
References: NIST Special Publication 800-46.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD PE-17 HIGH PE-17


PE-18 LOCATION OF INFORMATION SYSTEM COMPONENTS

Control: The organization positions information system components within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access.
Supplemental Guidance: Physical and environmental hazards include, for example, flooding, fire, tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical interference, and electromagnetic radiation. Whenever possible, the organization also considers the location or site of the facility with regard to physical and environmental hazards. In addition, the organization considers the location of physical entry points where unauthorized individuals, while not being granted access, might nonetheless be in close proximity to the information system and therefore, increase the potential for unauthorized access to organizational communications (e.g., through the use of wireless sniffers or microphones). This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
Control Enhancements:
(1) The organization plans the location or site of the facility where the information system resides with regard to physical and environmental hazards and for existing facilities, considers the physical and environmental hazards in its risk mitigation strategy.
References: None.
Priority and Baseline Allocation:
P2 LOW Not Selected MOD PE-18 HIGH PE-18 (1)


PE-19 INFORMATION LEAKAGE

Control: The organization protects the information system from information leakage due to electromagnetic signals emanations.
Supplemental Guidance: The security categorization of the information system (with respect to confidentiality) and organizational security policy guides the application of safeguards and countermeasures employed to protect the information system against information leakage due to electromagnetic signals emanations.
Control Enhancements:
(1) The organization ensures that information system components, associated data communications, and networks are protected in accordance with: (i) national emissions and TEMPEST policies and procedures; and (ii) the sensitivity of the information being transmitted.
References: FIPS Publication 199.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


PLANNING

FAMILY: PLANNING CLASS: MANAGEMENT

PL-1 SECURITY PLANNING POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. A formal, documented security planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the security planning policy and associated security planning controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the security planning family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The security planning policy addresses the overall policy requirements for confidentiality, integrity, and availability and can be included as part of the general information security policy for the organization. Security planning procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the security planning policy. Related control: PM-9.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-18, 800-100.
Priority and Baseline Allocation:
P1 LOW PL-1 MOD PL-1 HIGH PL-1


PL-2 SYSTEM SECURITY PLAN

Control: The organization:
a. Develops a security plan for the information system that:
- Is consistent with the organization's enterprise architecture;
- Explicitly defines the authorization boundary for the system;
- Describes the operational context of the information system in terms of missions and business processes;
- Provides the security categorization of the information system including supporting rationale;
- Describes the operational environment for the information system;
- Describes relationships with or connections to other information systems;
- Provides an overview of the security requirements for the system;
- Describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring and supplementation decisions; and
- Is reviewed and approved by the authorizing official or designated representative prior to plan implementation;
b. Reviews the security plan for the information system [Assignment: organization-defined frequency]; and
c. Updates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments.
Supplemental Guidance: The security plan contains sufficient information (including specification of parameters for assignment and selection statements in security controls either explicitly or by reference) to enable an implementation that is unambiguously compliant with the intent of the plan and a subsequent determination of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Related controls: PM-1, PM-7, PM-8, PM-9, PM-11.
Control Enhancements:
(1) The organization:
(a) Develops a security Concept of Operations (CONOPS) for the information system containing, at a minimum: (i) the purpose of the system; (ii) a description of the system architecture; (iii) the security authorization schedule; and (iv) the security categorization and associated factors considered in determining the categorization; and
(b) Reviews and updates the CONOPS [Assignment: organization-defined frequency].
Enhancement Supplemental Guidance: The security CONOPS may be included in the security plan for the information system.
(2) The organization develops a functional architecture for the information system that identifies and maintains:
(a) External interfaces, the information being exchanged across the interfaces, and the protection mechanisms associated with each interface;
(b) User roles and the access privileges assigned to each role;
(c) Unique security requirements;
(d) Types of information processed, stored, or transmitted by the information system and any specific protection needs in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance; and
(e) Restoration priority of information or information system services.
Enhancement Supplemental Guidance: Unique security requirements for the information system include, for example, encryption of key data elements at rest. Specific protection needs for the information system include, for example, the Privacy Act and Health Insurance Portability and Accountability Act.
References: NIST Special Publication 800-18.
Priority and Baseline Allocation:
P1 LOW PL-2 MOD PL-2 HIGH PL-2


PL-3 SYSTEM SECURITY PLAN UPDATE

[Withdrawn: Incorporated into PL-2].


PL-4 RULES OF BEHAVIOR

Control: The organization:
a. Establishes and makes readily available to all information system users, the rules that describe their responsibilities and expected behavior with regard to information and information system usage; and
b. Receives signed acknowledgment from users indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system.
Supplemental Guidance: The organization considers different sets of rules based on user roles and responsibilities, for example, differentiating between the rules that apply to privileged users and rules that apply to general users. Electronic signatures are acceptable for use in acknowledging rules of behavior. Related control: PS-6.
Control Enhancements:
(1) The organization includes in the rules of behavior, explicit restrictions on the use of social networking sites, posting information on commercial websites, and sharing information system account information.
References: NIST Publication 800-18.
Priority and Baseline Allocation:
P1 LOW PL-4 MOD PL-4 HIGH PL-4


PL-5 PRIVACY IMPACT ASSESSMENT

Control: The organization conducts a privacy impact assessment on the information system in accordance with OMB policy.
Supplemental Guidance: None.
Control Enhancements: None.
References: OMB Memorandum 03-22.
Priority and Baseline Allocation:
P1 LOW PL-5 MOD PL-5 HIGH PL-5


PL-6 SECURITY-RELATED ACTIVITY PLANNING

Control: The organization plans and coordinates security-related activities affecting the information system before conducting such activities in order to reduce the impact on organizational operations (i.e., mission, functions, image, and reputation), organizational assets, and individuals.
Supplemental Guidance: Security-related activities include, for example, security assessments, audits, system hardware and software maintenance, and contingency plan testing/exercises. Organizational advance planning and coordination includes both emergency and nonemergency (i.e., planned or nonurgent unplanned) situations.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P3 LOW Not Selected MOD PL-6 HIGH PL-6


PERSONNEL SECURITY

FAMILY: PERSONNEL SECURITY CLASS: OPERATIONAL

PS-1 PERSONNEL SECURITY POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. A formal, documented personnel security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the personnel security policy and associated personnel security controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the personnel security family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The personnel security policy can be included as part of the general information security policy for the organization. Personnel security procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the personnel security policy. Related control: PM-9.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1 LOW PS-1 MOD PS-1 HIGH PS-1


PS-2 POSITION CATEGORIZATION

Control: The organization:
a. Assigns a risk designation to all positions;
b. Establishes screening criteria for individuals filling those positions; and
c. Reviews and revises position risk designations [Assignment: organization-defined frequency].
Supplemental Guidance: Position risk designations are consistent with Office of Personnel Management policy and guidance. The screening criteria include explicit information security role appointment requirements (e.g., training, security clearance).
Control Enhancements: None.
References: 5 CFR 731.106(a).
Priority and Baseline Allocation:
P1 LOW PS-2 MOD PS-2 HIGH PS-2


PS-3 PERSONNEL SCREENING

Control: The organization:
a. Screens individuals prior to authorizing access to the information system; and
b. Rescreens individuals according to [Assignment: organization-defined list of conditions requiring rescreening and, where re-screening is so indicated, the frequency of such rescreening].
Supplemental Guidance: Screening and rescreening are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidance, and the criteria established for the risk designation of the assigned position. The organization may define different rescreening conditions and frequencies for personnel accessing the information system based on the type of information processed, stored, or transmitted by the system.
Control Enhancements:
(1) The organization ensures that every user accessing an information system processing, storing, or transmitting classified information is cleared and indoctrinated to the highest classification level of the information on the system.
(2) The organization ensures that every user accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, is formally indoctrinated for all of the relevant types of information on the system.
Enhancement Supplemental Guidance: Types of information requiring formal indoctrination include, for example, Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI).
References: 5 CFR 731.106; FIPS Publications 199, 201; NIST Special Publications 800-73, 800-76, 800-78; ICD 704.
Priority and Baseline Allocation:
P1 LOW PS-3 MOD PS-3 HIGH PS-3


PS-4 PERSONNEL TERMINATION

Control: The organization, upon termination of individual employment:
a. Terminates information system access;
b. Conducts exit interviews;
c. Retrieves all security-related organizational information system-related property; and
d. Retains access to organizational information and information systems formerly controlled by terminated individual.
Supplemental Guidance: Information system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that individuals understand any security constraints imposed by being former employees and that proper accountability is achieved for all information system-related property. Exit interviews may not be possible for some employees (e.g., in the case of job abandonment, some illnesses, and nonavailability of supervisors). Exit interviews are important for individuals with security clearances. Timely execution of this control is particularly essential for employees or contractors terminated for cause.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P2 LOW PS-4 MOD PS-4 HIGH PS-4


PS-5 PERSONNEL TRANSFER

Control: The organization reviews logical and physical access authorizations to information systems/facilities when personnel are reassigned or transferred to other positions within the organization and initiates [Assignment: organization-defined transfer or reassignment actions] within [Assignment: organization-defined time period following the formal transfer action].
Supplemental Guidance: This control applies when the reassignment or transfer of an employee is permanent or of such an extended duration as to make the actions warranted. In addition the organization defines the actions appropriate for the type of reassignment or transfer; whether permanent or temporary. Actions that may be required when personnel are transferred or reassigned to other positions within the organization include, for example: (i) returning old and issuing new keys, identification cards, and building passes; (ii) closing previous information system accounts and establishing new accounts; (iii) changing information system access authorizations; and (iv) providing for access to official records to which the employee had access at the previous work location and in the previous information system accounts.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P2 LOW PS-5 MOD PS-5 HIGH PS-5


PS-6 ACCESS AGREEMENTS

Control: The organization:
a. Ensures that individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access; and
b. Reviews/updates the access agreements [Assignment: organization-defined frequency].
Supplemental Guidance: Access agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with the information system to which access is authorized. Electronic signatures are acceptable for use in acknowledging access agreements unless specifically prohibited by organizational policy. Related control: PL-4.
Control Enhancements:
(1) The organization ensures that access to information with special protection measures is granted only to individuals who:
(a) Have a valid access authorization that is demonstrated by assigned official government duties; and
(b) Satisfy associated personnel security criteria.
Enhancement Supplemental Guidance: Information with special protection measures includes, for example, privacy information, proprietary information, and Sources and Methods Information (SAMI). Personnel security criteria include, for example, position sensitivity background screening requirements.
(2) The organization ensures that access to classified information with special protection measures is granted only to individuals who:
(a) Have a valid access authorization that is demonstrated by assigned official government duties;
(b) Satisfy associated personnel security criteria; and
(c) Have read, understand, and signed a nondisclosure agreement.
Enhancement Supplemental Guidance: Examples of special protection measures include, for example, collateral, Special Access Program (SAP) and Sensitive Compartmented Information (SCI). Personnel security criteria are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
References: None.
Priority and Baseline Allocation:
P3 LOW PS-6 MOD PS-6 HIGH PS-6


PS-7 THIRD-PARTY PERSONNEL SECURITY

Control: The organization:
a. Establishes personnel security requirements including security roles and responsibilities for third-party providers;
b. Documents personnel security requirements; and
c. Monitors provider compliance.
Supplemental Guidance: Third-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. The organization explicitly includes personnel security requirements in acquisition-related documents.
Control Enhancements: None.
References: NIST Special Publication 800-35.
Priority and Baseline Allocation:
P1 LOW PS-7 MOD PS-7 HIGH PS-7


PS-8 PERSONNEL SANCTIONS

Control: The organization employs a formal sanctions process for personnel failing to comply with established information security policies and procedures.
Supplemental Guidance: The sanctions process is consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The process is described in access agreements and can be included as part of the general personnel policies and procedures for the organization. Related controls: PL-4, PS-6.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P3 LOW PS-8 MOD PS-8 HIGH PS-8


RISK ASSESSMENT

FAMILY: RISK ASSESSMENT CLASS: MANAGEMENT

RA-1 RISK ASSESSMENT POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. A formal, documented risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the risk assessment family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The risk assessment policy can be included as part of the general information security policy for the organization. Risk assessment procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the risk assessment policy. Related control: PM-9.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-30,800-100.
Priority and Baseline Allocation:
P1 LOW RA-1 MOD RA-1 HIGH RA-1


RA-2 SECURITY CATEGORIZATION

Control: The organization:
a. Categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
b. Documents the security categorization results (including supporting rationale) in the security plan for the information system; and
c. Ensures the security categorization decision is reviewed and approved by the authorizing official or authorizing official designated representative.
Supplemental Guidance: A clearly defined authorization boundary is a prerequisite for an effective security categorization. Security categorization describes the potential adverse impacts to organizational operations, organizational assets, and individuals should the information and information system be comprised through a loss of confidentiality, integrity, or availability. The organization conducts the security categorization process as an organization-wide activity with the involvement of the chief information officer, senior information security officer, information system owner, mission owners, and information owners/stewards. The organization also considers potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts in categorizing the information system. The security categorization process facilitates the creation of an inventory of information assets, and in conjunction with CM-8, a mapping to the information system components where the information is processed, stored, and transmitted. Related controls: CM-8, MP-4, SC-7.
Control Enhancements: None.
References: FIPS Publication 199; NIST Special Publications 800-30, 800-39, 800-60.
Priority and Baseline Allocation:
P1 LOW RA-2 MOD RA-2 HIGH RA-2


RA-3 RISK ASSESSMENT

Control: The organization:
a. Conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits;
b. Documents risk assessment results in [Selection: security plan; risk assessment report; [Assignment: organization-defined document]];
c. Reviews risk assessment results [Assignment: organization-defined frequency]; and
d. Updates the risk assessment [Assignment: organization-defined frequency] or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system.
Supplemental Guidance: A clearly defined authorization boundary is a prerequisite for an effective risk assessment. Risk assessments take into account vulnerabilities, threat sources, and security controls planned or in place to determine the level of residual risk posed to organizational operations and assets, individuals, other organizations, and the Nation based on the operation of the information system. Risk assessments also take into account risk posed to organizational operations, organizational assets, or individuals from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems. The General Services Administration provides tools supporting that portion of the risk assessment dealing with public access to federal information systems.
Risk assessments (either formal or informal) can be conducted by organizations at various steps in the Risk Management Framework including: information system categorization; security control selection; security control implementation; security control assessment; information system authorization; and security control monitoring. RA-3 is a noteworthy security control in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in the security control selection process during the application of tailoring guidance for security control baselines and when considering supplementing the tailored baselines with additional security controls or control enhancements.
Control Enhancements: None.
References: NIST Special Publication 800-30.
Priority and Baseline Allocation:
P1 LOW RA-3 MOD RA-3 HIGH RA-3


RA-4 RISK ASSESSMENT UPDATE

[Withdrawn: Incorporated into RA-3].


RA-5 VULNERABILITY SCANNING

Control: The organization:
a. Scans for vulnerabilities in the information system and hosted applications [Assignment: organization-defined frequency and/or randomly in accordance with organization-defined process] and when new vulnerabilities potentially affecting the system/applications are identified and reported;
b. Employs vulnerability scanning tools and techniques that promote interoperability among tools and automate parts of the vulnerability management process by using standards for:
- Enumerating platforms, software flaws, and improper configurations;
- Formatting and making transparent, checklists and test procedures; and
- Measuring vulnerability impact;
c. Analyzes vulnerability scan reports and results from security control assessments;
d. Remediates legitimate vulnerabilities [Assignment: organization-defined response times] in accordance with an organizational assessment of risk; and
e. Shares information obtained from the vulnerability scanning process and security control assessments with designated personnel throughout the organization to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).
Supplemental Guidance: The security categorization of the information system guides the frequency and comprehensiveness of the vulnerability scans. Vulnerability analysis for custom software and applications may require additional, more specialized techniques and approaches (e.g., web-based application scanners, source code reviews, source code analyzers). Vulnerability scanning includes scanning for specific functions, ports, protocols, and services that should not be accessible to users or devices and for improperly configured or incorrectly operating information flow mechanisms. The organization considers using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to test for the presence of vulnerabilities. The Common Weakness Enumeration (CWE) and the National Vulnerability Database (NVD) are also excellent sources for vulnerability information. In addition, security control assessments such as red team exercises are another source of potential vulnerabilities for which to scan. Related controls: CA-2, CM-6, RA-3, SI-2.
Control Enhancements:
(1) The organization employs vulnerability scanning tools that include the capability to readily update the list of information system vulnerabilities scanned.
(2) The organization updates the list of information system vulnerabilities scanned [Assignment: organization-defined frequency] or when new vulnerabilities are identified and reported.
(3) The organization employs vulnerability scanning procedures that can demonstrate the breadth and depth of coverage (i.e., information system components scanned and vulnerabilities checked).
(4) The organization attempts to discern what information about the information system is discoverable by adversaries.
(5) The organization includes privileged access authorization to [Assignment: organization-identified information system components] for selected vulnerability scanning activities to facilitate more thorough scanning.
(6) The organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.
(7) The organization employs automated mechanisms [Assignment: organization-defined frequency] to detect the presence of unauthorized software on organizational information systems and notify designated organizational officials.
(8) The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.
(9) The organization employs an independent penetration agent or penetration team to:
(a) Conduct a vulnerability analysis on the information system; and
(b) Perform penetration testing on the information system based on the vulnerability analysis to determine the exploitability of identified vulnerabilities.
Enhancement Supplemental Guidance: A standard method for penetration testing includes: (i) pre-test analysis based on full knowledge of the target information system; (ii) pre-test identification of potential vulnerabilities based on pre-test analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. Detailed rules of engagement are agreed upon by all parties before the commencement of any penetration testing scenario.
References: NIST Special Publications 800-40, 800-70, 800-115; Web: CWE.MITRE.ORG; NVD.NIST.GOV.
Priority and Baseline Allocation:
P1 LOW RA-5 MOD RA-5 (1) HIGH RA-5 (1) (2) (3) (4) (5) (7)


SYSTEM AND SERVICES ACQUISITION

FAMILY: SYSTEM AND SERVICES ACQUISITION CLASS: MANAGEMENT

SA-1 SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. A formal, documented system and services acquisition policy that includes information security considerations and that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system and services acquisition family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The system and services acquisition policy can be included as part of the general information security policy for the organization. System and services acquisition procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system and services acquisition policy. Related control: PM-9.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1 LOW SA-1 MOD SA-1 HIGH SA-1


SA-2 ALLOCATION OF RESOURCES

Control: The organization:
a. Includes a determination of information security requirements for the information system in mission/business process planning;
b. Determines, documents, and allocates the resources required to protect the information system as part of its capital planning and investment control process; and
c. Establishes a discrete line item for information security in organizational programming and budgeting documentation.
Supplemental Guidance: Related controls: PM-3, PM-11.
Control Enhancements: None.
References: NIST Special Publication 800-65.
Priority and Baseline Allocation:
P1 LOW SA-2 MOD SA-2 HIGH SA-2


SA-3 LIFE CYCLE SUPPORT

Control: The organization:
a. Manages the information system using a system development life cycle methodology that includes information security considerations;
b. Defines and documents information system security roles and responsibilities throughout the system development life cycle; and
c. Identifies individuals having information system security roles and responsibilities.
Supplemental Guidance: Related control: PM-7.
Control Enhancements: None.
References: NIST Special Publication 800-64.
Priority and Baseline Allocation:
P1 LOW SA-3 MOD SA-3 HIGH SA-3


SA-4 ACQUISITIONS

Control: The organization includes the following requirements and/or specifications, explicitly or by reference, in information system acquisition contracts based on an assessment of risk and in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards:
a. Security functional requirements/specifications;
b. Security-related documentation requirements; and
c. Developmental and evaluation-related assurance requirements.
Supplemental Guidance: The acquisition documents for information systems, information system components, and information system services include, either explicitly or by reference, security requirements that describe: (i) required security capabilities (i.e., security needs and, as necessary, specific security controls and other specific FISMA requirements); (ii) required design and development processes; (iii) required test and evaluation procedures; and (iv) required documentation. The requirements in the acquisition documents permit updating security controls as new threats/vulnerabilities are identified and as new technologies are implemented. Acquisition documents also include requirements for appropriate information system documentation. The documentation addresses user and system administrator guidance and information regarding the implementation of the security controls in the information system. The level of detail required in the documentation is based on the security categorization for the information system. In addition, the required documentation includes security configuration settings and security implementation guidance. FISMA reporting instructions provide guidance on configuration requirements for federal information systems.
Control Enhancements:
(1) The organization requires in acquisition documents that vendors/contractors provide information describing the functional properties of the security controls to be employed within the information system, information system components, or information system services in sufficient detail to permit analysis and testing of the controls.
(2) The organization requires in acquisition documents that vendors/contractors provide information describing the design and implementation details of the security controls to be employed within the information system, information system components, or information system services (including functional interfaces among control components) in sufficient detail to permit analysis and testing of the controls.
(3) The organization requires software vendors/manufacturers to demonstrate that their software development processes employ state-of-the-practice software and security engineering methods, quality control processes, and validation techniques to minimize flawed or malformed software.
(4) The organization ensures that each information system component acquired is explicitly assigned to an information system, and that the owner of the system acknowledges this assignment.
(5) The organization requires in acquisition documents, that information system components are delivered in a secure, documented configuration, and that the secure configuration is the default configuration for any software reinstalls or upgrades.
(6) The organization:
(a) Employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that composes 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
(b) Ensures that these products have been evaluated and/or validated by the NSA or in accordance with NSA-approved procedures.
Enhancement Supplemental Guidance: COTS IA or IA-enabled information technology products used to protect classified information by cryptographic means, may be required to use NSA-approved key management.
(7) The organization:
(a) Limits the use of commercially provided information technology products to those products that have been successfully evaluated against a validated U.S. Government Protection Profile for a specific technology type, if such a profile exists; and
(b) Requires, if no U.S. Government Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, then the cryptographic module is FIPS-validated.
References: ISO/IEC 15408; FIPS 140-2; NIST Special Publications 800-23, 800-35, 800-36, 800-64, 800-70; Web: http://WWW.NIAP-CCEVS.ORG.
Priority and Baseline Allocation:
P1 LOW SA-4 MOD SA-4 (1) (4) HIGH SA-4 (1) (2) (4)


SA-5 INFORMATION SYSTEM DOCUMENTATION

Control: The organization:
a. Obtains, protects as required, and makes available to authorized personnel, administrator documentation for the information system that describes:
- Secure configuration, installation, and operation of the information system;
- Effective use and maintenance of security features/functions; and
- Known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions; and
b. Obtains, protects as required, and makes available to authorized personnel, user documentation for the information system that describes:
- User-accessible security features/functions and how to effectively use those security features/functions;
- Methods for user interaction with the information system, which enables individuals to use the system in a more secure manner; and
- User responsibilities in maintaining the security of the information and information system; and
c. Documents attempts to obtain information system documentation when such documentation is either unavailable or nonexistent.
Supplemental Guidance: The inability of the organization to obtain necessary information system documentation may occur, for example, due to the age of the system and/or lack of support from the vendor/contractor. In those situations, organizations may need to recreate selected information system documentation if such documentation is essential to the effective implementation and/or operation of security controls.
Control Enhancements:
(1) The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the functional properties of the security controls employed within the information system with sufficient detail to permit analysis and testing.
(2) The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the security-relevant external interfaces to the information system with sufficient detail to permit analysis and testing.
(3) The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the high-level design of the information system in terms of subsystems and implementation details of the security controls employed within the system with sufficient detail to permit analysis and testing.
Enhancement Supplemental Guidance: An information system can be partitioned into multiple subsystems.
(4) The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the low-level design of the information system in terms of modules and implementation details of the security controls employed within the system with sufficient detail to permit analysis and testing.
Enhancement Supplemental Guidance: Each subsystem within an information system can contain one or more modules.
(5) The organization obtains, protects as required, and makes available to authorized personnel, the source code for the information system to permit analysis and testing.
References: None.
Priority and Baseline Allocation:
P2 LOW SA-5 MOD SA-5 (1) (3) HIGH SA-5 (1) (2) (3)


SA-6 SOFTWARE USAGE RESTRICTIONS

Control: The organization:
a. Uses software and associated documentation in accordance with contract agreements and copyright laws;
b. Employs tracking systems for software and associated documentation protected by quantity licenses to control copying and distribution; and
c. Controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.
Supplemental Guidance: Tracking systems can include, for example, simple spreadsheets or fully automated, specialized applications depending on the needs of the organization.
Control Enhancements:
(1) The organization:
(a) Prohibits the use of binary or machine executable code from sources with limited or no warranty without accompanying source code; and
(b) Provides exceptions to the source code requirement only for compelling mission/operational requirements when no alternative solutions are available and with the express written consent of the authorizing official.
Enhancement Supplemental Guidance: Software products without accompanying source code from sources with limited or no warranty are assessed for potential security impacts. The assessment addresses the fact that these types of software products are difficult or impossible to review, repair, or extend, given that the organization does not have access to the original source code and there is no owner who could make such repairs on behalf of the organization.
References: None.
Priority and Baseline Allocation:
P1 LOW SA-6 MOD SA-6 HIGH SA-6


SA-7 USER-INSTALLED SOFTWARE

Control: The organization enforces explicit rules governing the installation of software by users.
Supplemental Guidance: If provided the necessary privileges, users have the ability to install software. The organization identifies what types of software installations are permitted (e.g., updates and security patches to existing software) and what types of installations are prohibited (e.g., software whose pedigree with regard to being potentially malicious is unknown or suspect). Related control: CM-2.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P1 LOW SA-7 MOD SA-7 HIGH SA-7


SA-8 SECURITY ENGINEERING PRINCIPLES

Control: The organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system.
Supplemental Guidance: The application of security engineering principles is primarily targeted at new development information systems or systems undergoing major upgrades and is integrated into the system development life cycle. For legacy information systems, the organization applies security engineering principles to system upgrades and modifications to the extent feasible, given the current state of the hardware, software, and firmware within the system. Examples of security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security into the system development life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring system developers and integrators are trained on how to develop secure software; (vi) tailoring security controls to meet organizational and operational needs; and (vii) reducing risk to acceptable levels, thus enabling informed risk management decisions.
Control Enhancements: None.
References: NIST Special Publication 800-27.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD SA-8 HIGH SA-8


SA-9 EXTERNAL INFORMATION SYSTEM SERVICES

Control: The organization:
a. Requires that providers of external information system services comply with organizational information security requirements and employ appropriate security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
b. Defines and documents government oversight and user roles and responsibilities with regard to external information system services; and
c. Monitors security control compliance by external service providers.
Supplemental Guidance: An external information system service is a service that is implemented outside of the authorization boundary of the organizational information system (i.e., a service that is used by, but not a part of, the organizational information system). Relationships with external service providers are established in a variety of ways, for example, through joint ventures, business partnerships, outsourcing arrangements (i.e., contracts, interagency agreements, lines of business arrangements), licensing agreements, and/or supply chain exchanges. The responsibility for adequately mitigating risks arising from the use of external information system services remains with the authorizing official. Authorizing officials require that an appropriate chain of trust be established with external service providers when dealing with the many issues associated with information security. For services external to the organization, a chain of trust requires that the organization establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered to the organization. The extent and nature of this chain of trust varies based on the relationship between the organization and the external provider. Where a sufficient level of trust cannot be established in the external services and/or service providers, the organization employs compensating security controls or accepts the greater degree of risk. The external information system services documentation includes government, service provider, and end user security roles and responsibilities, and any service-level agreements. Service-level agreements define the expectations of performance for each required security control, describe measurable outcomes, and identify remedies and response requirements for any identified instance of noncompliance.
Control Enhancements:
(1) The organization:
(a) Conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services; and
(b) Ensures that the acquisition or outsourcing of dedicated information security services is approved by [Assignment: organization-defined senior organizational official].
Enhancement Supplemental Guidance: Dedicated information security services include, for example, incident monitoring, analysis and response, operation of information security-related devices such as firewalls, or key management services.
References: NIST Special Publication 800-35.
Priority and Baseline Allocation:
P1 LOW SA-9 MOD SA-9 HIGH SA-9


SA-10 DEVELOPER CONFIGURATION MANAGEMENT

Control: The organization requires that information system developers/integrators:
a. Perform configuration management during information system design, development, implementation, and operation;
b. Manage and control changes to the information system;
c. Implement only organization-approved changes;
d. Document approved changes to the information system; and
e. Track security flaws and flaw resolution.
Supplemental Guidance: Related controls: CM-3, CM-4, CM-9.
Control Enhancements:
(1) The organization requires that information system developers/integrators provide an integrity check of software to facilitate organizational verification of software integrity after delivery.
(2) The organization provides an alternative configuration management process with organizational personnel in the absence of dedicated developer/integrator configuration management team.
Enhancement Supplemental Guidance: The configuration management process includes key organizational personnel that are responsible for reviewing and approving proposed changes to the information system, and security personnel that conduct impact analyses prior to the implementation of any changes to the system.
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD SA-10 HIGH SA-10


SA-11 DEVELOPER SECURITY TESTING

Control: The organization requires that information system developers/integrators, in consultation with associated security personnel (including security engineers):
a. Create and implement a security test and evaluation plan;
b. Implement a verifiable flaw remediation process to correct weaknesses and deficiencies identified during the security testing and evaluation process; and
c. Document the results of the security testing/evaluation and flaw remediation processes.
Supplemental Guidance: Developmental security test results are used to the greatest extent feasible after verification of the results and recognizing that these results are impacted whenever there have been security-relevant modifications to the information system subsequent to developer testing. Test results may be used in support of the security authorization process for the delivered information system. Related control: CA-2, SI-2.
Control Enhancements:
(1) The organization requires that information system developers/integrators employ code analysis tools to examine software for common flaws and document the results of the analysis.
(2) The organization requires that information system developers/integrators perform a vulnerability analysis to document vulnerabilities, exploitation potential, and risk mitigations.
(3) The organization requires that information system developers/integrators create a security test and evaluation plan and implement the plan under the witness of an independent verification and validation agent.
References: None.
Priority and Baseline Allocation:
P2 LOW Not Selected MOD SA-11 HIGH SA-11


SA-12 SUPPLY CHAIN PROTECTION

Control: The organization protects against supply chain threats by employing: [Assignment: organization-defined list of measures to protect against supply chain threats] as part of a comprehensive, defense-in-breadth information security strategy.
Supplemental Guidance: A defense-in-breadth approach helps to protect information systems (including the information technology products that compose those systems) throughout the system development life cycle (i.e., during design and development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). This is accomplished by the identification, management, and elimination of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to mitigate risk.
Control Enhancements:
(1) The organization purchases all anticipated information system components and spares in the initial acquisition.
Enhancement Supplemental Guidance: Stockpiling information system components and spares avoids the need to use less trustworthy secondary or resale markets in future years.
(2) The organization conducts a due diligence review of suppliers prior to entering into contractual agreements to acquire information system hardware, software, firmware, or services.
Enhancement Supplemental Guidance: The organization reviews supplier claims with regard to the use of appropriate security processes in the development and manufacture of information system components or products.
(3) The organization uses trusted shipping and warehousing for information systems, information system components, and information technology products.
Enhancement Supplemental Guidance: Trusted shipping and warehousing reduces opportunities for subversive activities or interception during transit. Examples of supporting techniques include the use of a geographically aware beacon to detect shipment diversions or delays. Related control: PE-16.
(4) The organization employs a diverse set of suppliers for information systems, information system components, information technology products, and information system services.
Enhancement Supplemental Guidance: Diversification of suppliers is intended to limit the potential harm from a given supplier in a supply chain, increasing the work factor for an adversary.
(5) The organization employs standard configurations for information systems, information system components, and information technology products.
Enhancement Supplemental Guidance: By avoiding the purchase of custom configurations for information systems, information system components, and information technology products, the organization limits the possibility of acquiring systems and products that have been corrupted via the supply chain actions targeted at the organization.
(6) The organization minimizes the time between purchase decisions and delivery of information systems, information system components, and information technology products.
Enhancement Supplemental Guidance: By minimizing the time between purchase decisions and required delivery of information systems, information system components, and information technology products, the organization limits the opportunity for an adversary to corrupt the purchased system, component, or product.
(7) The organization employs independent analysis and penetration testing against delivered information systems, information system components, and information technology products.
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD Not Selected HIGH SA-12


SA-13 TRUSTWORTHINESS

Control: The organization requires that the information system meets [Assignment: organization-defined level of trustworthiness].
Supplemental Guidance: The intent of this control is to ensure that organizations recognize the importance of trustworthiness and making explicit trustworthiness decisions when designing, developing, and implementing organizational information systems. Trustworthiness is a characteristic or property of an information system that expresses the degree to which the system can be expected to preserve the confidentiality, integrity, and availability of the information being processed, stored, or transmitted by the system. Trustworthy information systems are systems that are capable of being trusted to operate within defined levels of risk despite the environmental disruptions, human errors, and purposeful attacks that are expected to occur in the specified environments of operation. Two factors affecting the trustworthiness of an information system include: (i) security functionality (i.e., the security features or functions employed within the system); and (ii) security assurance (i.e., the grounds for confidence that the security functionality is effective in its application).
Appropriate security functionality for the information system can be obtained by using the Risk Management Framework (Steps 1, 2, and 3) to select and implement the necessary management, operational, and technical security controls necessary to mitigate risk to organizational operations and assets, individuals, other organizations, and the Nation. Appropriate security assurance can be obtained by: (i) the actions taken by developers and implementers of security controls with regard to the design, development, implementation, and operation of those controls; and (ii) the actions taken by assessors to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements for the information system.
Developers and implementers can increase the assurance in security controls by employing well-defined security policy models, structured, disciplined, and rigorous hardware and software development techniques, and sound system/security engineering principles. Assurance is also based on the assessment of evidence produced during the initiation, acquisition/development, implementation, and operations/maintenance phases of the system development life cycle. For example, developmental evidence may include the techniques and methods used to design and develop security functionality. Operational evidence may include flaw reporting and remediation, the results of security incident reporting, and the results of the ongoing monitoring of security controls. Independent assessments by qualified assessors may include analyses of the evidence as well as testing, inspections, and audits. Minimum assurance requirements are described in Appendix E.
Explicit trustworthiness decisions highlight situations where achieving the information system resilience and security capability necessary to withstand cyber attacks from adversaries with certain threat capabilities may require adjusting the risk management strategy, the design of mission/business processes with regard to automation, the selection and implementation rigor of management and operational protections, or the selection of information technology components with higher levels of trustworthiness. Trustworthiness may be defined on a component-by-component, subsystem-by-subsystem, or function-by-function basis. It is noted, however, that typically functions, subsystems, and components are highly interrelated, making separation by trustworthiness perhaps problematic and at a minimum, something that likely requires careful attention in order to achieve practically useful results. Related controls: RA-2, SA-4, SA-8, SC-3.
Control Enhancements: None.
References: FIPS Publications 199, 200; NIST Special Publications 800-53, 800-53A, 800-60, 800-64.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD Not Selected HIGH SA-13


SA-14 CRITICAL INFORMATION SYSTEM COMPONENTS

Control: The organization:
a. Determines [Assignment: organization-defined list of critical information system components that require re-implementation]; and
b. Re-implements or custom develops such information system components.
Supplemental Guidance: The underlying assumption is that the list of information technology products defined by the organization cannot be trusted due to threats from the supply chain that the organization finds unacceptable. The organization re-implements or custom develops such components to satisfy requirements for high assurance. Related controls: SA-12, SA-13.
Control Enhancements:
(1) The organization:
(a) Identifies information system components for which alternative sourcing is not viable; and
(b) Employs [Assignment: organization-defined measures] to ensure that critical security controls for the information system components are not compromised.
Enhancement Supplemental Guidance: Measures that the organization considers implementing include, for example, enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


SYSTEM AND COMMUNICATIONS PROTECTION

FAMILY: SYSTEM AND COMMUNICATIONS PROTECTION CLASS: TECHNICAL

SC-1 SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. A formal, documented system and communications protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system and communications protection family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The system and communications protection policy can be included as part of the general information security policy for the organization. System and communications protection procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system and communications protection policy. Related control: PM-9.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1 LOW SC-1 MOD SC-1 HIGH SC-1


SC-2 APPLICATION PARTITIONING

Control: The information system separates user functionality (including user interface services) from information system management functionality.
Supplemental Guidance: Information system management functionality includes, for example, functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical and is accomplished by using different computers, different central processing units, different instances of the operating system, different network addresses, combinations of these methods, or other methods as appropriate. An example of this type of separation is observed in web administrative interfaces that use separate authentication methods for users of any other information system resources. This may include isolating the administrative interface on a different domain and with additional access controls.
Control Enhancements:
(1) The information system prevents the presentation of information system management-related functionality at an interface for general (i.e., non-privileged) users.
Enhancement Supplemental Guidance: The intent of this control enhancement is to ensure that administration options are not available to general users (including prohibiting the use of the grey-out option commonly used to eliminate accessibility to such information). For example, administration options are not presented until the user has appropriately established a session with administrator privileges.
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD SC-2 HIGH SC-2


SC-3 SECURITY FUNCTION ISOLATION

Control: The information system isolates security functions from nonsecurity functions.
Supplemental Guidance: The information system isolates security functions from nonsecurity functions by means of an isolation boundary (implemented via partitions and domains) that controls access to and protects the integrity of, the hardware, software, and firmware that perform those security functions. The information system maintains a separate execution domain (e.g., address space) for each executing process. Related control: SA-13.
Control Enhancements:
(1) The information system implements underlying hardware separation mechanisms to facilitate security function isolation.
(2) The information system isolates security functions enforcing access and information flow control from both nonsecurity functions and from other security functions.
(3) The organization implements an information system isolation boundary to minimize the number of nonsecurity functions included within the boundary containing security functions.
Enhancement Supplemental Guidance: Nonsecurity functions contained within the isolation boundary are considered security-relevant.
(4) The organization implements security functions as largely independent modules that avoid unnecessary interactions between modules.
(5) The organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD Not Selected HIGH SC-3


SC-4 INFORMATION IN SHARED RESOURCES

Control: The information system prevents unauthorized and unintended information transfer via shared system resources.
Supplemental Guidance: The purpose of this control is to prevent information, including encrypted representations of information, produced by the actions of a prior user/role (or the actions of a process acting on behalf of a prior user/role) from being available to any current user/role (or current process) that obtains access to a shared system resource (e.g., registers, main memory, secondary storage) after that resource has been released back to the information system. Control of information in shared resources is also referred to as object reuse. This control does not address:
(i) information remanence which refers to residual representation of data that has been in some way nominally erased or removed; (ii) covert channels where shared resources are manipulated to achieve a violation of information flow restrictions; or (iii) components in the information system for which there is only a single user/role.
Control Enhancements:
(1) The information system does not share resources that are used to interface with systems operating at different security levels.
Enhancement Supplemental Guidance: Shared resources include, for example, memory, input/output queues, and network interface cards.
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD SC-4 HIGH SC-4


SC-5 DENIAL OF SERVICE PROTECTION

Control: The information system protects against or limits the effects of the following types of denial of service attacks: [Assignment: organization-defined list of types of denial of service attacks or reference to source for current list].
Supplemental Guidance: A variety of technologies exist to limit, or in some cases, eliminate the effects of denial of service attacks. For example, boundary protection devices can filter certain types of packets to protect devices on an organization's internal network from being directly affected by denial of service attacks. Employing increased capacity and bandwidth combined with service redundancy may reduce the susceptibility to some denial of service attacks. Related control: SC-7.
Control Enhancements:
(1) The information system restricts the ability of users to launch denial of service attacks against other information systems or networks.
(2) The information system manages excess capacity, bandwidth, or other redundancy to limit the effects of information flooding types of denial of service attacks.
References: None.
Priority and Baseline Allocation:
P1 LOW SC-5 MOD SC-5 HIGH SC-5


SC-6 RESOURCE PRIORITY

Control: The information system limits the use of resources by priority.
Supplemental Guidance: Priority protection helps prevent a lower-priority process from delaying or interfering with the information system servicing any higher-priority process. This control does not apply to components in the information system for which there is only a single user/role.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


SC-7 BOUNDARY PROTECTION

Control: The information system:
a. Monitors and controls communications at the external boundary of the system and at key internal boundaries within the system; and
b. Connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.
Supplemental Guidance: Restricting external web traffic only to organizational web servers within managed interfaces and prohibiting external traffic that appears to be spoofing an internal address as the source are examples of restricting and prohibiting communications. Managed interfaces employing boundary protection devices include, for example, proxies, gateways, routers, firewalls, guards, or encrypted tunnels arranged in an effective security architecture (e.g., routers protecting firewalls and application gateways residing on a protected subnetwork commonly referred to as a demilitarized zone or DMZ).
The organization considers the intrinsically shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may include third-party provided access lines and other service elements. Consequently, such interconnecting transmission services may represent sources of increased risk despite contract security provisions. Therefore, when this situation occurs, the organization either implements appropriate compensating security controls or explicitly accepts the additional risk. Related controls: AC-4, IR-4, SC-5.
Control Enhancements:
(1) The organization physically allocates publicly accessible information system components to separate subnetworks with separate physical network interfaces.
Enhancement Supplemental Guidance: Publicly accessible information system components include, for example, public web servers.
(2) The information system prevents public access into the organization's internal networks except as appropriately mediated by managed interfaces employing boundary protection devices.
(3) The organization limits the number of access points to the information system to allow for more comprehensive monitoring of inbound and outbound communications and network traffic.
Enhancement Supplemental Guidance: The Trusted Internet Connection (TIC) initiative is an example of limiting the number of managed network access points.
(4) The organization:
(a) Implements a managed interface for each external telecommunication service;
(b) Establishes a traffic flow policy for each managed interface;
(c) Employs security controls as needed to protect the confidentiality and integrity of the information being transmitted;
(d) Documents each exception to the traffic flow policy with a supporting mission/business need and duration of that need;
(e) Reviews exceptions to the traffic flow policy [Assignment: organization-defined frequency]; and
(f) Removes traffic flow policy exceptions that are no longer supported by an explicit mission/business need.
(5) The information system at managed interfaces, denies network traffic by default and allows network traffic by exception (i.e., deny all, permit by exception).
(6) The organization prevents the unauthorized release of information outside of the information system boundary or any unauthorized communication through the information system boundary when there is an operational failure of the boundary protection mechanisms.
(7) The information system prevents remote devices that have established a non-remote connection with the system from communicating outside of that communications path with resources in external networks.
Enhancement Supplemental Guidance: This control enhancement is implemented within the remote device (e.g., notebook/laptop computer) via configuration settings that are not configurable by the user of that device. An example of a non-remote communications path from a remote device is a virtual private network. When a non-remote connection is established using a virtual private network, the configuration settings prevent split-tunneling. Split tunneling might otherwise be used by remote users to communicate with the information system as an extension of that system and to communicate with local resources such as a printer or file server. Since the remote device, when connected by a non-remote connection, becomes an extension of the information system, allowing dual communications paths such as split-tunneling would be, in effect, allowing unauthorized external connections into the system.
(8) The information system routes [Assignment: organization-defined internal communications traffic] to [Assignment: organization-defined external networks] through authenticated proxy servers within the managed interfaces of boundary protection devices.
Enhancement Supplemental Guidance: External networks are networks outside the control of the organization. Proxy servers support logging individual Transmission Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators (URLs), domain names, and Internet Protocol (IP) addresses. Proxy servers are also configurable with organization-defined lists of authorized and unauthorized websites.
(9) The information system, at managed interfaces, denies network traffic and audits internal users (or malicious code) posing a threat to external information systems.
Enhancement Supplemental Guidance: Detecting internal actions that may pose a security threat to external information systems is sometimes termed extrusion detection. Extrusion detection at the information system boundary includes the analysis of network traffic (incoming as well as outgoing) looking for indications of an internal threat to the security of external systems.
(10) The organization prevents the unauthorized exfiltration of information across managed interfaces.
Enhancement Supplemental Guidance: Measures to prevent unauthorized exfiltration of information from the information system include, for example: (i) strict adherence to protocol formats; (ii) monitoring for indications of beaconing from the information system; (iii) monitoring for use of steganography; (iv) disconnecting external network interfaces except when explicitly needed; (v) disassembling and reassembling packet headers; and (vi) employing traffic profile analysis to detect deviations from the volume or types of traffic expected within the organization. Examples of devices enforcing strict adherence to protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to the protocol specification at the application layer and serve to identify vulnerabilities that cannot be detected by devices operating at the network or transport layer.
(11) The information system checks incoming communications to ensure that the communications are coming from an authorized source and routed to an authorized destination.
(12) The information system implements host-based boundary protection mechanisms for servers, workstations, and mobile devices.
Enhancement Supplemental Guidance: A host-based boundary protection mechanism is, for example, a host-based firewall. Host-based boundary protection mechanisms are employed on mobile devices, such as notebook/laptop computers, and other types of mobile devices where such boundary protection mechanisms are available.
(13) The organization isolates [Assignment: organization defined key information security tools, mechanisms, and support components] from other internal information system components via physically separate subnets with managed interfaces to other portions of the system.
(14) The organization protects against unauthorized physical connections across the boundary protections implemented at [Assignment: organization-defined list of managed interfaces].
Enhancement Supplemental Guidance: Information systems operating at different security categories may routinely share common physical and environmental controls, since the systems may share space within organizational facilities. In practice, it is possible that these separate information systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by employing clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items. Related control: PE-4.
(15) The information system routes all networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.
Enhancement Supplemental Guidance: Related controls: AC-2, AC-3, AC-4, AU-2.
(16) The information system prevents discovery of specific system components (or devices) composing a managed interface.
Enhancement Supplemental Guidance: This control enhancement is intended to protect the network addresses of information system components that are part of the managed interface from discovery through common tools and techniques used to identify devices on a network. The network addresses are not available for discovery (e.g., not published or entered in the domain name system), requiring prior knowledge for access. Another obfuscation technique is to periodically change network addresses.
(17) The organization employs automated mechanisms to enforce strict adherence to protocol format.
Enhancement Supplemental Guidance: Automated mechanisms used to enforce protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to the protocol specification (e.g., IEEE) at the application layer and serve to identify significant vulnerabilities that cannot be detected by devices operating at the network or transport layer.
(18) The information system fails securely in the event of an operational failure of a boundary protection device.
Enhancement Supplemental Guidance: Fail secure is a condition achieved by the application of a set of information system mechanisms to ensure that in the event of an operational failure of a boundary protection device at a managed interface (e.g., router, firewall, guard, application gateway residing on a protected subnetwork commonly referred to as a demilitarized zone), the system does not enter into an unsecure state where intended security properties no longer hold. A failure of a boundary protection device cannot lead to, or cause information external to the boundary protection device to enter the device, nor can a failure permit unauthorized information release.
References: FIPS Publication 199; NIST Special Publications 800-41, 800-77.
Priority and Baseline Allocation:
P1 LOW SC-7 MOD SC-7 (1) (2) (3) (4) (5) (7) HIGH SC-7 (1) (2) (3) (4) (5) (6) (7) (8)


SC-8 TRANSMISSION INTEGRITY

Control: The information system protects the integrity of transmitted information.
Supplemental Guidance: This control applies to communications across internal and external networks. If the organization is relying on a commercial service provider for transmission services as a commodity item rather than a fully dedicated service, it may be more difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission integrity. When it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, the organization either implements appropriate compensating security controls or explicitly accepts the additional risk. Related controls: AC-17, PE-4.
Control Enhancements:
(1) The organization employs cryptographic mechanisms to recognize changes to information during transmission unless otherwise protected by alternative physical measures.
Enhancement Supplemental Guidance: Alternative physical protection measures include, for example, protected distribution systems. Related control: SC-13.
(2) The information system maintains the integrity of information during aggregation, packaging, and transformation in preparation for transmission.
Enhancement Supplemental Guidance: Information can be intentionally and/or maliciously modified at data aggregation or protocol transformation points, compromising the integrity of the information.
References: FIPS Publications 140-2, 197; NIST Special Publications 800-52, 800-77, 800-81, 800-113; NSTISSI No. 7003.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD SC-8 (1) HIGH SC-8 (1)


SC-9 TRANSMISSION CONFIDENTIALITY

Control: The information system protects the confidentiality of transmitted information.
Supplemental Guidance: This control applies to communications across internal and external networks. If the organization is relying on a commercial service provider for transmission services as a commodity item rather than a fully dedicated service, it may be more difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality. When it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, the organization either implements appropriate compensating security controls or explicitly accepts the additional risk. Related controls: AC-17, PE-4.
Control Enhancements:
(1) The organization employs cryptographic mechanisms to prevent unauthorized disclosure of information during transmission unless otherwise protected by [Assignment: organization-defined alternative physical measures].
Enhancement Supplemental Guidance: Alternative physical protection measures include, for example, protected distribution systems. Related control: SC-13.
(2) The information system maintains the confidentiality of information during aggregation, packaging, and transformation in preparation for transmission.
Enhancement Supplemental Guidance: Information can be intentionally and/or maliciously disclosed at data aggregation or protocol transformation points, compromising the confidentiality of the information.
References: FIPS Publications 140-2, 197; NIST Special Publications 800-52, 800-77, 800-113; CNSS Policy 15; NSTISSI No. 7003.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD SC-9 (1) HIGH SC-9 (1)


SC-10 NETWORK DISCONNECT

Control: The information system terminates the network connection associated with a communications session at the end of the session or after [Assignment: organization-defined time period] of inactivity.
Supplemental Guidance: This control applies to both internal and external networks. Terminating network connections associated with communications sessions include, for example, de-allocating associated TCP/IP address/port pairs at the operating-system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. The time period of inactivity may, as the organization deems necessary, be a set of time periods by type of network access or for specific accesses.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P2 LOW Not Selected MOD SC-10 HIGH SC-10


SC-11 TRUSTED PATH

Control: The information system establishes a trusted communications path between the user and the following security functions of the system: [Assignment: organization-defined security functions to include at a minimum, information system authentication and reauthentication].
Supplemental Guidance: A trusted path is employed for high-confidence connections between the security functions of the information system and the user (e.g., for login).
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


SC-12 CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

Control: The organization establishes and manages cryptographic keys for required cryptography employed within the information system.
Supplemental Guidance: Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. In addition to being required for the effective operation of a cryptographic mechanism, effective cryptographic key management provides protections to maintain the availability of the information in the event of the loss of cryptographic keys by users.
Control Enhancements:
(1) The organization maintains availability of information in the event of the loss of cryptographic keys by users.
(2) The organization produces, controls, and distributes symmetric cryptographic keys using [Selection: NIST-approved, NSA-approved] key management technology and processes.
(3) The organization produces, controls, and distributes symmetric and asymmetric cryptographic keys using NSA-approved key management technology and processes.
(4) The organization produces, controls, and distributes asymmetric cryptographic keys using approved PKI Class 3 certificates or prepositioned keying material.
(5) The organization produces, controls, and distributes asymmetric cryptographic keys using approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user's private key.
References: NIST Special Publications 800-56, 800-57.
Priority and Baseline Allocation:
P1 LOW SC-12 MOD SC-12 HIGH SC-12 (1)


SC-13 USE OF CRYPTOGRAPHY

Control: The information system implements required cryptographic protections using cryptographic modules that comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
Supplemental Guidance: None.
Control Enhancements:
(1) The organization employs, at a minimum, FIPS-validated cryptography to protect unclassified information.
(2) The organization employs NSA-approved cryptography to protect classified information.
(3) The organization employs, at a minimum, FIPS-validated cryptography to protect information when such information must be separated from individuals who have the necessary clearances yet lack the necessary access approvals.
(4) The organization employs [Selection: FIPS-validated; NSA-approved] cryptography to implement digital signatures.
References: FIPS Publication 140-2; Web: http://CSRC.NIST.GOV/CRYPTVAL, http://WWW.CNSS.GOV.
Priority and Baseline Allocation:
P1 LOW SC-13 MOD SC-13 HIGH SC-13


SC-14 PUBLIC ACCESS PROTECTIONS

Control: The information system protects the integrity and availability of publicly available information and applications.
Supplemental Guidance: The purpose of this control is to ensure that organizations explicitly address the protection needs for public information and applications with such protection likely being implemented as part of other security controls.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P1 LOW SC-14 MOD SC-14 HIGH SC-14


SC-15 COLLABORATIVE COMPUTING DEVICES

Control: The information system:
a. Prohibits remote activation of collaborative computing devices with the following exceptions: [Assignment: organization-defined exceptions where remote activation is to be allowed]; and
b. Provides an explicit indication of use to users physically present at the devices.
Supplemental Guidance: Collaborative computing devices include, for example, networked white boards, cameras, and microphones. Explicit indication of use includes, for example, signals to users when collaborative computing devices are activated.
Control Enhancements:
(1) The information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.
(2) The information system or supporting environment blocks both inbound and outbound traffic between instant messaging clients that are independently configured by end users and external service providers.
Enhancement Supplemental Guidance: Blocking restrictions do not include instant messaging services that are configured by an organization to perform an authorized function.
(3) The organization disables or removes collaborative computing devices from information systems in [Assignment: organization-defined secure work areas].
References: None.
Priority and Baseline Allocation:
P1 LOW SC-15 MOD SC-15 HIGH SC-15


SC-16 TRANSMISSION OF SECURITY ATTRIBUTES

Control: The information system associates security attributes with information exchanged between information systems.
Supplemental Guidance: Security attributes may be explicitly or implicitly associated with the information contained within the information system. Related control: AC-16.
Control Enhancements:
(1) The information system validates the integrity of security attributes exchanged between systems.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


SC-17 PUBLIC KEY INFRASTRUCTURE CERTIFICATES

Control: The organization issues public key certificates under an [Assignment: organization-defined certificate policy] or obtains public key certificates under an appropriate certificate policy from an approved service provider.
Supplemental Guidance: For user certificates, each organization attains certificates from an approved, shared service provider, as required by OMB policy. For federal agencies operating a legacy public key infrastructure cross-certified with the Federal Bridge Certification Authority at medium assurance or higher, this Certification Authority will suffice. This control focuses on certificates with a visibility external to the information system and does not include certificates related to internal system operations, for example, application-specific time services.
Control Enhancements: None.
References: OMB Memorandum 05-24; NIST Special Publications 800-32, 800-63.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD SC-17 HIGH SC-17


SC-18 MOBILE CODE

Control: The organization:
a. Defines acceptable and unacceptable mobile code and mobile code technologies;
b. Establishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies; and
c. Authorizes, monitors, and controls the use of mobile code within the information system.
Supplemental Guidance: Decisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the system if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, PDF, Postscript, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on organizational servers and mobile code downloaded and executed on individual workstations. Policy and procedures related to mobile code, address preventing the development, acquisition, or introduction of unacceptable mobile code within the information system.
Control Enhancements:
(1) The information system implements detection and inspection mechanisms to identify unauthorized mobile code and takes corrective actions, when necessary.
Enhancement Supplemental Guidance: Corrective actions when unauthorized mobile code is detected include, for example, blocking, quarantine, or alerting administrator. Disallowed transfers include, for example, sending word processing files with embedded macros.
(2) The organization ensures the acquisition, development, and/or use of mobile code to be deployed in information systems meets [Assignment: organization-defined mobile code requirements].
(3) The information system prevents the download and execution of prohibited mobile code.
(4) The information system prevents the automatic execution of mobile code in [Assignment: organization-defined software applications] and requires [Assignment: organization-defined actions] prior to executing the code.
Enhancement Supplemental Guidance: Actions required before executing mobile code, include, for example, prompting users prior to opening electronic mail attachments.
References: NIST Special Publication 800-28; DOD Instruction 8552.01.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD SC-18 HIGH SC-18


SC-19 VOICE OVER INTERNET PROTOCOL

Control: The organization:
a. Establishes usage restrictions and implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously; and
b. Authorizes, monitors, and controls the use of VoIP within the information system.
Supplemental Guidance: None.
Control Enhancements: None.
References: NIST Special Publication 800-58.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD SC-19 HIGH SC-19


SC-20 SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)

Control: The information system provides additional data origin and integrity artifacts along with the authoritative data the system returns in response to name/address resolution queries.
Supplemental Guidance: This control enables remote clients to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. A domain name system (DNS) server is an example of an information system that provides name/address resolution service. Digital signatures and cryptographic keys are examples of additional artifacts. DNS resource records are examples of authoritative data. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to assure the authenticity and integrity of response data. The DNS security controls are consistent with, and referenced from, OMB Memorandum 08-23.
Control Enhancements:
(1) The information system, when operating as part of a distributed, hierarchical namespace, provides the means to indicate the security status of child subspaces and (if the child supports secure resolution services) enable verification of a chain of trust among parent and child domains.
Enhancement Supplemental Guidance: An example means to indicate the security status of child subspaces is through the use of delegation signer (DS) resource records in the DNS.
References: OMB Memorandum 08-23; NIST Special Publication 800-81.
Priority and Baseline Allocation:
P1 LOW SC-20 (1) MOD SC-20 (1) HIGH SC-20 (1)


SC-21 SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)

Control: The information system performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources when requested by client systems.
Supplemental Guidance: A recursive resolving or caching domain name system (DNS) server is an example of an information system that provides name/address resolution service for local clients. Authoritative DNS servers are examples of authoritative sources. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to enable clients to verify the authenticity and integrity of response data.
Control Enhancements:
(1) The information system performs data origin authentication and data integrity verification on all resolution responses whether or not local clients explicitly request this service.
Enhancement Supplemental Guidance: Local clients include, for example, DNS stub resolvers.
References: NIST Special Publication 800-81.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD Not Selected HIGH SC-21


SC-22 ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE

Control: The information systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal/external role separation.
Supplemental Guidance: A domain name system (DNS) server is an example of an information system that provides name/address resolution service. To eliminate single points of failure and to enhance redundancy, there are typically at least two authoritative domain name system (DNS) servers, one configured as primary and the other as secondary. Additionally, the two servers are commonly located in two different network subnets and geographically separated (i.e., not located in the same physical facility). With regard to role separation, DNS servers with an internal role, only process name/address resolution requests from within the organization (i.e., internal clients). DNS servers with an external role only process name/address resolution information requests from clients external to the organization (i.e., on the external networks including the Internet). The set of clients that can access an authoritative DNS server in a particular role is specified by the organization (e.g., by address ranges, explicit lists).
Control Enhancements: None.
References: NIST Special Publication 800-81.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD SC-22 HIGH SC-22


SC-23 SESSION AUTHENTICITY

Control: The information system provides mechanisms to protect the authenticity of communications sessions.
Supplemental Guidance: This control focuses on communications protection at the session, versus packet, level. The intent of this control is to establish grounds for confidence at each end of a communications session in the ongoing identity of the other party and in the validity of the information being transmitted. For example, this control addresses man-in-the-middle attacks including session hijacking or insertion of false information into a session. This control is only implemented where deemed necessary by the organization (e.g., sessions in service-oriented architectures providing web-based services).
Control Enhancements:
(1) The information system invalidates session identifiers upon user logout or other session termination.
(2) The information system provides a readily observable logout capability whenever authentication is used to gain access to web pages.
(3) The information system generates a unique session identifier for each session and recognizes only session identifiers that are system-generated.
(4) The information system generates unique session identifiers with [Assignment: organization-defined randomness requirements].
Enhancement Supplemental Guidance: Employing the concept of randomness in the generation of unique session identifiers helps to protect against brute-force attacks to determine future session identifiers.
References: NIST Special Publications 800-52, 800-77, 800-95.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD SC-23 HIGH SC-23


SC-24 FAIL IN KNOWN STATE

Control: The information system fails to a [Assignment: organization-defined known-state] for [Assignment: organization-defined types of failures] preserving [Assignment: organization-defined system state information] in failure.
Supplemental Guidance: Failure in a known state can address safety or security in accordance with the mission/business needs of the organization. Failure in a known secure state helps prevent a loss of confidentiality, integrity, or availability in the event of a failure of the information system or a component of the system. Failure in a known safe state helps prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving information system state information facilitates system restart and return to the operational mode of the organization with less disruption of mission/business processes.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD Not Selected HIGH SC-24


SC-25 THIN NODES

Control: The information system employs processing components that have minimal functionality and information storage.
Supplemental Guidance: The deployment of information system components with minimal functionality (e.g., diskless nodes and thin client technologies) reduces the need to secure every user endpoint, and may reduce the exposure of information, information systems, and services to a successful attack. Related control: SC-30.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


SC-26 HONEYPOTS

Control: The information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.
Supplemental Guidance: None.
Control Enhancements:
(1) The information system includes components that proactively seek to identify web-based malicious code.
Enhancement Supplemental Guidance: Devices that actively seek out web-based malicious code by posing as clients are referred to as client honeypots or honey clients.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


SC-27 OPERATING SYSTEM-INDEPENDENT APPLICATIONS

Control: The information system includes: [Assignment: organization-defined operating system-independent applications].
Supplemental Guidance: Operating system-independent applications are applications that can run on multiple operating systems. Such applications promote portability and reconstitution on different platform architectures, increasing the availability for critical functionality within an organization while information systems with a given operating system are under attack.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


SC-28 PROTECTION OF INFORMATION AT REST

Control: The information system protects the confidentiality and integrity of information at rest.
Supplemental Guidance: This control is intended to address the confidentiality and integrity of information at rest in nonmobile devices and covers user information and system information. Information at rest refers to the state of information when it is located on a secondary storage device (e.g., disk drive, tape drive) within an organizational information system. Configurations and/or rule sets for firewalls, gateways, intrusion detection/prevention systems, and filtering routers and authenticator content are examples of system information likely requiring protection. Organizations may choose to employ different mechanisms to achieve confidentiality and integrity protections, as appropriate.
Control Enhancements:
(1) The organization employs cryptographic mechanisms to prevent unauthorized disclosure and modification of information at rest unless otherwise protected by alternative physical measures.
References: NIST Special Publications 800-56, 800-57, 800-111.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD SC-28 HIGH SC-28


SC-29 HETEROGENEITY

Control: The organization employs diverse information technologies in the implementation of the information system.
Supplemental Guidance: Increasing the diversity of information technologies within the information system reduces the impact of the exploitation of a specific technology. Organizations that select this control should consider that an increase in diversity may add complexity and management overhead, both of which have the potential to lead to mistakes and misconfigurations which could increase overall risk.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


SC-30 VIRTUALIZATION TECHNIQUES

Control: The organization employs virtualization techniques to present information system components as other types of components, or components with differing configurations.
Supplemental Guidance: Virtualization techniques provide organizations with the ability to disguise information systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms.
Control Enhancements:
(1) The organization employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed [Assignment: organization-defined frequency].
Enhancement Supplemental Guidance: While frequent changes to operating systems and applications pose configuration management challenges, the changes result in an increased work factor for adversaries in order to carry out successful attacks. Changing the apparent operating system or application, as opposed to the actual operating system or application, results in virtual changes that still impede attacker success while helping to reduce the configuration management effort.
(2) The organization employs randomness in the implementation of the virtualization techniques.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


SC-31 COVERT CHANNEL ANALYSIS

Control: The organization requires that information system developers/integrators perform a covert channel analysis to identify those aspects of system communication that are potential avenues for covert storage and timing channels.
Supplemental Guidance: Information system developers/integrators are in the best position to identify potential avenues within the system 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, for example, in the case of information systems containing export-controlled information and having connections to external networks (i.e., networks not controlled by the organization). Covert channel analysis is also meaningful in the case of multilevel secure (MLS) systems, multiple security level (MSL) systems, and cross domain systems.
Control Enhancements:
(1) The organization tests a subset of the vendor-identified covert channel avenues to determine if they are exploitable.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


SC-32 INFORMATION SYSTEM PARTITIONING

Control: The organization partitions the information system into components residing in separate physical domains (or environments) as deemed necessary.
Supplemental Guidance: Information system partitioning is a part of a defense-in-depth protection strategy. An organizational assessment of risk guides the partitioning of information system components into separate physical domains (or environments). The security categorization also guides the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned information system components. Related controls: AC-4, SC-7.
Control Enhancements: None.
References: FIPS Publication 199.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD SC-32 HIGH SC-32


SC-33 TRANSMISSION PREPARATION INTEGRITY

Control: The information system protects the integrity of information during the processes of data aggregation, packaging, and transformation in preparation for transmission.
Supplemental Guidance: Information can be subjected to unauthorized changes (e.g., malicious and/or unintentional modification) at information aggregation or protocol transformation points.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


SC-34 NON-MODIFIABLE EXECUTABLE PROGRAMS

Control: The information system at [Assignment: organization-defined information system components]:
a. Loads and executes the operating environment from hardware-enforced, read-only media; and
b. Loads and executes [Assignment: organization-defined applications] from hardware-enforced, read-only media.
Supplemental Guidance: In this control, the term operating environment is defined as the code upon which applications are hosted, for example, a monitor, executive, operating system, or application running directly on the hardware platform. Hardware-enforced, read-only media include, for example, CD-R/DVD-R disk drives. Use of non-modifiable storage ensures the integrity of the software program from the point of creation of the read-only image.
Control Enhancements:
(1) The organization employs [Assignment: organization-defined information system components] with no writeable storage that is persistent across component restart or power on/off.
Enhancement Supplemental Guidance: This control enhancement: (i) eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated information system component; and (ii) requires no such removable storage be employed, a requirement that may be applied directly or as a specific restriction imposed through AC-19.
(2) The organization protects the integrity of the information on read-only media.
Enhancement Supplemental Guidance: This control enhancement covers protecting the integrity of information to be placed onto read-only media and controlling the media after information has been recorded onto the media. Protection measures may include, as deemed necessary by the organization, a combination of prevention and detection/response. This enhancement may be satisfied by requirements imposed by other controls such as AC-3, AC-5, CM-3, CM-5, CM-9, MP-2, MP-4, MP-5, SA-12, SC-28, SI-3, and SI-7.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


SYSTEM AND INFORMATION INTEGRITY

FAMILY: SYSTEM AND INFORMATION INTEGRITY CLASS: OPERATIONAL

SI-1 SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. A formal, documented system and information integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system and information integrity family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The system and information integrity policy can be included as part of the general information security policy for the organization. System and information integrity procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system and information integrity policy. Related control: PM-9.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1 LOW SI-1 MOD SI-1 HIGH SI-1


SI-2 FLAW REMEDIATION

Control: The organization:
a. Identifies, reports, and corrects information system flaws;
b. Tests software updates related to flaw remediation for effectiveness and potential side effects on organizational information systems before installation; and
c. Incorporates flaw remediation into the organizational configuration management process.
Supplemental Guidance: The organization identifies information systems containing software affected by recently announced software flaws (and potential vulnerabilities resulting from those flaws) and reports this information to designated organizational officials with information security responsibilities (e.g., senior information security officers, information system security managers, information systems security officers). The organization (including any contractor to the organization) promptly installs security-relevant software updates (e.g., patches, service packs, and hot fixes). Flaws discovered during security assessments, continuous monitoring, incident response activities, or information system error handling, are also addressed expeditiously. Organizations are encouraged to use resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By requiring that flaw remediation be incorporated into the organizational configuration management process, it is the intent of this control that required/anticipated remediation actions are tracked and verified. An example of expected flaw remediation that would be so verified is whether the procedures contained in US-CERT guidance and Information Assurance Vulnerability Alerts have been accomplished. Related controls: CA-2, CA-7, CM-3, MA-2, IR-4, RA-5, SA-11, SI-11.
Control Enhancements:
(1) The organization centrally manages the flaw remediation process and installs software updates automatically.
Enhancement Supplemental Guidance: Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates.
(2) The organization employs automated mechanisms [Assignment: organization-defined frequency] to determine the state of information system components with regard to flaw remediation.
(3) The organization measures the time between flaw identification and flaw remediation, comparing with [Assignment: organization-defined benchmarks].
(4) The organization employs automated patch management tools to facilitate flaw remediation to [Assignment: organization-defined information system components].
References: NIST Special Publication 800-40.
Priority and Baseline Allocation:
P1 LOW SI-2 MOD SI-2 (2) HIGH SI-2 (1) (2)


SI-3 MALICIOUS CODE PROTECTION

Control: The organization:
a. Employs malicious code protection mechanisms at information system entry and exit points and at workstations, servers, or mobile computing devices on the network to detect and eradicate malicious code:
- Transported by electronic mail, electronic mail attachments, web accesses, removable media, or other common means; or
- Inserted through the exploitation of information system vulnerabilities;
b. Updates malicious code protection mechanisms (including signature definitions) whenever new releases are available in accordance with organizational configuration management policy and procedures;
c. Configures malicious code protection mechanisms to:
- Perform periodic scans of the information system [Assignment: organization-defined frequency] and real-time scans of files from external sources as the files are downloaded, opened, or executed in accordance with organizational security policy; and
- [Selection (one or more): block malicious code; quarantine malicious code; send alert to administrator; [Assignment: organization-defined action]] in response to malicious code detection; and
d. Addresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system.
Supplemental Guidance: Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, and remote-access servers. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode) or contained within a compressed file. Removable media includes, for example, USB devices, diskettes, or compact disks. A variety of technologies and methods exist to limit or eliminate the effects of malicious code attacks. Pervasive configuration management and strong software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber attacks that could affect organizational missions and business functions. Traditional malicious code protection mechanisms are not built to detect such code. In these situations, organizations must rely instead on other risk mitigation measures to include, for example, secure coding practices, trusted procurement processes, configuration management and control, and monitoring practices to help ensure that software does not perform functions other than those intended. Related controls: SA-4, SA-8, SA-12, SA-13, SI-4, SI-7.
Control Enhancements:
(1) The organization centrally manages malicious code protection mechanisms.
(2) The information system automatically updates malicious code protection mechanisms (including signature definitions).
(3) The information system prevents non-privileged users from circumventing malicious code protection capabilities.
(4) The information system updates malicious code protection mechanisms only when directed by a privileged user.
(5) The organization does not allow users to introduce removable media into the information system.
(6) The organization tests malicious code protection mechanisms [Assignment: organization-defined frequency] by introducing a known benign, non-spreading test case into the information system and subsequently verifying that both detection of the test case and associated incident reporting occur, as required.
References: NIST Special Publication 800-83.
Priority and Baseline Allocation:
P1 LOW SI-3 MOD SI-3 (1) (2) (3) HIGH SI-3 (1) (2) (3)


SI-4 INFORMATION SYSTEM MONITORING

Control: The organization:
a. Monitors events on the information system in accordance with [Assignment: organization-defined monitoring objectives] and detects information system attacks;
b. Identifies unauthorized use of the information system;
c. Deploys monitoring devices: (i) strategically within the information system to collect organization-determined essential information; and (ii) at ad hoc locations within the system to track specific types of transactions of interest to the organization;
d. Heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information; and
e. Obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations.
Supplemental Guidance: Information system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the system (e.g., within internal organizational networks and system components). Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, at selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. The Einstein network monitoring device from the Department of Homeland Security is an example of a system monitoring device. The granularity of the information collected is determined by the organization based on its monitoring objectives and the capability of the information system to support such activities. An example of a specific type of transaction of interest to the organization with regard to monitoring is Hyper Text Transfer Protocol (HTTP) traffic that bypasses organizational HTTP proxies, when use of such proxies is required. Related controls: AC-4, AC-8, AC-17, AU-2, AU-6, SI-3, SI-7.
Control Enhancements:
(1) The organization interconnects and configures individual intrusion detection tools into a systemwide intrusion detection system using common protocols.
(2) The organization employs automated tools to support near real-time analysis of events.
(3) The organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination.
(4) The information system monitors inbound and outbound communications for unusual or unauthorized activities or conditions.
Enhancement Supplemental Guidance: Unusual/unauthorized activities or conditions include, for example, internal traffic that indicates the presence of malicious code within an information system or propagating among system components, the unauthorized export of information, or signaling to an external information system. Evidence of malicious code is used to identify potentially compromised information systems or information system components.
(5) The information system provides near real-time alerts when the following indications of compromise or potential compromise occur: [Assignment: organization-defined list of compromise indicators].
Enhancement Supplemental Guidance: Alerts may be generated, depending on the organization-defined list of indicators, from a variety of sources, for example, audit records or input from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers.
(6) The information system prevents non-privileged users from circumventing intrusion detection and prevention capabilities.
(7) The information system notifies [Assignment: organization-defined list of incident response personnel (identified by name and/or by role)] of suspicious events and takes [Assignment: organization-defined list of least-disruptive actions to terminate suspicious events].
Enhancement Supplemental Guidance: The least-disruptive actions may include initiating a request for human response.
(8) The organization protects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion.
(9) The organization tests/exercises intrusion-monitoring tools [Assignment: organization-defined time-period].
Enhancement Supplemental Guidance: The frequency of testing/exercises is dependent upon the type and method of deployment of the intrusion-monitoring tools.
(10) The organization makes provisions so that encrypted traffic is visible to information system monitoring tools.
Enhancement Supplemental Guidance: The enhancement recognizes the need to balance encrypting traffic versus the need to have insight into that traffic from a monitoring perspective. For some organizations, the need to ensure the confidentiality of traffic is paramount; for others, the mission-assurance concerns are greater.
(11) The organization analyzes outbound communications traffic at the external boundary of the system (i.e., system perimeter) and, as deemed necessary, at selected interior points within the system (e.g., subnets, subsystems) to discover anomalies.
Enhancement Supplemental Guidance: Anomalies within the information system include, for example, large file transfers, long-time persistent connections, unusual protocols and ports in use, and attempted communications with suspected malicious external addresses.
(12) The organization employs automated mechanisms to alert security personnel of the following inappropriate or unusual activities with security implications: [Assignment: organization-defined list of inappropriate or unusual activities that trigger alerts].
(13) The organization:
(a) Analyzes communications traffic/event patterns for the information system;
(b) Develops profiles representing common traffic patterns and/or events; and
(c) Uses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives to [Assignment: organization-defined measure of false positives] and the number of false negatives to [Assignment: organization-defined measure of false negatives].
(14) The organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system.
(15) The organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.
(16) The organization correlates information from monitoring tools employed throughout the information system to achieve organization-wide situational awareness.
(17) The organization correlates results from monitoring physical, cyber, and supply chain activities to achieve integrated situational awareness.
Enhancement Supplemental Guidance: Integrated situational awareness enhances the capability of the organization to more quickly detect sophisticated attacks and investigate the methods and techniques employed to carry out the attacks.
References: NIST Special Publications 800-61, 800-83, 800-92, 800-94.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD SI-4 (2) (4) (5) (6) HIGH SI-4 (2) (4) (5) (6)


SI-5 SECURITY ALERTS, ADVISORIES, AND DIRECTIVES

Control: The organization:
a. Receives information system security alerts, advisories, and directives from designated external organizations on an ongoing basis;
b. Generates internal security alerts, advisories, and directives as deemed necessary;
c. Disseminates security alerts, advisories, and directives to [Assignment: organization-defined list of personnel (identified by name and/or by role)]; and
d. Implements security directives in accordance with established time frames, or notifies the issuing organization of the degree of noncompliance.
Supplemental Guidance: Security alerts and advisories are generated by the United States Computer Emergency Readiness Team (US-CERT) to maintain situational awareness across the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse affects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner.
Control Enhancements:
(1) The organization employs automated mechanisms to make security alert and advisory information available throughout the organization as needed.
References: NIST Special Publication 800-40.
Priority and Baseline Allocation:
P1 LOW SI-5 MOD SI-5 HIGH SI-5 (1)


SI-6 SECURITY FUNCTIONALITY VERIFICATION

Control: The information system verifies the correct operation of security functions [Selection (one or more): [Assignment: organization-defined system transitional states]; upon command by user with appropriate privilege; periodically every [Assignment: organization-defined time-period]] and [Selection (one or more): notifies system administrator; shuts the system down; restarts the system; [Assignment: organization-defined alternative action(s)]] when anomalies are discovered.
Supplemental Guidance: The need to verify security functionality applies to all security functions. For those security functions that are not able to execute automated self-tests, the organization either implements compensating security controls or explicitly accepts the risk of not performing the verification as required. Information system transitional states include, for example, startup, restart, shutdown, and abort.
Control Enhancements:
(1) The information system provides notification of failed automated security tests.
(2) The information system provides automated support for the management of distributed security testing.
(3) The organization reports the result of security function verification to designated organizational officials with information security responsibilities.
Enhancement Supplemental Guidance: Organizational officials with information security responsibilities include, for example, senior information security officers, information system security managers, and information systems security officers.
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD Not Selected HIGH SI-6


SI-7 SOFTWARE AND INFORMATION INTEGRITY

Control: The information system detects unauthorized changes to software and information.
Supplemental Guidance: The organization employs integrity verification applications on the information system to look for evidence of information tampering, errors, and omissions. The organization employs good software engineering practices with regard to commercial off-the-shelf integrity mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and uses tools to automatically monitor the integrity of the information system and the applications it hosts.
Control Enhancements:
(1) The organization reassesses the integrity of software and information by performing [Assignment: organization-defined frequency] integrity scans of the information system.
(2) The organization employs automated tools that provide notification to designated individuals upon discovering discrepancies during integrity verification.
(3) The organization employs centrally managed integrity verification tools.
(4) The organization requires use of tamper-evident packaging for [Assignment: organization-defined information system components] during [Selection: transportation from vendor to operational site; during operation; both].
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD SI-7 (1) HIGH SI-7 (1) (2)


SI-8 SPAM PROTECTION

Control: The organization:
a. Employs spam protection mechanisms at information system entry and exit points and at workstations, servers, or mobile computing devices on the network to detect and take action on unsolicited messages transported by electronic mail, electronic mail attachments, web accesses, or other common means; and
b. Updates spam protection mechanisms (including signature definitions) when new releases are available in accordance with organizational configuration management policy and procedures.
Supplemental Guidance: Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, and remote-access servers. Related controls: SC-5, SI-3.
Control Enhancements:
(1) The organization centrally manages spam protection mechanisms.
(2) The information system automatically updates spam protection mechanisms (including signature definitions).
References: NIST Special Publication 800-45.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD SI-8 HIGH SI-8 (1)


SI-9 INFORMATION INPUT RESTRICTIONS

Control: The organization restricts the capability to input information to the information system to authorized personnel.
Supplemental Guidance: Restrictions on organizational personnel authorized to input information to the information system may extend beyond the typical access controls employed by the system and include limitations based on specific operational/project responsibilities. Related controls: AC-5, AC-6.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P2 LOW Not Selected MOD SI-9 HIGH SI-9


SI-10 INFORMATION INPUT VALIDATION

Control: The information system checks the validity of information inputs.
Supplemental Guidance: Rules for checking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, acceptable values) are in place to verify that inputs match specified definitions for format and content. Inputs passed to interpreters are prescreened to prevent the content from being unintentionally interpreted as commands.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P1 LOW Not Selected MOD SI-10 HIGH SI-10


SI-11 ERROR HANDLING

Control: The information system:
a. Identifies potentially security-relevant error conditions;
b. Generates error messages that provide information necessary for corrective actions without revealing [Assignment: organization-defined sensitive or potentially harmful information] in error logs and administrative messages that could be exploited by adversaries; and
c. Reveals error messages only to authorized personnel.
Supplemental Guidance: The structure and content of error messages are carefully considered by the organization. The extent to which the information system is able to identify and handle error conditions is guided by organizational policy and operational requirements. Sensitive information includes, for example, account numbers, social security numbers, and credit card numbers.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P2 LOW Not Selected MOD SI-11 HIGH SI-11


SI-12 INFORMATION OUTPUT HANDLING AND RETENTION

Control: The organization handles and retains both information within and output from the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements.
Supplemental Guidance: The output handling and retention requirements cover the full life cycle of the information, in some cases extending beyond the disposal of the information system. The National Archives and Records Administration provides guidance on records retention. Related controls: MP-2, MP-4.
Control Enhancements: None.
References: None.
Priority and Baseline Allocation:
P2 LOW SI-12 MOD SI-12 HIGH SI-12


SI-13 PREDICTABLE FAILURE PREVENTION

Control: The organization:
a. Protects the information system from harm by considering mean time to failure for [Assignment: organization-defined list of information system components] in specific environments of operation; and
b. Provides substitute information system components, when needed, and a mechanism to exchange active and standby roles of the components.
Supplemental Guidance: While mean time to failure is primarily a reliability issue, this control focuses on the potential failure of specific components of the information system that provide security capability. Mean time to failure rates are defendable and based on considerations that are installation-specific, not industry-average. The transfer of responsibilities between active and standby information system components does not compromise safety, operational readiness, or security (e.g., state variables are preserved). The standby component is available at all times except where a failure recovery is in progress or for maintenance reasons. Related control: CP-2.
Control Enhancements:
(1) The organization takes the information system component out of service by transferring component responsibilities to a substitute component no later than [Assignment: organization-defined fraction or percentage] of mean time to failure.
(2) The organization does not allow a process to execute without supervision for more than [Assignment: organization-defined time period].
(3) The organization manually initiates a transfer between active and standby information system components at least once per [Assignment: organization-defined frequency] if the mean time to failure exceeds [Assignment: organization-defined time period].
(4) The organization, if an information system component failure is detected:
(a) Ensures that the standby information system component successfully and transparently assumes its role within [Assignment: organization-defined time period]; and
(b) [Selection (one or more): activates [Assignment: organization-defined alarm]; automatically shuts down the information system].
Enhancement Supplemental Guidance: Automatic or manual transfer of roles to a standby unit may occur upon detection of a component failure.
References: None.
Priority and Baseline Allocation:
P0 LOW Not Selected MOD Not Selected HIGH Not Selected


Footnotes