NIST SP 800-53r3 Appendix H

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Contents

APPENDIX H

INTERNATIONAL INFORMATION SECURITY STANDARDS

SECURITY CONTROL MAPPINGS FOR ISO/IEC 27001

The mapping tables in this appendix provide organizations with a general indication of security control coverage with respect to ISO/IEC 27001, Information technology–Security techniques–Information security management systems–Requirements.76 [1] ISO/IEC 27001 applies to all types of organizations (e.g., commercial, government) and specifies requirements for establishing, implementing, operating, monitoring, reviewing, maintaining, and improving a documented information security management system (ISMS) within the context of the organization's overall business risks. While the risk management approach established by NIST originally focused on managing risk from information systems (as required by FISMA and described in NIST Special Publication 800-39), the approach is being expanded to include risk management at the organizational level. A forthcoming version of NIST Special Publication 800-39 will incorporate ISO/IEC 27001 to manage organizational information security risk through the establishment of an ISMS. Since NIST's mission includes the adoption of international and national standards where appropriate, NIST intends to pursue convergence to reduce the burden on organizations that must conform to both sets of standards. The convergence initiative will be carried out in three phases. Phase I, the subject of this appendix, provides a two-way mapping between the security controls in NIST Special Publication 800-53 and the controls in ISO/IEC 27001 (Annex A). Phase II will provide a two-way mapping between the organization-level risk management concepts in NIST Special Publication 800-39 (forthcoming version) and general requirements in ISO/IEC 27001. Phase III will use the results from Phase I and II to fully integrate ISO/IEC 27001 into NIST's risk management approach such that an organization that complies with NIST standards and guidelines can also comply with ISO/IEC 27001 (subject to appropriate assessment requirements for ISO/IEC 27001 certification).

Table H-1 provides a forward mapping from the security controls in NIST Special Publication 800-53 to the controls in ISO/IEC 27001 (Annex A). The mappings are created by using the primary security topic identified in each of the Special Publication 800-53 security controls and associated control enhancements (if any) and searching for a similar security topic in ISO/IEC 27001 (Annex A). Security controls with similar functional meaning are included in the mapping table. For example, Special Publication 800-53 contingency planning and ISO/IEC 27001 (Annex A) business continuity were deemed to have similar, but not the same, functionality. In some cases, similar topics are addressed in the security control sets but provide a different context, perspective, or scope. For example, Special Publication 800-53 addresses information flow control broadly in terms of approved authorizations for controlling access between source and destination objects, whereas ISO/IEC 27001 (Annex A) addresses the information flow more narrowly as it applies to interconnected network domains. Table H-2 provides a reverse mapping from the security controls in ISO/IEC 27001 (Annex A) to the security controls in Special Publication 800-53.77 [2]

Organizations are encouraged to use the mapping tables as a starting point for conducting further analyses and interpretation of the extent of compliance with ISO/IEC 27001 from compliance with the NIST security standards and guidelines and visa versa. Organizations that use the security controls in Special Publication 800-53 as an extension to the security controls in Annex A in their ISO/IEC 27001 implementations will have a higher probability of complying with NIST security standards and guidelines than those organizations that use only Annex A.


TABLE H-1: MAPPING NIST SP 800-53 TO ISO/IEC 27001 (ANNEX A)
NUMBER NIST SP 800-53 CONTROLS ISO/IEC 27001 (Annex A) CONTROLS
AC-1 Access Control Policy and Procedures A5.1.1, A5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A10.1.1, A.10.8.1, A.11.1.1, A.11.2.1, A11.2.2, A11.4.1, A.11.7.1, A.11.7.2, A.15.1.1, A.15.2.1
AC-2 Account Management A.8.3.3, A.11.2.1, A.11.2.2, A.11.2.4, A15.2.1
AC-3 Access Enforcement A.10.8.1 A.11.4.4, A.11.4.6, A.11.5.4, A.11.6.1, A.12.4.2
AC-4 Information Flow Enforcement A.10.6.1, A.10.8.1, A.11.4.5, A.11.4.7, A.11.7.2, A.12.4.2, A.12.5.4
AC-5 Separation of Duties A.6.1.3, A.8.1.1, A.10.1.3, A.11.1.1, A.11.4.1
AC-6 Least Privilege A.6.1.3, A.8.1.1, A.11.1.1, A.11.2.2, A.11.4.1, A.11.4.4, A.11.4.6, A.11.5.4, A.11.6.1, A.12.4.3
AC-7 Unsuccessful Login Attempts A.11.5.1
AC-8 System Use Notification A.6.2.2, A.8.1.1, A.11.5.1, A.15.1.5
AC-9 Previous Logon (Access) Notification A.11.5.1
AC-10 Concurrent Session Control A.11.5.1
AC-11 Session Lock A.11.3.2, A.11.3.3, A.11.5.5
AC-12 Withdrawn ---
AC-13 Withdrawn ---
AC-14 Permitted Actions without Identification or Authentication A.11.6.1
AC-15 Withdrawn ---
AC-16 Security Attributes A.7.2.2
AC-17 Remote Access A.10.6.1, A.10.8.1, A.11.1.1, A.11.4.1, A.11.4.2, A.11.4.4, A.11.4.6, A.11.4.7, A.11.7.1, A.11.7.2
AC-18 Wireless Access A.10.6.1, A.10.8.1, A.11.1.1, A.11.4.1, A.11.4.2, A.11.4.4, A.11.4.6, A.11.4.7, A.11.7.1, A.11.7.2
AC-19 Access Control for Mobile Devices A.10.4.1, A.11.1.1, A.11.4.3, A.11.7.1
AC-20 Use of External Information Systems A.7.1.3, A.8.1.1, A.8.1.3, A.10.6.1, A.10.8.1, A.11.4.1, A.11.4.2
AC-21 User-Based Collaboration and Information Sharing A.11.2.1, A.11.2.2
AC-22 Publicly Accessible Content None
AT-1 Security Awareness and Training Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.15.1.1, A.15.2.1
AT-2 Security Awareness A.6.2.2, A.8.1.1, A.8.2.2, A.9.1.5, A.10.4.1
AT-3 Security Training A.8.1.1, A.8.2.2, A.9.1.5
AT-4 Security Training Records None
AT-5 Contacts with Security Groups and Associations A.6.1.7
AU-1 Audit and Accountability Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.10.10.2, A.15.1.1, A.15.2.1, A.15.3.1
AU-2 Auditable Events A.10.10.1, A.10.10.4, A.10.10.5, A.15.3.1
AU-3 Content of Audit Records A.10.10.1
AU-4 Audit Storage Capacity A.10.10.1, A.10.3.1
AU-5 Response to Audit Processing Failures A.10.3.1, A.10.10.1
AU-6 Audit Review, Analysis, and Reporting A.10.10.2, A.10.10.5, A.13.1.1, A.15.1.5
AU-7 Audit Reduction and Report Generation A.10.10.2
AU-8 Time Stamps A.10.10.1, A.10.10.6
AU-9 Protection of Audit Information A.10.10.3, A.13.2.3, A.15.1.3, A.15.3.2
AU-10 Non-repudiation A.10.9.1, A.12.2.3
AU-11 Audit Record Retention A.10.10.1, A.10.10.2, A.15.1.3
AU-12 Audit Generation A.10.10.1, A.10.10.4, A.10.10.5
AU-13 Monitoring for Information Disclosure None
AU-14 Session Audit None
CA-1 Security Assessment and Authorization Policies and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3 A.6.1.4, A.8.1.1, A.10.1.1, A.15.1.1, A.15.2.1
CA-2 Security Assessments A.6.1.8, A.10.3.2, A.15.2.1, A.15.2.2
CA-3 Information System Connections A.6.2.1, A.6.2.3, A.10.6.1, A.10.8.1, A.10.8.2, A.10.8.5, A.11.4.2
CA-4 Withdrawn ---
CA-5 Plan of Action and Milestones None
CA-6 Security Authorization A.6.1.4, A.10.3.2
CA-7 Continuous Monitoring A.6.1.8, A.15.2.1, A.15.2.2
CM-1 Configuration Management Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.10.1.2, A.12.4.1, A.12.5.1, A.15.1.1, A.15.2.1
CM-2 Baseline Configuration A.12.4.1, A.10.1.4
CM-3 Configuration Change Control A.10.1.1, A.10.1.2, A.10.3.2, A.12.4.1, A.12.5.1, A.12.5.2, A.12.5.3
CM-4 Security Impact Analysis A.10.1.2, A.10.3.2, A.12.4.1, A.12.5.2, A.12.5.3
CM-5 Access Restrictions for Change A.10.1.2, A.11.1.1, A.11.6.1, A.12.4.1, A.12.4.3, A.12.5.3
CM-6 Configuration Settings None
CM-7 Least Functionality None
CM-8 Information System Component Inventory A.7.1.1, A.7.1.2
CM-9 Configuration Management Plan A.6.1.3. A.7.1.1, A.7.1.2, A.8.1.1, A.10.1.1, A.10.1.2, A.10.3.2, A.12.4.1, A.12.4.3, A.12.5.1, A.12.5.2, A.12.5.3
CP-1 Contingency Planning Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.9.1.4, A.10.1.1, A.10.1.2, A.14.1.1, A.14.1.3, A.15.1.1, A.15.2.1
CP-2 Contingency Plan A.6.1.2, A.9.1.4, A.10.3.1, A.14.1.1, A.14.1.2, A.14.1.3, A.14.1.4, A.14.1.5
CP-3 Contingency Training A.8.2.2, A.9.1.4, A.14.1.3
CP-4 Contingency Plan Testing and Exercises A.6.1.2, A.9.1.4, A.14.1.1, A.14.1.3, A.14.1.4, A.14.1.5
CP-5 Withdrawn ---
CP-6 Alternate Storage Site A.9.1.4, A.14.1.3
CP-7 Alternate Processing Site A.9.1.4, A.14.1.3
CP-8 Telecommunications Services A.9.1.4, A.10.6.1, A.14.1.3
CP-9 Information System Backup A.9.1.4, A.10.5.1, A.14.1.3, A.15.1.3
CP-10 Information System Recovery and Reconstitution A.9.1.4, A.14.1.3
IA-1 Identification and Authentication Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.11.2.1, A.15.1.1, A.15.2.1
IA-2 Identification and Authentication (Organizational Users) A.11.3.2, A.11.5.1, A.11.5.2, A.11.5.3
IA-3 Device Identification and Authentication A.11.4.3
IA-4 Identifier Management A.11.5.2
IA-5 Authenticator Management A.11.2.1, A.11.2.3, A.11.3.1, A.11.5.2, A.11.5.3
IA-6 Authenticator Feedback A.11.5.1
IA-7 Cryptographic Module Authentication A.12.3.1, A.15.1.1, A.15.1.6, A.15.2.1
IA-8 Identification and Authentication (Non-Organizational Users) A.10.9.1, A.11.4.2, A.11.5.1, A.11.5.2
IR-1 Incident Response Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.13.1.1, A.13.2.1, A.15.1.1, A.15.2.1
IR-2 Incident Response Training A.8.2.2
IR-3 Incident Response Testing and Exercises None
IR-4 Incident Handling A.6.1.2, A.13.2.2, A.13.2.3
IR-5 Incident Monitoring None
IR-6 Incident Reporting A.6.1.6, A.13.1.1
IR-7 Incident Response Assistance None
IR-8 Incident Response Plan None
MA-1 System Maintenance Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.9.2.4, A.10.1.1, A.15.1.1, A.15.2.1
MA-2 Controlled Maintenance A.9.2.4
MA-3 Maintenance Tools A.9.2.4, A.11.4.4
MA-4 Non-Local Maintenance A.9.2.4, A.11.4.4
MA-5 Maintenance Personnel A.9.2.4, A.12.4.3
MA-6 Timely Maintenance A.9.2.4
MP-1 Media Protection Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.10.7.1, A.10.7.2, A.10.7.3, A.11.1.1, A.15.1.1, A.15.1.3, A.15.2.1
MP-2 Media Access A.7.2.2, A.10.7.1, A.10.7.3
MP-3 Media Marking A.7.2.2, A.10.7.1, A.10.7.3
MP-4 Media Storage A.10.7.1, A.10.7.3, A.10.7.4, A.15.1.3
MP-5 Media Transport A.9.2.5, A.9.2.7, A.10.7.1, A.10.7.3, A.10.8.3
MP-6 Media Sanitization A.9.2.6, A.10.7.1, A.10.7.2, A.10.7.3
PE-1 Physical and Environmental Protection Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.9.1.4, A.9.2.1, A.9.2.2, A.10.1.1, A.11.1.1, A.11.2.1, A.11.2.2, A.15.1.1, A.15.2.1
PE-2 Physical Access Authorizations A.9.1.5, A.11.2.1, A.11.2.2, A.11.2.4
PE-3 Physical Access Control A.9.1.1, A.9.1.2, A.9.1.3, A.9.1.5, A.9.1.6, A.11.3.2, A.11.4.4
PE-4 Access Control for Transmission Medium A.9.1.3, A.9.1.5, A.9.2.3
PE-5 Access Control for Output Devices A.9.1.2, A.9.1.3, A.10.6.1, A.11.3.2
PE-6 Monitoring Physical Access A.9.1.2, A.9.1.5, A.10.10.2
PE-7 Visitor Control A.9.1.2, A.9.1.5, A.9.1.6
PE-8 Access Records A.9.1.5, A.10.10.2, A.15.2.1
PE-9 Power Equipment and Power Cabling A.9.1.4, A.9.2.2, A.9.2.3
PE-10 Emergency Shutoff A.9.1.4
PE-11 Emergency Power A.9.1.4, A.9.2.2
PE-12 Emergency Lighting A.9.2.2
PE-13 Fire Protection A.9.1.4
PE-14 Temperature and Humidity Controls A.9.2.2
PE-15 Water Damage Protection A.9.1.4
PE-16 Delivery and Removal A.9.1.6, A.9.2.7, A.10.7.1
PE-17 Alternate Work Site A.9.2.5, A.11.7.2
PE-18 Location of Information System Components A.9.2.1, A.11.3.2
PE-19 Information Leakage A.12.5.4
PL-1 Security Planning Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.2, A.6.1.3, A.8.1.1, A.10.1.1, A.15.1.1, A.15.2.1
PL-2 System Security Plan None
PL-3 Withdrawn ---
PL-4 Rules of Behavior A.6.1.5, A.6.2.2, A.7.1.3. A.8.1.1, A.8.1.3, A.8.2.1, A.9.1.5, A.10.8.1, A.11.7.1, A.11.7.2, A.12.4.1, A.13.1.2, A.15.1.5
PL-5 Privacy Impact Assessment A.15.1.4
PL-6 Security-Related Activity Planning A.6.1.2, A.15.3.1
PS-1 Personnel Security Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.15.1.1, A.15.2.1
PS-2 Position Categorization A.8.1.1
PS-3 Personnel Screening A.8.1.2
PS-4 Personnel Termination A.8.3.1, A.8.3.2, A.8.3.3
PS-5 Personnel Transfer A.8.3.1, A.8.3.2, A.8.3.3
PS-6 Access Agreements A.6.1.5, A.8.1.1, A.8.1.3, A.8.2.1, A.9.1.5, A.10.8.1, A.11.7.1, A.11.7.2, A.15.1.5
PS-7 Third-Party Personnel Security A.6.2.3, A.8.1.1, A.8.2.1, A.8.1.3
PS-8 Personnel Sanctions A.8.2.3, A.15.1.5
RA-1 Risk Assessment Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.14.1.2, A.15.1.1, A.15.2.1
RA-2 Security Categorization A.7.2.1, A.14.1.2
RA-3 Risk Assessment A.6.2.1, A.10.2.3, A.12.6.1, A.14.1.2
RA-4 Withdrawn ---
RA-5 Vulnerability Scanning A.12.6.1, A.15.2.2
SA-1 System and Services Acquisition Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.6.2.1, A.8.1.1, A.10.1.1, A.12.1.1, A.12.5.5, A.15.1.1, A.15.2.1
SA-2 Allocation of Resources A.6.1.2, A.10.3.1
SA-3 Life Cycle Support A.12.1.1
SA-4 Acquisitions A.12.1.1, A.12.5.5
SA-5 Information System Documentation A.10.7.4, A.15.1.3
SA-6 Software Usage Restrictions A.12.4.1, A.12.5.5, A.15.1.2
SA-7 User-Installed Software A.12.4.1, A.12.5.5, A.15.1.5
SA-8 Security Engineering Principles A.10.4.1, A.10.4.2, A.11.4.5, A.12.5.5
SA-9 External Information System Services A.6.1.5, A.6.2.1, A.6.2.3, A.8.1.1, A.8.2.1, A.10.2.1, A.10.2.2, A.10.2.3, A.10.6.2, A.10.8.2, A.12.5.5
SA-10 Developer Configuration Management A.12.4.3, A.12.5.1, A.12.5.5
SA-11 Developer Security Testing A.10.3.2, A.12.5.5
SA-12 Supply Chain Protections A.12.5.5
SA-13 Trustworthiness A.12.5.5
SA-14 Critical Information System Components None
SC-1 System and Communications Protection Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.15.1.1, A.15.2.1
SC-2 Application Partitioning A.10.4.1, A.10.4.2
SC-3 Security Function Isolation A.10.4.1, A.10.4.2, A.10.9.1, A.10.9.2
SC-4 Information In Shared Resources None
SC-5 Denial of Service Protection A.10.3.1
SC-6 Resource Priority None
SC-7 Boundary Protection A.6.2.1, A.10.4.1, A.10.4.2, A.10.6.1, A.10.8.1, A.10.9.1, A.10.9.2, A.10.10.2, A.11.4.5, A.11.4.6
SC-8 Transmission Integrity A.10.4.2, A.10.6.1, A.10.6.2, A.10.9.1, A.10.9.2, A.12.2.3, A.12.3.1
SC-9 Transmission Confidentiality A.10.6.1, A.10.6.2, A.10.9.1, A.10.9.2, A.12.3.1
SC-10 Network Disconnect A.10.6.1, A.11.3.2, A.11.5.1, A.11.5.5
SC-11 Trusted Path None
SC-12 Cryptographic Key Establishment and Management A.12.3.2
SC-13 Use of Cryptography A.12.3.1, A.15.1.6
SC-14 Public Access Protections A.10.4.1, A.10.4.2, A.10.9.1, A.10.9.2, A.10.9.3
SC-15 Collaborative Computing Devices None
SC-16 Transmission of Security Attributes A.7.2.2, A.10.8.1
SC-17 Public Key Infrastructure Certificates A.12.3.2
SC-18 Mobile Code A.10.4.2
SC-19 Voice Over Internet Protocol A.10.6.1
SC-20 Secure Name /Address Resolution Service (Authoritative Source) A.10.6.1
SC-21 Secure Name /Address Resolution Service (Recursive or Caching Resolver) A.10.6.1
SC-22 Architecture and Provisioning for Name/Address Resolution Service A.10.6.1
SC-23 Session Authenticity A.10.6.1
SC-24 Fail in Known State None
SC-25 Thin Nodes None
SC-26 Honeypots None
SC-27 Operating System-Independent Applications None
SC-28 Protection of Information at Rest None
SC-29 Heterogeneity None
SC-30 Virtualization Techniques None
SC-31 Covert Channel Analysis None
SC-32 Information System Partitioning None
SC-33 Transmission Preparation Integrity None
SC-34 Non-Modifiable Executable Programs None
SI-1 System and Information Integrity Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.15.1.1, A.15.2.1
SI-2 Flaw Remediation A.10.10.5, A.12.5.2, A.12.6.1, A.13.1.2
SI-3 Malicious Code Protection A.10.4.1
SI-4 Information System Monitoring A.10.10.2, A.13.1.1, A.13.1.2
SI-5 Security Alerts, Advisories, and Directives A.6.1.6, A.12.6.1, A.13.1.1, A.13.1.2
SI-6 Security Functionality Verification None
SI-7 Software and Information Integrity A.10.4.1, A.12.2.2, A.12.2.3
SI-8 Spam Protection None
SI-9 Information Input Restrictions A.10.8.1, A.11.1.1, A.11.2.2, A.12.2.2
SI-10 Information Input Validation A.12.2.1, A.12.2.2
SI-11 Error Handling None
SI-12 Information Output Handling and Retention A.10.7.3, A.15.1.3, A.15.1.4, A.15.2.1
SI-13 Predictable Failure Prevention None
PM-1 Information Security Program Plan A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3 A.8.1.1, A.15.1.1, A.15.2.1
PM-2 Senior Information Security Officer A.6.1.1, A.6.1.2, A.6.1.3
PM-3 Information Security Resources None
PM-4 Plan of Action and Milestones Process None
PM-5 Information System Inventory A.7.1.1, A.7.1.2
PM-6 Information Security Measures of Performance None
PM-7 Enterprise Architecture None
PM-8 Critical Infrastructure Plan None
PM-9 Risk Management Strategy A.6.2.1, A.14.1.2
PM-10 Security Authorization Process A.6.1.4
PM-11 Mission/Business Process Definition None


TABLE H-2: MAPPING ISO/IEC 27001 (ANNEX A) TO NIST SP 800-53
ISO/IEC 27001 (Annex A) CONTROLS NIST SP 800-53 CONTROLS
A.5 Security Policy
A.5.1 Information security policy
A.5.1.1 Information security policy document XX-1 controls
A.5.1.2 Review of the information security policy XX-1 controls
A.6 Organization of information security
A.6.1 Internal
A.6.1.1 Management commitment to information security XX-1 controls, PM-2; SP 800-39, SP 800-37
A.6.1.2 Information security coordination CP-2, CP-4, IR-4, PL-1, PL-6, PM-2, SA-2; SP 800-39, SP 800-37
A.6.1.3 Allocation of information security responsibilities XX-1 controls, AC-5, AC-6, CM-9. PM-2; SP 800-39, SP 800-37
A.6.1.4 Authorization process for information processing facilities CA-1, CA-6, PM-10; SP 800-37
A.6.1.5 Confidentiality agreements PL-4, PS-6, SA-9
A.6.1.6 Contact with authorities Multiple controls with contact reference (e.g., IR-6, SI-5); SP 800-39; SP 800-37
A.6.1.7 Contact with special interest groups AT-5
A.6.1.8 Independent review of information security CA-2, CA-7; SP 800-39, SP 800-37
A.6.2 External Parties
A.6.2.1 Identification of risks related to external parties CA-3, PM-9, RA-3, SA-1, SA-9, SC-7
A.6.2.2 Addressing security when dealing with customers AC-8 , AT-2, PL-4
A.6.2.3 Addressing security in third party agreements CA-3, PS-7, SA-9
A.7 Asset Management
A.7.1 Responsibility for assets
A.7.1.1 Inventory of assets CM-8, CM-9, PM-5
A.7.1.2 Ownership of assets CM-8, CM-9, PM-5
A.7.1.3 Acceptable use of assets AC-20, PL-4
A.7.2 Information Classification
A.7.2.1 Classification Guidelines RA-2
A.7.2.2 Information labeling and handling AC-16, MP-2, MP-3, SC-16
A.8 Human Resources Security
A.8.1 Prior to Employment
A.8.1.1 Roles and Responsibilities XX-1 controls, AC-5, AC-6, AC-8, AC-20, AT-2, AT-3, CM-9, PL-4, PS-2, PS-6, PS-7, SA-9
A.8.1.2 Screening PS-3
A.8.1.3 Terms and conditions of employment AC-20, PL-4, PS-6, PS-7
A.8.2 During employment
A.8.2.1 Management responsibilities PL-4, PS-6, PS-7, SA-9
A.8.2.2 Awareness, education, and training AT-2, AT-3, IR-2
A.8.2.3 Disciplinary process PS-8
A.8.3 Termination or change of employment
A.8.3.1 Termination responsibilities PS-4, PS-5
A.8.3.2 Return of assets PS-4, PS-5
A.8.3.3 Removal of access rights AC-2, PS-4, PS-5
A.9 Physical and environmental security
A.9.1 Secure areas
A.9.1.1 Physical security perimeter PE-3
A.9.1.2 Physical entry controls PE-3, PE-5, PE-6, PE-7
A.9.1.3 Securing offices, rooms, facilities PE-3, PE-4, PE-5
A.9.1.4 Protecting against external and environmental threats CP Family; PE-1, PE-9, PE-10, PE-11, PE-13, PE-15
A.9.1.5 Working in secure areas AT-2, AT-3 , PL-4, PS-6, PE-2, PE-3, PE-4, PE-6, PE-7, PE-8
A.9.1.6 Public access, delivery and loading areas PE-3 , PE-7, PE-16
A.9.2 Equipment security
A.9.2.1 Equipment siting and protection PE-1, PE-18
A.9.2.2 Supporting utilities PE-1, PE-9, PE-11, PE-12, PE-14
A.9.2.3 Cabling security PE-4, PE-9
A.9.2.4 Equipment maintenance MA Family
A.9.2.5 Security of equipment off-premises MP-5, PE-17
A.9.2.6 Secure disposal or reuse of equipment MP-6
A.9.2.7 Removal of property MP-5, PE-16
A.10 Communications and operations management
A.10.1 Operational procedures and responsibilities
A.10.1.1 Documented operating procedures XX-1 controls, CM-9
A.10.1.2 Change management CM-1, CM-3, CM-4, CM-5, CM-9
A.10.1.3 Segregation of duties AC-5
A.10.1.4 Separation of development, test and operational facilities CM-2
A.10.2 Third-party service delivery management
A.10.2.1 Service delivery SA-9
A.10.2.2 Monitoring and review of third-party services SA-9
A.10.2.3 Managing changes to third-party services RA-3, SA-9
A.10.3 System planning and acceptance
A.10.3.1 Capacity management AU-4, AU-5, CP-2, SA-2, SC-5
A.10.3.2 System acceptance CA-2, CA-6, CM-3, CM-4, CM-9, SA-11
A.10.4 Protection against malicious and mobile code
A.10.4.1 Controls against malicious code AC-19, AT-2, SA-8, SC-2, SC-3, SC-7, SC-14, SI-3, SI-7
A.10.4.2 Controls against mobile code SA-8, SC-2, SC-3, SC-7, SC-14, SC-8, SC-18
A.10.5 Backup
A.10.5.1 Information backup CP-9
A.10.6 Network security management
A.10.6.1 Network controls AC-4, AC-17, AC-18, AC-20, CA-3, CP-8, PE-5, SC-7, SC-8, SC-9, SC-10, SC-19, SC-20, SC-21, SC-22, SC-23
A.10.6.2 Security of network services SA-9, SC-8, SC-9
A.10.7 Media handling
A.10.7.1 Management of removable media MP Family, PE-16
A.10.7.2 Disposal of media MP-6
A.10.7.3 Information handling procedures MP Family, SI-12
A.10.7.4 Security of system documentation MP-4, SA-5
A.10.8 Exchange of information
A.10.8.1 Information exchange policies and procedures AC-1, AC-3, AC-4, AC-17, AC-18, AC-20, CA-3, PL-4, PS-6, SC-7, SC-16, SI-9
A.10.8.2 Exchange agreements CA-3, SA-9
A.10.8.3 Physical media in transit MP-5
A.10.8.4 Electronic messaging Multiple controls; electronic messaging not addressed separately in SP 800-53
A.10.8.5 Business information systems CA-1, CA-3
A.10.9 Electronic commerce services
A.10.9.1 Electronic commerce AU-10, IA-8, SC-7, SC-8, SC-9, SC-3, SC-14
A.10.9.2 Online transactions SC-3, SC-7, SC-8, SC-9, SC-14
A.10.9.3 Publicly available information SC-14
A.10.10 Monitoring
A.10.10.1 Audit logging AU-1, AU-2, AU-3, AU-4, AU-5, AU-8, AU-11, AU-12
A.10.10.2 Monitoring system use AU-1, AU-6, AU-7, PE-6, PE-8, SC-7, SI-4
A.10.10.3 Protection of log information AU-9
A.10.10.4 Administrator and operator logs AU-2, AU-12
A.10.10.5 Fault logging AU-2, AU-6, AU-12, SI-2
A.10.10.6 Clock synchronization AU-8
A.11 Access Control
A.11.1 Business requirement for access control
A.11.1.1 Access control policy AC-1, AC-5, AC-6, AC-17, AC-18, AC-19, CM-5, MP-1, SI-9
A.11.2 User access management
A.11.2.1 User registration AC-1, AC-2, AC-21, IA-5, PE-1, PE-2
A.11.2.2 Privilege management AC-1, AC-2, AC-6, AC-21, PE-1, PE-2, SI-9
A.11.2.3 User password management IA-5
A.11.2.4 Review of user access rights AC-2, PE-2
A 11.3 User responsibilities
A.11.3.1 Password use IA-2, IA-5
A.11.3.2 Unattended user equipment AC-11, IA-2, PE-3, PE-5, PE-18, SC-10
A.11.3.3 Clear desk and clear screen policy AC-11
A.11.4 Network access control
A.11.4.1 Policy on use of network services AC-1, AC-5, AC-6, AC-17, AC-18, AC-20
A.11.4.2 User authentication for external connections AC-17, AC-18, AC-20, CA-3, IA-2, IA-8
A.11.4.3 Equipment identification in networks AC-19, IA-3
A.11.4.4 Remote diagnostic and configuration port protection AC-3, AC-6, AC-17, AC-18, PE-3, MA-3, MA-4
A.11.4.5 Segregation in networks AC-4, SA-8, SC-7
A.11.4.6 Network connection control AC-3, AC-6, AC-17, AC-18, SC-7
A.11.4.7 Network routing control AC-4, AC-17, AC-18
A 11.5 Operating system access control
A.11.5.1 Secure log-on procedures AC-7, AC-8, AC-9, AC-10, IA-2, IA-6, IA-8, SC- 10
A.11.5.2 User identification and authentication IA-2, IA-4, IA-5, IA-8
A.11.5.3 Password management system IA-2, IA-5
A.11.5.4 Use of system utilities AC-3, AC-6
A.11.5.5 Session time-out AC-11, SC-10
A.11.5.6 Limitation of connection time None
A.11.6 Application and information access control
A.11.6.1 Information access restriction AC-3, AC-6, AC-14, CM-5
A.11.6.2 Sensitive system isolation None; SP 800-39
A.11.7 Mobile computing and teleworking
A.11.7.1 Mobile computing and communications AC-1, AC-17, AC-18, AC-19, PL-4, PS-6
A.11.7.2 Teleworking AC-1, AC-4, AC-17, AC-18, PE-17, PL-4, PS-6
A.12 Information systems acquisition, development and maintenance
A.12.1 Security requirements of information systems
A.12.1.1 Security requirements analysis and specification SA-1, SA-3, SA-4
A.12.2 Correct processing in applications
A.12.2.1 Input data validation SI-10
A.12.2.2 Control of internal processing SI-7, SI-9, SI-10
A.12.2.3 Message integrity AU-10, SC-8, SI-7
A.12.2.4 Output data validation None
A.12.3 Cryptographic controls
A.12.3.1 Policy on the use of cryptographic controls Multiple controls address cryptography (e.g., IA-7, SC-8, SC-9, SC-12, SC-13)
A.12.3.2 Key management SC-12, SC-17
A.12.4 Security of system files
A.12.4.1 Control of operational software CM-1, CM-2, CM-3, CM-4, CM-5, CM-9, PL-4, SA-6, SA-7
A.12.4.2 Protection of system test data Multiple controls; protection of test data not addressed separately in SP 800-53 (e.g., AC-3, AC-4)
A.12.4.3 Access control to program source code AC-3, AC-6, CM-5, CM-9, MA-5, SA-10
A.12.5 Security in development and support processes
A.12.5.1 Change control procedures CM-1, CM-3, CM-9, SA-10
A.12.5.2 Technical review of applications after operating system changes CM-3, CM-4, CM-9, SI-2
A.12.5.3 Restrictions on changes to software packages CM-3, CM-4, CM-5, CM-9
A.12.5.4 Information leakage AC-4, PE-19
A.12.5.5 Outsourced software development SA-1, SA-4, SA-6, SA-7, SA-8, SA-9, SA-11, SA-12, SA-13
A.12.6 Technical Vulnerability Management
A.12.6.1 Control of technical vulnerabilities RA-3, RA-5, SI-2, SI-5
A.13 Information security incident management
A.13.1 Reporting information security events and weaknesses
A.13.1.1 Reporting information security events AU-6, IR-1, IR-6, SI-4, SI-5
A.13.1.2 Reporting security weaknesses PL-4, SI-2, SI-4, SI-5
A.13.2 Management of information security incidents and improvements
A.13.2.1 Responsibilities and procedures IR-1
A.13.2.2 Learning from information security incidents IR-4
A.13.2.3 Collection of evidence AU-9, IR-4
A.14 Business continuity management
A.14.1 Information security aspects of business continuity management
A.14.1.1 Including information security in the business continuity management process CP-1, CP-2, CP-4
A.14.1.2 Business continuity and risk assessment CP-2, PM-9, RA Family
A.14.1.3 Developing and implementing continuity plans including information security CP Family
A.14.1.4 Business continuity planning framework CP-2, CP-4
A.14.1.5 Testing, maintaining and reassessing business continuity plans CP-2, CP-4
A.15 Compliance
A.15.1 Compliance with legal requirements
A.15.1.1 Identification of applicable legislation XX-1 controls, IA-7
A.15.1.2 Intellectual property rights (IPR) SA-6
A.15.1.3 Protection of organizational records AU-9, AU-11, CP-9, MP-1, MP-4, SA-5, SI-12
A.15.1.4 Data protection and privacy of personal information PL-5; SI-12
A.15.1.5 Prevention of misuse of information processing facilities AC-8, AU-6, PL-4, PS-6, PS-8, SA-7
A.15.1.6 Regulation of cryptographic controls IA-7, SC-13
A.15.2 Compliance with security policies and standards, and technical compliance
A.15.2.1 Compliance with security policies and standards XX-1 controls, AC-2, CA-2, CA-7, IA-7, PE-8, SI-12
A.15.2.2 Technical compliance checking CA-2, CA-7, RA-5
A.15.3 Information systems audit considerations
A.15.3.1 Information systems audit controls AU-1, AU-2, PL-6
A.15.3.2 Protection of information systems audit tools AU-9


Footnotes

  1. ISO/IEC 27001 was published in October 2005 by the International Organization for Standardization (ISO) and the International Electrotechnical Commission (IEC).
  2. The use of the term XX-1 controls in mapping Table H-2 refers to the set of security controls represented by the first control in each family in NIST Special Publication 800-53, where XX is a placeholder for the two-letter family identifier. These security controls primarily focus on policies and procedures for each topic area addressed by the respective security control family.