NIST SP 800-53r2 Front Matter

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NIST Special Publication 800-53 Recommended Security Controls for Federal Information Systems
Revision 2
Ron Ross
Stu Katzke
Arnold Johnson
Marianne Swanson
Gary Stoneburner
George Rogers
I N F O R M A T I O N S E C U R I T Y
Computer Security Division
Information Technology Laboratory
National Institute of Standards and Technology
Gaithersburg, MD 20899-8930
December 2007
U.S. Department of Commerce
Carlos M. Gutierrez, Secretary
National Institute of Standards and Technology
James M. Turner, Acting Director


Reports on Computer Systems Technology

The Information Technology Laboratory (ITL) at the National Institute of Standards and Technology (NIST) promotes the U.S. economy and public welfare by providing technical leadership for the nation's measurement and standards infrastructure. ITL develops tests, test methods, reference data, proof of concept implementations, and technical analyses to advance the development and productive use of information technology. ITL's responsibilities include the development of management, administrative, technical, and physical standards and guidelines for the cost-effective security and privacy of other than national security-related information in federal information systems. The Special Publication 800-series reports on ITL's research, guidelines, and outreach efforts in information system security, and its collaborative activities with industry, government, and academic organizations.


Authority

This document has been developed by the National Institute of Standards and Technology (NIST) to further its statutory responsibilities under the Federal Information Security Management Act (FISMA) of 2002, P.L. 107-347. NIST is responsible for developing standards and guidelines, including minimum requirements, for providing adequate information security for all agency operations and assets, but such standards and guidelines shall not apply to national security systems. This guideline is consistent with the requirements of the Office of Management and Budget (OMB) Circular A-130, Section 8b(3), Securing Agency Information Systems, as analyzed in A-130, Appendix IV: Analysis of Key Sections. Supplemental information is provided in A-130, Appendix III.

This guideline has been prepared for use by federal agencies. It may also be used by nongovernmental organizations on a voluntary basis and is not subject to copyright. (Attribution would be appreciated by NIST.) Nothing in this document should be taken to contradict standards and guidelines made mandatory and binding on federal agencies by the Secretary of Commerce under statutory authority. Nor should these guidelines be interpreted as altering or superseding the existing authorities of the Secretary of Commerce, Director of the OMB, or any other federal official.

NIST Special Publication 800-53, Revision 2, 188 pages
(December 2007)


Certain commercial entities, equipment, or materials may be identified in this document in order to describe an experimental procedure or concept adequately. Such identification is not intended to imply recommendation or endorsement by the National Institute of Standards and Technology, nor is it intended to imply that the entities, materials, or equipment are necessarily the best available for the purpose.
There are references in this publication to documents currently under development by NIST in accordance with responsibilities assigned to NIST under the Federal Information Security Management Act of 2002. The methodologies in this document may be used even before the completion of such companion documents. Thus, until such time as each document is completed, current requirements, guidelines, and procedures (where they exist) remain operative. For planning and transition purposes, agencies may wish to closely follow the development of these new documents by NIST. Individuals are also encouraged to review the public draft documents and offer their comments to NIST. All NIST documents mentioned in this publication, other than the ones noted above, are available at http://csrc.nist.gov/publications.


Comments may be submitted to the Computer Security Division, Information Technology
Laboratory, NIST via electronic mail at sec-cert@nist.gov or via regular mail at
100 Bureau Drive (Mail Stop 8930) Gaithersburg, MD 20899-8930


Compliance with NIST Standards and Guidelines

NIST develops and issues standards, guidelines, and other publications to assist federal agencies in implementing the Federal Information Security Management Act (FISMA) of 2002 and in managing cost-effective programs to protect their information and information systems.

  • Federal Information Processing Standards (FIPS) are developed by NIST in accordance with FISMA. FIPS are approved by the Secretary of Commerce and are compulsory and binding for federal agencies. Since FISMA requires that federal agencies comply with these standards, agencies may not waive their use.
  • Guidance documents and recommendations are issued in the NIST Special Publication (SP) 800-series. Office of Management and Budget (OMB) policies (including OMB FISMA Reporting Instructions for the Federal Information Security Management Act and Agency Privacy Management) state that for other than national security programs and systems, agencies must follow NIST guidance.1
  • Other security-related publications, including interagency and internal reports (NISTIRs), and ITL Bulletins, provide technical and other information about NIST's activities. These publications are mandatory only when so specified by OMB.
Schedule for Compliance with NIST Standards and Guidelines
  • For legacy information systems, agencies are expected to be in compliance with NIST security standards and guidelines within one year of the publication date unless otherwise directed by OMB or NIST.2
  • For information systems under development, agencies are expected to be in compliance with NIST security standards and guidelines immediately upon deployment of the system.


Acknowledgments

The authors, Ron Ross, Stu Katzke, Arnold Johnson, Marianne Swanson, Gary Stoneburner, and George Rogers, wish to thank their colleagues who reviewed drafts of this document and contributed to its development. A special note of thanks goes to Peggy Himes and Elizabeth Lennon for their superb technical editing and administrative support, to Murugiah Souppaya and the NIST information security operations group for their review of the security controls and insightful recommendations, and to Annabelle Lee for her contribution to earlier versions of the document. The authors also gratefully acknowledge and appreciate the many contributions from individuals in the public and private sectors whose thoughtful and constructive comments improved the quality and usefulness of this publication.

A special acknowledgment is also given to the participants in the Industrial Control System (ICS) Security Project who have put forth significant effort in helping to augment the security controls in NIST Special Publication 800-53 for industrial controls systems. These participants include: Keith Stouffer (NIST), Stu Katzke (NIST), and Marshall Abrams (Mitre Corporation) from the ICS Security Project Development Team; federal agencies participating in the ICS workshops; and individuals and organizations from the public and private sector ICS community providing thoughtful and insightful comments on the proposed augmentations.

FEDERAL INFORMATION SECURITY ACT

IMPLEMENTING SECURITY STANDARDS AND GUIDELINES
FIPS 200, Minimum Security Requirements for Federal Information and Information Systems, is a mandatory, non-waiverable standard developed in response to the Federal Information Security Management Act of 2002. To comply with the federal standard, agencies must first determine the security category of their information system in accordance with the provisions of FIPS 199, Standards for Security Categorization of Federal Information and Information Systems, and then apply the appropriate set of baseline security controls in NIST Special Publication 800-53 (as amended), Recommended Security Controls for Federal Information Systems. Agencies have flexibility in applying the baseline security controls in accordance with the tailoring guidance provided in Special Publication 800-53. This allows agencies to adjust the security controls to more closely fit their mission requirements and operational environments.
The combination of FIPS 200 and NIST Special Publication 800-53 requires a foundational level of security for all federal information and information systems. The agency's risk assessment validates the security control set and determines if any additional controls are needed to protect agency operations (including mission, functions, image, or reputation), agency assets, individuals, other organizations, or the Nation. The resulting set of security controls establishes a level of "security due diligence" for the federal agency and its contractors.
In addition to the security requirements established by FISMA, there may also be specific security requirements in different business areas within agencies that are governed by other laws, Executive Orders, directives, policies, regulations, or associated governing documents, (e.g., the Health Insurance Portability and Accountability Act of 1996, the Federal Financial Management Improvement Act of 1996, or OMB Circular A-127 on Financial Management Systems). These requirements may not be equivalent to the security requirements and implementing security controls required by FISMA or may enhance or further refine the security requirements and security controls. It is important that agency officials (including authorizing officials, chief information officers, senior agency information security officers, information system owners, information system security officers, and acquisition authorities) take steps to ensure that: (i) all appropriate security requirements are addressed in agency acquisitions of information systems and information system services; and (ii) all required security controls are implemented in agency information systems. See http://csrc.nist.gov/sec-cert/ca-compliance.html for additional information on FISMA compliance.




DEVELOPING COMMON INFORMATION SECURITY FOUNDATIONS

COLLABORATION AMONG PUBLIC AND PRIVATE SECTOR ENTITIES
In developing standards and guidelines required by the Federal Information Security Management Act (FISMA), NIST consults with other federal agencies and offices as well as the private sector to improve information security, avoid unnecessary and costly duplication of effort, and ensure that NIST standards and guidelines are complementary with standards and guidelines employed for the protection of national security systems. In addition to its comprehensive public review and vetting process, NIST is working with the Office of the Director of National Intelligence (ODNI), the Department of Defense (DOD), and the Committee on National Security Systems (CNSS) to establish a common foundation for information security across the federal government. The common foundation for information security will provide the Intelligence, Defense, and Civil sectors of the federal government and their support contractors, more uniform and consistent ways to manage the risk to organizational operations, organizational assets, individuals, other organizations, and the Nation from the operation and use of information systems. NIST is also working with public and private sector entities to establish specific mappings and relationships between the security standards and guidelines developed by NIST in the FISMA Implementation Project and the International Organization for Standardization and International Electrotechnical Commission (ISO/IEC) 27000-series standards.