Appendix F Security Control Catalog

Security Controls, Supplemental Guidance, and Control Enhancements

The following catalog of security controls provides a range of safeguards and countermeasures for information systems. The security controls are organized into families for ease of use in the control selection and specification process. Each family contains security controls related to the security function of the family. A standardized, two-character identifier is assigned to uniquely identify each control family. To uniquely identify each control, a numeric identifier is appended to the family identifier to indicate the number of the control within the control family.

The security control structure consists of three key components:

  1. A control section
  2. A supplemental guidance section
  3. A control enhancements section

The control section provides a concise statement of the specific security capability needed to protect a particular aspect of an information system. The control statement describes specific security-related activities or actions to be carried out by the organization or by the information system. For some controls in the control catalog, a degree of flexibility is provided by allowing organizations to selectively define input values for certain parameters associated with the controls. This flexibility is achieved through the use of assignment and selection operations within the main body of the control.

The supplemental guidance section provides additional information related to a specific security control. Organizations should consider supplemental guidance when defining, developing, and implementing security controls. Applicable federal legislation, executive orders, directives, policies, regulations, standards, and guidance documents (e.g., OMB Circulars, FIPS, and NIST Special Publications) are listed in the supplemental guidance section, when appropriate, for the particular security control. The control enhancements section provides statements of security capability to (1) build in additional, but related, functionality to a basic control and/or (2) increase the strength of a basic control. In both cases, the control enhancements are used in an information system requiring greater protection because of greater potential impact of loss or when organizations seek additions to a basic control’s functionality based on the results of a risk assessment. Control enhancements are numbered sequentially within each control so that the enhancements can be easily identified when selected to supplement the basic control.

With regard to cryptography employed in federal information systems, organizations must comply with current federal policy and meet the requirements of FIPS 140-2, Security Requirements for Cryptographic Modules. The FIPS 140-2 standard also acknowledges the use of cryptography approved by the National Security Agency as an appropriate alternative for organizations. Consult FIPS 140-2 for specific guidance.

Family Access Control Class Technical

AC-1 ACCESS CONTROL POLICY AND PROCEDURES

Control

The organization develops, disseminates, and periodically reviews/updates: (i) a formal, documented, access control policy that addresses purpose, scope, roles, responsibilities, and compliance; and (ii) formal, documented procedures to facilitate the implementation of the access control policy and associated access controls.

Supplemental Guidance

The access control policy and procedures are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance. 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. NIST Special Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements

None.

LOW

AC-1

MOD

AC-1

HIGH

AC-1

AC-2 ACCOUNT MANAGEMENT

Control

The organization manages information system accounts, including establishing, activating, modifying, reviewing, disabling, and removing accounts. The organization reviews information system accounts [Assignment: organization-defined frequency].

Supplemental Guidance

Account management includes the identification of account types (i.e., individual, group, and system), establishment of conditions for group membership, and assignment of associated authorizations. The organization identifies authorized users of the information system and specifies access rights/privileges. The organization grants access to the information system based on: (i) a valid need-to-know that is determined by assigned official duties and satisfying all personnel security criteria; and (ii) intended system usage. The organization requires proper identification for requests to establish information system accounts and approves all such requests. The organization specifically authorizes and monitors the use of guest/anonymous accounts and removes, disables, or otherwise secures unnecessary accounts. The organization ensures that account managers are notified when information system users are terminated or transferred and associated accounts are removed, disabled, or otherwise secured. Account managers are also notified when users’ information system usage or need-to-know changes.

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 organization employs automated mechanisms to ensure that account creation, modification, disabling, and termination actions are audited and, as required, appropriate individuals are notified.

LOW

AC-2

MOD

AC-2 (1) (2) (3)

HIGH

AC-2 (1) (2) (3) (4)

AC-3 ACCESS ENFORCEMENT

Control

The information system enforces assigned authorizations for controlling access to the system in accordance with applicable policy.

Supplemental Guidance

Access control policies (e.g., identity-based policies, role-based policies, ruled-based policies) and associated 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 controlling 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. If encryption of stored information is employed as an access enforcement mechanism, the cryptography used is FIPS 140-2 compliant.

Control Enhancements

(1) The information system ensures that access to security functions (deployed in hardware, software, and firmware) and information is restricted to authorized personnel (e.g., security administrators).

LOW

AC-3

MOD

AC-3 (1)

HIGH

AC-3 (1)

AC-4 INFORMATION FLOW ENFORCEMENT

Control

The information system enforces assigned authorizations for controlling the flow of information within the system and between interconnected systems in accordance with applicable policy.

Supplemental Guidance

Information flow control policies and enforcement mechanisms are employed by organizations to control the flow of information between designated sources and destinations (e.g., individuals, devices) within information systems and between interconnected systems based on the characteristics of the information. Simple examples of flow control enforcement can be found in firewall and router devices that employ rule sets or establish configuration settings that restrict information system services or provide a packet filtering capability. Flow control enforcement can also be found in information systems that use explicit labels on information, source, and destination objects as the basis for flow control decisions (e.g., to control the release of certain types of information).

Control Enhancements

None.

LOW

Not Selected

MOD

AC-4

HIGH

AC-4

AC-5 SEPARATION OF DUTIES

Control

The information system enforces separation of duties through assigned access authorizations.

Supplemental Guidance

The organization establishes appropriate divisions of responsibility and separates duties as needed to eliminate conflicts of interest in the responsibilities and duties of individuals. There is access control software on the information system that prevents users from having all of the necessary authority or information access to perform fraudulent activity without collusion. 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, quality assurance/testing, configuration management, and network security); and (iii) security personnel who administer access control functions do not administer audit functions.

Control Enhancements

None.

LOW

Not Selected

MOD

AC-5

HIGH

AC-5

AC-6 LEAST PRIVILEGE

Control

The information system enforces the most restrictive set of rights/privileges or accesses needed by users (or processes acting on behalf of users) for the performance of specified tasks.

Supplemental Guidance

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, organizational assets, and individuals.

Control Enhancements

None.

LOW

Not Selected

MOD

AC-6

HIGH

AC-6

AC-7 UNSUCCESSFUL LOGIN ATTEMPTS

Control

The information system enforces a limit of [Assignment: organization-defined number] consecutive invalid access attempts by a user during a [Assignment: organization-defined time period] time period. The information system automatically [Selection: locks the account/node for an [Assignment: organization-defined time period], delays next login prompt according to [Assignment: organization-defined delay algorithm.]] when the maximum number of unsuccessful attempts is exceeded.

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.

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.

LOW

AC-7

MOD

AC-7

HIGH

AC-7

AC-8 SYSTEM USE NOTIFICATION

Control

The information system displays an approved, system use notification message before granting system access informing potential users: (i) that the user is accessing a U.S. Government information system; (ii) that system usage may be monitored, recorded, and subject to audit; (iii) that unauthorized use of the system is prohibited and subject to criminal and civil penalties; and (iv) that use of the system indicates consent to monitoring and recording. The system use notification message provides appropriate privacy and security notices (based on associated privacy and security policies or summaries) and remains on the screen until the user takes explicit actions to log on to the information system.

Supplemental Guidance

Privacy and security policies are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance. For publicly accessible systems: (i) the system use information is available as opposed to displaying the information before granting access; (ii) there are no references to monitoring, recording, or auditing since privacy accommodations for such systems generally prohibit those activities; and (iii) the notice given to public users of the information system includes a description of the authorized uses of the system.

Control Enhancements

None.

LOW

AC-8

MOD

AC-8

HIGH

AC-8

AC-9 PREVIOUS LOGON NOTIFICATION

Control

The information system notifies the user, upon successful logon, of the date and time of the last logon, and the number of unsuccessful logon attempts since the last successful logon.

Supplemental Guidance

None.

Control Enhancements

None.

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 any user to [Assignment: organization-defined number of sessions].

Supplemental Guidance

None.

Control Enhancements

None.

LOW

Not Selected

MOD

Not Selected

HIGH

AC-10

AC-11 SESSION LOCK

Control

The information system prevents further access to the system by initiating a session lock that remains in effect until the user reestablishes access using appropriate identification and authentication procedures.

Supplemental Guidance

Users can directly initiate session lock mechanisms. The information system also activates session lock mechanisms automatically after a specified period of inactivity defined by the organization. A session lock is not a substitute for logging out of the information system.

Control Enhancements

None.

LOW

Not Selected

MOD

AC-11

HIGH

AC-11

AC-12 SESSION TERMINATION

Control

The information system automatically terminates a session after [Assignment: organization-defined time period] of inactivity.

Supplemental Guidance

None.

Control Enhancements

None.

LOW

Not Selected

MOD

AC-12

HIGH

AC-12

AC-13 SUPERVISION AND REVIEW - ACCESS CONTROL

Control

The organization supervises and reviews the activities of users with respect to the enforcement and usage of information system access controls.

Supplemental Guidance

The organization reviews audit records (e.g., user activity logs) for inappropriate activities in accordance with organizational procedures. The organization investigates any unusual information system-related activities and periodically reviews changes to access authorizations. The organization reviews more frequently, the activities of users with significant information system roles and responsibilities.

Control Enhancements

(1) The organization employs automated mechanisms to facilitate the review of user activities.

LOW

AC-13

MOD

AC-13

HIGH

AC-13 (1)

AC-14 PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION

Control

The organization identifies specific user actions that can be performed on the information system without identification or authentication.

Supplemental Guidance

The organization allows limited user activity without identification and authentication for public websites or other publicly available information systems.

Control Enhancements

(1) The organization permits actions to be performed without identification and authentication only to the extent necessary to accomplish mission objectives.

LOW

AC-14

MOD

AC-14 (1)

HIGH

AC-14 (1)

AC-15 AUTOMATED MARKING

Control

The information system marks output using standard naming conventions to identify any special dissemination, handling, or distribution instructions.

Supplemental Guidance

None.

Control Enhancements

None.

LOW

Not Selected

MOD

Not Selected

HIGH

AC-15

AC-16 AUTOMATED LABELING

Control

The information system appropriately labels information in storage, in process, and in transmission.

Supplemental Guidance

Information labeling is accomplished in accordance with special dissemination, handling, or distribution instructions, or as otherwise required to enforce information system security policy.

Control Enhancements

None

LOW

Not Selected

MOD

Not Selected

HIGH

Not Selected

AC-17 REMOTE ACCESS

Control

The organization documents, monitors, and controls all methods of remote access (e.g., dial-up, Internet) to the information system including remote access for privileged functions. Appropriate organization officials authorize each remote access method for the information system and authorize only the necessary users for each access method.

Supplemental Guidance

Remote access controls are applicable to information systems other than public web servers or systems specifically designed for public access. The organization restricts access achieved through dial-up connections (e.g., limiting dial-up access based upon source of request) or protects against unauthorized connections or subversion of authorized connections (e.g., using virtual private network technology). The organization permits remote access for privileged functions only for compelling operational needs. NIST Special Publication 800-63 provides guidance on remote electronic authentication.

Control Enhancements

(1) The organization employs automated mechanisms to facilitate the monitoring and control of remote access methods.

(2) The organization uses encryption to protect the confidentiality of remote access sessions.

(3) The organization controls all remote accesses through a managed access control point.

LOW

AC-17

MOD

AC-17 (1) (2) (3)

HIGH

AC-17 (1) (2) (3)

AC-18 WIRELESS ACCESS RESTRICTIONS

Control

The organization: (i) establishes usage restrictions and implementation guidance for wireless technologies; and (ii) documents, monitors, and controls wireless access to the information system. Appropriate organizational officials authorize the use of wireless technologies.

Supplemental Guidance

NIST Special Publication 800-48 provides guidance on wireless network security with particular emphasis on the IEEE 802.11b and Bluetooth standards.

Control Enhancements

(1) The organization uses authentication and encryption to protect wireless access to the information system.

LOW

Not Selected

MOD

AC-18 (1)

HIGH

AC-18 (1)

AC-19 ACCESS CONTROL FOR PORTABLE AND MOBILE DEVICES

Control

The organization: (i) establishes usage restrictions and implementation guidance for portable and mobile devices; and (ii) documents, monitors, and controls device access to organizational networks. Appropriate organizational officials authorize the use of portable and mobile devices.

Supplemental Guidance

Portable and mobile devices (e.g., notebook computers, workstations, personal digital assistants) are not allowed access to organizational networks without first meeting organizational security policies and procedures. Security policies and procedures might include such activities as scanning the 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).

Control Enhancements

(1) The organization employs removable hard drives or cryptography to protect information residing on portable and mobile devices.

LOW

Not Selected

MOD

AC-19

HIGH

AC-19 (1)

AC-20 PERSONALLY OWNED INFORMATION SYSTEMS

Control

The organization restricts the use of personally owned information systems for official U.S. Government business involving the processing, storage, or transmission of federal information.

Supplemental Guidance

The organization establishes strict terms and conditions for the use of personally owned information systems. The terms and conditions should address, at a minimum: (i) the types of applications that can be accessed from personally owned information systems; (ii) the maximum FIPS 199 security category of information that can processed, stored, and transmitted; (iii) how other users of the personally owned information system will be prevented from accessing federal information; (iv) the use of virtual private networking (VPN) and firewall technologies; (v) the use of and protection against the vulnerabilities of wireless technologies; (vi) the maintenance of adequate physical security controls; (vii) the use of virus and spyware protection software; and (viii) how often the security capabilities of installed software are to be updated (e.g., operating system and other software security patches, virus definitions, firewall version updates, spyware definitions).

Control Enhancements

None.

LOW

AC-20

MOD

AC-20

HIGH

AC-20

Family Awareness and Training Class Operational

AT-1 SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES

Control

The organization develops, disseminates, and periodically reviews/updates: (i) a formal, documented, security awareness and training policy that addresses purpose, scope, roles, responsibilities, and compliance; and (ii) formal, documented procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls.

Supplemental Guidance

The security awareness and training policy and procedures are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance. 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. NIST Special Publications 800-16 and 800-50 provide guidance on security awareness and training. NIST Special Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements

None.

LOW

AT-1

MOD

AT-1

HIGH

AT-1

AT-2 SECURITY AWARENESS

Control

The organization ensures all users (including managers and senior executives) are exposed to basic information system security awareness materials before authorizing access to the system and [Assignment: organization-defined frequency, at least annually] thereafter.

Supplemental Guidance

The organization determines the appropriate content of security awareness training based on the specific requirements of the organization and the information systems to which personnel have authorized access. The organization’s security awareness program is consistent with the requirements contained in 5 C.F.R. Part 930.301 and with the guidance in NIST Special Publication 800-50.

Control Enhancements

None.

LOW

AT-2

MOD

AT-2

HIGH

AT-2

AT-3 SECURITY TRAINING

Control

The organization identifies personnel with significant information system security roles and responsibilities, documents those roles and responsibilities, and provides appropriate information system security training before authorizing access to the system and [Assignment: organization-defined frequency] thereafter.

Supplemental Guidance

The organization determines the appropriate content of security training based on the specific requirements of the organization and the information systems to which personnel have authorized access. In addition, the organization ensures system managers, system administrators, and other personnel having access to system-level software have adequate technical training to perform their assigned duties. The organization’s security training program is consistent with the requirements contained in 5 C.F.R. Part 930.301 and with the guidance in NIST Special Publication 800-50.

Control Enhancements

None.

LOW

AT-3

MOD

AT-3

HIGH

AT-3

AT-4 SECURITY TRAINING RECORDS

Control

The organization documents and monitors individual information system security training activities including basic security awareness training and specific information system security training.

Supplemental Guidance

None.

Control Enhancements

None.

LOW

AT-4

MOD

AT-4

HIGH

AT-4

Family Audit and Accountability Class Technical

AU-1 AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES

Control

The organization develops, disseminates, and periodically reviews/updates: (i) a formal, documented, audit and accountability policy that addresses purpose, scope, roles, responsibilities, and compliance; and (ii) formal, documented procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls.

Supplemental Guidance

The audit and accountability policy and procedures are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance. 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. NIST Special Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements

None.

LOW

AU-1

MOD

AU-1

HIGH

AU-1

AU-2 AUDITABLE EVENTS

Control

The information system generates audit records for the following events: [Assignment: organization-defined auditable events].

Supplemental Guidance

The organization specifies which information system components carry out auditing activities. Auditing activity can affect information system performance. Therefore, the organization decides, based upon a risk assessment, which events require auditing on a continuous basis and which events require auditing in response to specific situations. The checklists and configuration guides at http://csrc.nist.gov/pcig/cig.html provide recommended lists of auditable events. The organization defines auditable events that are adequate to support after-the-fact investigations of security incidents.

Control Enhancements

(1) The information system provides the capability to compile audit records from multiple components throughout the system into a systemwide (logical or physical), time-correlated audit trail.

(2) The information system provides the capability to manage the selection of events to be audited by individual components of the system.

LOW

AU-2

MOD

AU-2

HIGH

AU-2

AU-3 CONTENT OF AUDIT RECORDS

Control

The information system captures sufficient information in audit records to establish what events occurred, the sources of the events, and the outcomes of the events.

Supplemental Guidance

Audit record content includes, for most audit records: (i) date and time of the event; (ii) the component of the information system (e.g., software component, hardware component) where the event occurred; (iii) type of event; (iv) subject identity; and (v) the outcome (success or failure) of the event.

Control Enhancements

(1) The information system provides the capability to include additional, more detailed information in the audit records for audit events identified by type, location, or subject.

(2) The information system provides the capability to centrally manage the content of audit records generated by individual components throughout the system.

LOW

AU-3

MOD

AU-3 (1)

HIGH

AU-3 (1) (2)

AU-4 AUDIT STORAGE CAPACITY

Control

The organization allocates sufficient audit record storage capacity and configures auditing to prevent such capacity being exceeded.

Supplemental Guidance

None.

Control Enhancements

None.

LOW

AU-4

MOD

AU-4

HIGH

AU-4

AU-5 AUDIT PROCESSING

Control

In the event of an audit failure or audit storage capacity being reached, the information system alerts appropriate organizational officials and takes the following additional actions: [Assignment: organization-defined actions to be taken (e.g., shutdown information system, overwrite oldest audit records, stop generating audit records)].

Supplemental Guidance

None.

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].

LOW

AU-5

MOD

AU-5

HIGH

AU-5 (1)

AU-6 AUDIT MONITORING, ANALYSIS, AND REPORTING

Control

The organization regularly reviews/analyzes audit records for indications of inappropriate or unusual activity, investigates suspicious activity or suspected violations, reports findings to appropriate officials, and takes necessary actions.

Supplemental Guidance

None.

Control Enhancements

(1) The organization employs automated mechanisms to integrate audit monitoring, analysis, and reporting into an overall process for investigation and response to suspicious activities.

(2) The organization employs automated mechanisms to immediately alert security personnel of inappropriate or unusual activities with security implications.

LOW

Not Selected

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

Audit reduction, review, and reporting tools support after-the-fact investigations of security incidents without altering original audit records.

Control Enhancements

(1) The information system provides the capability to automatically process audit records for events of interest based upon selectable, event criteria.

LOW

Not Selected

MOD

AU-7

HIGH

AU-7 (1)

AU-8 TIME STAMPS

Control

The information system provides time stamps for use in audit record generation.

Supplemental Guidance

Time stamps of audit records are generated using internal system clocks that are synchronized system wide.

Control Enhancements

None.

LOW

Not Selected

MOD

AU-8

HIGH

AU-8

AU-9 PROTECTION OF AUDIT INFORMATION

Control

The information system protects audit information and audit tools from unauthorized access, modification, and deletion.

Supplemental Guidance

None.

Control Enhancements

(1) The information system produces audit information on hardware-enforced, write-once media.

LOW

AU-9

MOD

AU-9

HIGH

AU-9

AU-10 NON-REPUDIATION

Control

The information system provides the capability to determine whether a given individual took a particular action (e.g., created information, sent a message, approved information [e.g., to indicate concurrence or sign a contract] or received a message).

Supplemental Guidance

Non-repudiation protects against later false claims by an individual of not having taken a specific action. 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 having signed a document. Nonrepudiation 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-repu-diation services are obtained by employing various techniques or mechanisms (e.g., digital signatures, digital message receipts, time stamps).

Control Enhancements

None.

LOW

Not Selected

MOD

Not Selected

HIGH

Not Selected

AU-11 AUDIT RETENTION

Control

The organization retains audit logs for [Assignment: organization-defined time period] to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements.

Supplemental Guidance

NIST Special Publication 800-61 provides guidance on computer security incident handling and audit log retention.

Control Enhancements

None.

LOW

AU-11

MOD

AU-11

HIGH

AU-11

Family Certification, Accreditation, and Security Class Management Assessments

CA-1 CERTIFICATION, ACCREDITATION, AND SECURITY ASSESSMENT POLICIES AND PROCEDURES

Control

The organization develops, disseminates, and periodically reviews/updates: (i) formal, documented, security assessment and certification and accreditation policies that address purpose, scope, roles, responsibilities, and compliance; and (ii) formal, documented procedures to facilitate the implementation of the security assessment and certification and accreditation policies and associated assessment, certification, and accreditation controls.

Supplemental Guidance

The security assessment and certification and accreditation policies and procedures are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance. The security assessment and certification and accreditation policies can be included as part of the general information security policy for the organization. Security assessment and certification and accreditation procedures can be developed for the security program in general, and for a particular information system, when required. NIST Special Publication 800-53A provides guidance on security control assessments. NIST Special Publication 800-37 provides guidance on security certification and accreditation. NIST Special Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements

None.

LOW

CA-1

MOD

CA-1

HIGH

CA-1

CA-2 SECURITY ASSESSMENTS

Control

The organization conducts an assessment of the security controls in the information system [Assignment: organization-defined frequency, at least annually] 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.

Supplemental Guidance

This control is intended to support the FISMA requirement that the management, operational, and technical controls in each information system contained in the inventory of major information systems be tested with a frequency depending on risk, but no less than annually. NIST Special Publications 800-53A and 800-26 provide guidance on security control assessments.

Control Enhancements

None.

LOW

Not Selected

MOD

CA-2

HIGH

CA-2

CA-3 INFORMATION SYSTEM CONNECTIONS

Control

The organization authorizes all connections from the information system to other information systems outside of the accreditation boundary and monitors/controls the system interconnections on an ongoing basis. Appropriate organizational officials approve information system interconnection agreements.

Supplemental Guidance

Since FIPS 199 security categorizations apply to individual information systems, the organization should carefully consider the risks that may be introduced when systems are connected to other information systems with different security requirements and security controls, both within the organization and external to the organization. Risk considerations should also include information systems sharing the same networks. NIST Special Publication 800-47 provides guidance on interconnecting information systems.

Control Enhancements

None.

LOW

CA-3

MOD

CA-3

HIGH

CA-3

CA-4 SECURITY CERTIFICATION

Control

The organization conducts an assessment of the security controls in the information system 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.

Supplemental Guidance

A security certification is conducted by the organization in support of the OMB Circular A-130, Appendix III requirement for accrediting the information system. The security certification is integrated into and spans the System Development Life Cycle (SDLC). NIST Special Publication 800-53A provides guidance on the assessment of security controls. NIST Special Publication 800-37 provides guidance on security certification and accreditation.

Control Enhancements

None.

LOW

CA-4

MOD

CA-4

HIGH

CA-4

CA-5 PLAN OF ACTION AND MILESTONES

Control

The organization develops and updates [Assignment: organization-defined frequency], a plan of action and milestones for the information system that documents the organization’s planned, implemented, and evaluated remedial actions to correct any deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system.

Supplemental Guidance

The plan of action and milestones updates are based on the findings from security control assessments, security impact analyses, and continuous monitoring activities. The plan of action and milestones is a key document in the security accreditation package developed for the authorizing official. NIST Special Publication 800-37 provides guidance on the security certification and accreditation of information systems. NIST Special Publication 800-30 provides guidance on risk mitigation.

Control Enhancements

None.

LOW

CA-5

MOD

CA-5

HIGH

CA-5

CA-6 SECURITY ACCREDITATION

Control

The organization authorizes (i.e., accredits) the information system for processing before operations and updates the authorization [Assignment: organization-defined frequency]. A senior organizational official signs and approves the security accreditation.

Supplemental Guidance

OMB Circular A-130, Appendix III, establishes policy for security accredita-tions of federal information systems. The organization assesses the security controls employed within the information system before and in support of the security accreditation.

Security assessments conducted in support of security accreditations are called security certifications. NIST Special Publication 800-37 provides guidance on the security certification and accreditation of information systems.

Control Enhancements

None.

LOW

CA-6

MOD

CA-6

HIGH

CA-6

CA-7 CONTINUOUS MONITORING

Control

The organization monitors the security controls in the information system on an ongoing basis.

Supplemental Guidance

Continuous monitoring activities include configuration management and control of information system components, security impact analyses of changes to the system, ongoing assessment of security controls, and status reporting. The organization establishes the selection criteria for control monitoring and subsequently selects a subset of the security controls employed within the information system for purposes of continuous monitoring. NIST Special Publication 800-37 provides guidance on the continuous monitoring process. NIST Special Publication 800-53A provides guidance on the assessment of security controls.

Control Enhancements

None.

LOW

CA-7

MOD

CA-7

HIGH

CA-7

Family Configuration Management Class Operational

CM-1 CONFIGURATION MANAGEMENT POLICY AND PROCEDURES

Control

The organization develops, disseminates, and periodically reviews/updates: (i) a formal, documented, configuration management policy that addresses purpose, scope, roles, responsibilities, and compliance; and (ii) formal, documented procedures to facilitate the implementation of the configuration management policy and associated configuration management controls.

Supplemental Guidance

The configuration management policy and procedures are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance. 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. NIST Special Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements

None.

LOW

CM-1

MOD

CM-1

HIGH

CM-1

CM-2 BASELINE CONFIGURATION

Control

The organization develops, documents, and maintains a current, baseline configuration of the information system and an inventory of the system’s constituent components.

Supplemental Guidance

The configuration of the information system is consistent with the Federal Enterprise Architecture and the organization’s information system architecture. The inventory of information system components includes manufacturer, type, serial number, version number, and location (i.e., physical location and logical position within the information system architecture).

Control Enhancements

(1) The organization updates the baseline configuration as an integral part of information system component installations.

(2) The organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration.

LOW

CM-2

MOD

CM-2 (1)

HIGH

CM-2 (1) (2)

CM-3 CONFIGURATION CHANGE CONTROL

Control

The organization documents and controls changes to the information system. Appropriate organizational officials approve information system changes in accordance with organizational policies and procedures.

Supplemental Guidance

Configuration change control involves the systematic proposal, justification, test/evaluation, review, and disposition of proposed changes. The organization includes emergency changes in the configuration change control process.

Control Enhancements

(1) The organization employs automated mechanisms to: (i) document proposed changes to the information system; (ii) notify appropriate approval authorities; (iii) highlight approvals that have not been received in a timely manner; (iv) inhibit change until necessary approvals are received; and (v) document completed changes to the information system.

LOW

Not Selected

MOD

CM-3

HIGH

CM-3 (1)

CM-4 MONITORING CONFIGURATION CHANGES

Control

The organization monitors changes to the information system and conducts security impact analyses to determine the effects of the changes.

Supplemental Guidance

The organization documents the installation of information system components. After the information system is changed, the organizations checks the security features to ensure the features are still functioning properly. The organization audits activities associated with configuration changes to the information system.

Control Enhancements

None.

LOW

Not Selected

MOD

CM-4

HIGH

CM-4

CM-5 ACCESS RESTRICTIONS FOR CHANGE

Control

The organization enforces access restrictions associated with changes to the information system.

Supplemental Guidance

None.

Control Enhancements

(1) The organization employs automated mechanisms to enforce access restrictions and support auditing of the enforcement actions.

LOW

Not Selected

MOD

CM-5

HIGH

CM-5 (1)

CM-6 CONFIGURATION SETTINGS

Control

The organization configures the security settings of information technology products to the most restrictive mode consistent with information system operational requirements.

Supplemental Guidance

NIST Special Publication 800-70 provides guidance on configuration settings (i.e., checklists) for information technology products.

Control Enhancements

(1) The organization employs automated mechanisms to centrally manage, apply, and verify configuration settings.

LOW

CM-6

MOD

CM-6

HIGH

CM-6 (1)

CM-7 LEAST FUNCTIONALITY

Control

The organization configures the information system to provide only essential capabilities and specifically prohibits and/or restricts the use of the following functions, ports, protocols, and/or services: [Assignment: organization-defined list of prohibited and/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). The functions and services provided by information systems should be carefully reviewed to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, File Transfer Protocol, Hyper Text Transfer Protocol, file sharing).

Control Enhancements

(1) The organization reviews the information system [Assignment: organization-defined frequency], to identify and eliminate unnecessary functions, ports, protocols, and/or services.

LOW

Not Selected

MOD

CM-7

HIGH

CM-7 (1)

Family Contingency Planning Class Operational

CP-1 CONTINGENCY PLANNING POLICY AND PROCEDURES

Control

The organization develops, disseminates, and periodically reviews/updates: (i) a formal, documented, contingency planning policy that addresses purpose, scope, roles, responsibilities, and compliance; and (ii) formal, documented procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls.

Supplemental Guidance

The contingency planning policy and procedures are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance. 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. NIST Special Publication 800-34 provides guidance on contingency planning. NIST Special Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements

None.

LOW

CP-1

MOD

CP-1

HIGH

CP-1

CP-2 CONTINGENCY PLAN

Control

The organization develops and implements a contingency plan for the information system addressing contingency roles, responsibilities, assigned individuals with contact information, and activities associated with restoring the system after a disruption or failure. Designated officials within the organization review and approve the contingency plan and distribute copies of the plan to key contingency personnel.

Supplemental Guidance

None.

Control Enhancements

(1) The organization coordinates contingency plan development with organizational elements responsible for related plans (e.g., Business Continuity Plan, Disaster Recovery Plan, Continuity of Operations Plan, Business Recovery Plan, Incident Response Plan).

LOW

CP-2

MOD

CP-2 (1)

HIGH

CP-2 (1)

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, at least annually].

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.

LOW

Not Selected

MOD

CP-3

HIGH

CP-3 (1)

CP-4 CONTINGENCY PLAN TESTING

Control

The organization tests the contingency plan for the information system [Assignment: organization-defined frequency, at least annually] using [Assignment: organization-defined tests and exercises] to determine the plan’s effectiveness and the organization’s readiness to execute the plan. Appropriate officials within the organization review the contingency plan test results and initiate corrective actions.

Supplemental Guidance

There are several methods for testing contingency plans to identify potential weaknesses (e.g., full-scale contingency plan testing, functional/tabletop exercises).

Control Enhancements

(1) The organization coordinates contingency plan testing with organizational elements responsible for related plans (e.g., Business Continuity Plan, Disaster Recovery Plan, Continuity of Operations Plan, Business Recovery Plan, Incident Response Plan).

(2) The organization tests 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 the contingency plan.

LOW

Not Selected

MOD

CP-4 (1)

HIGH

CP-4 (1) (2)

CP-5 CONTINGENCY PLAN UPDATE

Control

The organization reviews the contingency plan for the information system [Assignment: organization-defined frequency, at least annually] and revises the plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing.

Supplemental Guidance

Organizational changes include changes in mission, functions, or business processes supported by the information system. The organization communicates changes to appropriate organizational elements responsible for related plans (e.g., Business Continuity Plan, Disaster Recovery Plan, Continuity of Operations Plan, Business Recovery Plan, Incident Response Plan).

Control Enhancements

None.

LOW

CP-5

MOD

CP-5

HIGH

CP-5

CP-6 ALTERNATE STORAGE SITES

Control

The organization identifies an alternate storage site and initiates necessary agreements to permit the storage of information system backup information.

Supplemental Guidance

None.

Control Enhancements

(1) The alternate storage site is geographically separated from the primary storage site so as not to be susceptible to the same hazards.

(2) The alternate storage site is configured to facilitate timely and effective recovery operations.

(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.

LOW

Not Selected

MOD

CP-6 (1)

HIGH

CP-6 (1) (2) (3)

CP-7 ALTERNATE PROCESSING SITES

Control

The organization identifies an alternate processing site and initiates necessary agreements to permit the resumption of information system operations for critical mission/business functions within [Assignment: organization-defined time period] when the primary processing capabilities are unavailable.

Supplemental Guidance

Equipment and supplies required to resume operations within the organization-defined time period are either available at the alternate site or contracts are in place to support delivery to the site.

Control Enhancements

(1) The alternate processing site is geographically separated from the primary processing site so as not to be susceptible to the same hazards.

(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) Alternate processing site agreements contain priority-of-service provisions in accordance with the organization’s availability requirements.

(4) The alternate processing site is fully configured to support a minimum required operational capability and ready to use as the operational site.

LOW

Not Selected

MOD

CP-7 (1) (2) (3)

HIGH

CP-7 (1) (2) (3) (4)

CP-8 TELECOMMUNICATIONS SERVICES

Control

The organization identifies primary and alternate telecommunications services to support the information system and initiates necessary agreements to permit the resumption of system operations for critical mission/business functions within [Assignment: organization-defined time period] when the primary telecommunications capabilities are unavailable.

Supplemental Guidance

In the event that the primary and/or alternate telecommunications services are provided by a wireline carrier, the organization should ensure that it requests Telecommunications Service Priority (TSP) for all telecommunications services used for national security emergency preparedness (see http://tsp.ncs.gov for a full explanation of the TSP program).

Control Enhancements

(1) Primary and alternate telecommunications service agreements contain priority-of-service provisions in accordance with the organization’s availability requirements.

(2) Alternate telecommunications services do not share a single point of failure with primary telecommunications services.

(3) Alternate telecommunications service providers are sufficiently separated from primary service providers so as not to be susceptible to the same hazards.

(4) Primary and alternate telecommunications service providers have adequate contingency plans.

LOW

Not Selected

MOD

CP-8 (1) (2)

HIGH

CP-8 (1) (2) (3) (4)

CP-9 INFORMATION SYSTEM BACKUP

Control

The organization conducts backups of user-level and system-level information (including system state information) contained in the information system [Assignment: organization-defined frequency] and stores backup information at an appropriately secured location.

Supplemental Guidance

The frequency of information system backups and the transfer rate of backup information to alternate storage sites (if so designated) are consistent with the organization’s recovery time objectives and recovery point objectives.

Control Enhancements

(1) The organization tests backup information [Assignment: organization-defined frequency] to ensure media reliability and information integrity.

(2) The organization selectively uses backup information in the restoration of 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 in a separate facility or in a fire-rated container that is not collocated with the operational software.

LOW

CP-9

MOD

CP-9 (1)

HIGH

CP-9 (1) (2) (3)

CP-10 INFORMATION SYSTEM RECOVERY AND RECONSTITUTION

Control

The organization employs mechanisms with supporting procedures to allow the information system to be recovered and reconstituted to the system’s original state after a disruption or failure.

Supplemental Guidance

Secure information system recovery and reconstitution to the system’s original state means that all system parameters (either default or organization-established) are reset, patches are reinstalled, configuration settings are reestablished, system documentation and operating procedures are available, application and system software is reinstalled, information from the most recent backups is available, and the system is fully tested.

Control Enhancements

(1) The organization includes a full recovery and reconstitution of the information system as part of contingency plan testing.

LOW

CP-10

MOD

CP-10

HIGH

CP-10 (1)

Family Identification and Authentication Class Technical

IA-1 IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES

Control

The organization develops, disseminates, and periodically reviews/updates: (i) a formal, documented, identification and authentication policy that addresses purpose, scope, roles, responsibilities, and compliance; and (ii) formal, documented procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls.

Supplemental Guidance

The identification and authentication policy and procedures are consistent with: (i) FIPS 201 and Special Publications 800-73 and 800-76; and (ii) other applicable federal laws, directives, policies, regulations, standards, and guidance. 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. NIST Special Publication 800-12 provides guidance on security policies and procedures. NIST Special Publication 800-63 provides guidance on remote electronic authentication.

Control Enhancements

None.

LOW

IA-1

MOD

IA-1

HIGH

IA-1

IA-2 USER IDENTIFICATION AND AUTHENTICATION

Control

The information system uniquely identifies and authenticates users (or processes acting on behalf of users).

Supplemental Guidance

Authentication of user identities is accomplished through the use of passwords, tokens, biometrics, or in the case of multifactor authentication, some combination therein. FIPS 201 and Special Publications 800-73 and 800-76 specify a personal identity verification (PIV) card token for use in the unique identification and authentication of federal employees and contractors. NIST Special Publication 800-63 provides guidance on remote electronic authentication. For other than remote situations, when users identify and authenticate to information systems within a specified security perimeter which is considered to offer sufficient protection, NIST Special Publication 800-63 guidance should be applied as follows: (i) for low impact information systems, tokens that meet Level 1, 2, 3, or 4 requirements are acceptable; (ii) for moderate-impact information systems, tokens that meet Level 2, 3, or 4 requirements are acceptable; and (iii) for high-impact information systems, tokens that meet Level 3 or 4 requirements are acceptable. In addition to identifying and authenticating users at the information system level, identification and authentication mechanisms are employed at the application level, when necessary, to provide increased information security for the organization.

Control Enhancements

(1) The information system employs multifactor authentication.

LOW

IA-2

MOD

IA-2

HIGH

IA-2 (1)

IA-3 DEVICE IDENTIFICATION AND AUTHENTICATION

Control

The information system identifies and authenticates specific devices before establishing a connection.

Supplemental Guidance

The information system typically uses either shared known information (e.g., Media Access Control (MAC) or Transmission Control Program/Internet Protocol (TCP/IP) addresses) or an organizational authentication solution (e.g., IEEE 802.1x and Extensible Authentication Protocol (EAP) or a Radius server with EAP-Transport Layer Security (TLS) authentication) to identify and authenticate devices on local and/or wide area networks.

Control Enhancements

None.

LOW

Not Selected

MOD

IA-3

HIGH

IA-3

IA-4 IDENTIFIER MANAGEMENT

Control

The organization manages user identifiers by: (i) uniquely identifying each user; (ii) verifying the identity of each user; (iii) receiving authorization to issue a user identifier from an appropriate organization official; (iv) ensuring that the user identifier is issued to the intended party; (v) disabling user identifier after [Assignment: organization-defined time period] of inactivity; and (vi) archiving user identifiers.

Supplemental Guidance

Identifier management is not applicable to shared information system accounts (e.g., guest and anonymous accounts). FIPS 201 and Special Publications 800-73 and 800-76 specify a personal identity verification (PIV) card token for use in the unique identification and authentication of federal employees and contractors.

Control Enhancements

None.

LOW

IA-4

MOD

IA-4

HIGH

IA-4

IA-5 AUTHENTICATOR MANAGEMENT

Control

The organization manages information system authenticators (e.g., tokens, PKI certificates, biometrics, passwords, key cards) by: (i) defining initial authenticator content; (ii) establishing administrative procedures for initial authenticator distribution, for lost/compromised, or damaged authenticators, and for revoking authenticators; and (iii) changing default authenticators upon information system installation.

Supplemental Guidance

Users take reasonable measures to safeguard authenticators including maintaining possession of their individual authenticators, not loaning or sharing authenticators with others, and reporting lost or compromised authenticators immediately. For password-based authentication, the information system: (i) protects passwords from unauthorized disclosure and modification when stored and transmitted; (ii) prohibits passwords from being displayed when entered; (iii) enforces password minimum and maximum lifetime restrictions; and (iv) prohibits password reuse for a specified number of generations. For PKI-based authentication, the information system: (i) validates certificates by constructing a certification path to an accepted trust anchor; (ii) establishes user control of the corresponding private key; and (iii) maps the authenticated identity to the user account. FIPS 201 and Special Publications 800-73 and 800-76 specify a personal identity verification (PIV) card token for use in the unique identification and authentication of federal employees and contractors. NIST Special Publication 800-63 provides guidance on remote electronic authentication.

Control Enhancements

None.

LOW

IA-5

MOD

IA-5

HIGH

IA-5

IA-6 AUTHENTICATOR FEEDBACK

Control

The information system provides feedback to a user during an attempted authentication and that feedback does not compromise the authentication mechanism.

Supplemental Guidance

The information system may obscure feedback of authentication information during the authentication process (e.g., displaying asterisks when a user types in a password).

Control Enhancements

None.

LOW

IA-6

MOD

IA-6

HIGH

IA-6

IA-7 CRYPTOGRAPHIC MODULE AUTHENTICATION

Control

For authentication to a cryptographic module, the information system employs authentication methods that meet the requirements of FIPS 140-2.

Supplemental Guidance

None.

Control Enhancements

None.

LOW

IA-7

MOD

IA-7

HIGH

IA-7

Family Incident Response Class Operational

IR-1 INCIDENT RESPONSE POLICY AND PROCEDURES

Control

The organization develops, disseminates, and periodically reviews/updates: (i) a formal, documented, incident response policy that addresses purpose, scope, roles, responsibilities, and compliance; and (ii) formal, documented procedures to facilitate the implementation of the incident response policy and associated incident response controls.

Supplemental Guidance

The incident response policy and procedures are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance. 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. NIST Special Publication 800-61 provides guidance on incident handling and reporting. NIST Special Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements

None.

LOW

IR-1

MOD

IR-1

HIGH

IR-1

IR-2 INCIDENT RESPONSE TRAINING

Control

The organization trains personnel in their incident response roles and responsibilities with respect to the information system and provides refresher training [Assignment: organization-defined frequency, at least annually].

Supplemental Guidance

None.

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.

LOW

Not Selected

MOD

IR-2

HIGH

IR-2 (1) (2)

IR-3 INCIDENT RESPONSE TESTING

Control

The organization tests the incident response capability for the information system [Assignment: organization-defined frequency, at least annually] using [Assignment: organization-defined tests and 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 the incident response capability.

LOW

Not Selected

MOD

IR-3

HIGH

IR-3 (1)

IR-4 INCIDENT HANDLING

Control

The organization implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery.

Supplemental Guidance

The organization incorporates the lessons learned from ongoing incident handling activities into the incident response procedures and implements the procedures accordingly.

Control Enhancements

(1) The organization employs automated mechanisms to support the incident handling process.

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 on an ongoing basis.

Supplemental Guidance

None.

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.

LOW

Not Selected

MOD

IR-5

HIGH

IR-5 (1)

IR-6 INCIDENT REPORTING

Control

The organization promptly reports incident information to appropriate authorities.

Supplemental Guidance

The types of incident information reported, the content and timeliness of the reports, and the list of designated reporting authorities or organizations are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance.

Control Enhancements

(1) The organization employs automated mechanisms to assist in the reporting of security incidents.

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 that offers advice and assistance to users of the information system for the handling and reporting of security incidents. The support resource is an integral part of the organization’s incident response capability.

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.

Control Enhancements

(1) The organization employs automated mechanisms to increase the availability of incident response–related information and support.

LOW

IR-7

MOD

IR-7 (1)

HIGH

IR-7 (1)

Family Maintenance Class Operational

MA-1 SYSTEM MAINTENANCE POLICY AND PROCEDURES

Control

The organization develops, disseminates, and periodically reviews/updates: (i) a formal, documented, information system maintenance policy that addresses purpose, scope, roles, responsibilities, and compliance; and (ii) formal, documented procedures to facilitate the implementation of the information system maintenance policy and associated system maintenance controls.

Supplemental Guidance

The information system maintenance policy and procedures are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance. 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. NIST Special Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements

None.

LOW

MA-1

MOD

MA-1

HIGH

MA-1

MA-2 PERIODIC MAINTENANCE

Control

The organization schedules, performs, and documents routine preventative and regular maintenance on the components of the information system in accordance with manufacturer or vendor specifications and/or organizational requirements.

Supplemental Guidance

Appropriate organizational officials approve the removal of the information system or information system components from the facility when repairs are necessary. If the information system or component of the system requires off-site repair, the organization removes all information from associated media using approved procedures. After maintenance is performed on the information system, the organization checks the security features to ensure that they are still functioning properly.

Control Enhancements

(1) The organization maintains a maintenance log for the information system that includes: (i) the date and time of maintenance; (ii) name of the individual performing the maintenance; (iii) name of escort, if necessary; (iv) a description of the maintenance performed; and (v) a list of equipment removed or replaced (including identification numbers, if applicable).

(2) The organization employs automated mechanisms to ensure that periodic maintenance is scheduled and conducted as required, and that a log of maintenance actions, both needed and completed, is up to date, accurate, complete, and available.

LOW

MA-2

MOD

MA-2 (1)

HIGH

MA-2 (1) (2)

MA-3 MAINTENANCE TOOLS

Control

The organization approves, controls, and monitors the use of information system maintenance tools and maintains the tools on an ongoing basis.

Supplemental Guidance

None.

Control Enhancements

(1) The organization inspects all maintenance tools (e.g., diagnostic and test equipment) carried into a facility by maintenance personnel for obvious improper modifications.

(2) The organization checks all media containing diagnostic test programs (e.g., software or firmware used for system maintenance or diagnostics) for malicious code before the media are used in the information system.

(3) The organization checks all maintenance equipment with the capability of retaining information to ensure that no organizational information is written on the equipment or the equipment is appropriately sanitized before release; if the equipment cannot be sanitized, the equipment remains within the facility or is destroyed, unless an appropriate organization official explicitly authorizes an exception.

(4) The organization employs automated mechanisms to ensure only authorized personnel use maintenance tools.

LOW

Not Selected

MOD

MA-3

HIGH

MA-3 (1) (2) (3)

MA-4 REMOTE MAINTENANCE

Control

The organization approves, controls, and monitors remotely executed maintenance and diagnostic activities.

Supplemental Guidance

The organization describes the use of remote diagnostic tools in the security plan for the information system. The organization maintains maintenance logs for all remote maintenance, diagnostic, and service activities. Appropriate organization officials periodically review maintenance logs. Other techniques to consider for improving the security of remote maintenance include: (i) encryption and decryption of diagnostic communications; (ii) strong identification and authentication techniques, such as Level 3 or 4 tokens as described in NIST Special Publication 800-63; and (iii) remote disconnect verification. When remote maintenance is completed, the organization (or information system in certain cases) terminates all sessions and remote connections. If password-based authentication is used during remote maintenance, the organization changes the passwords following each remote maintenance service. For high-impact information systems, if remote diagnostic or maintenance services are required from a service or organization that does not implement for its own information system the same level of security as that implemented on the system being serviced, the system being serviced is sanitized and physically separated from other information systems before the connection of the remote access line. If the information system cannot be sanitized (e.g., due to a system failure), remote maintenance is not allowed.

Control Enhancements

(1) The organization audits all remote maintenance sessions, and appropriate organizational personnel review the audit logs of the remote sessions.

(2) The organization addresses the installation and use of remote diagnostic links in the security plan for the information system.

(3) Remote diagnostic or maintenance services are acceptable if performed by a service or organization that implements for its own information system the same level of security as that implemented on the information system being serviced.

LOW

MA-4

MOD

MA-4

HIGH

MA-4 (1) (2) (3)

MA-5 MAINTENANCE PERSONNEL

Control

The organization maintains a list of personnel authorized to perform maintenance on the information system. Only authorized personnel perform maintenance on the information system.

Supplemental Guidance

Maintenance personnel have appropriate access authorizations to the information system when maintenance activities allow access to organizational information. When maintenance personnel do not have needed access authorizations, organizational personnel with appropriate access authorizations supervise maintenance personnel during the performance of maintenance activities on the information system.

Control Enhancements

None.

LOW

MA-5

MOD

MA-5

HIGH

MA-5

MA-6 TIMELY MAINTENANCE

Control

The organization obtains maintenance support and spare parts for [Assignment: organization-defined list of key information system components] within [Assignment: organization-defined time period] of failure.

Supplemental Guidance

None.

Control Enhancements

None.

LOW

Not Selected

MOD

MA-6

HIGH

MA-6

Family Media Protection Class Operational

MP-1 MEDIA PROTECTION POLICY AND PROCEDURES

Control

The organization develops, disseminates, and periodically reviews/updates: (i) a formal, documented, media protection policy that addresses purpose, scope, roles, responsibilities, and compliance; and (ii) formal, documented procedures to facilitate the implementation of the media protection policy and associated media protection controls.

Supplemental Guidance

The media protection policy and procedures are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance. 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. NIST Special Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements

None.

LOW

MP-1

MOD

MP-1

HIGH

MP-1

MP-2 MEDIA ACCESS

Control

The organization ensures that only authorized users have access to information in printed form or on digital media removed from the information system.

Supplemental Guidance

None.

Control Enhancements

(1) Unless guard stations control access to media storage areas, the organization employs automated mechanisms to ensure only authorized access to such storage areas and to audit access attempts and access granted.

LOW

MP-2

MOD

MP-2

HIGH

MP-2 (1)

MP-3 MEDIA LABELING

Control

The organization affixes external labels to removable information storage media and information system output indicating the distribution limitations and handling caveats of the information. The organization exempts the following specific types of media or hardware components from labeling so long as they remain within a secure environment: [Assignment: organization-defined list of media types and hardware components].

Supplemental Guidance

The organization marks human-readable output appropriately in accordance with applicable policies and procedures. At a minimum, the organization affixes printed output that is not otherwise appropriately marked, with cover sheets and labels digital media with the distribution limitations, handling caveats, and applicable security markings, if any, of the information.

Control Enhancements

None.

LOW

Not Selected

MOD

MP-3

HIGH

MP-3

MP-4 MEDIA STORAGE

Control

The organization physically controls and securely stores information system media, both paper and digital, based on the highest FIPS 199 security category of the information recorded on the media.

Supplemental Guidance

The organization protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures. The organization protects unmarked media at the highest FIPS 199 security category for the information system until the media are reviewed and appropriately labeled.

Control Enhancements

None.

LOW

Not Selected

MOD

MP-4

HIGH

MP-4

MP-5 MEDIA TRANSPORT

Control

The organization controls information system media (paper and digital) and restricts the pickup, receipt, transfer, and delivery of such media to authorized personnel.

Supplemental Guidance

None.

Control Enhancements

None.

LOW

Not Selected

MOD

MP-5

HIGH

MP-5

MP-6 MEDIA SANITIZATION

Control

The organization sanitizes information system digital media using approved equipment, techniques, and procedures. The organization tracks, documents, and verifies media sanitization actions and periodically tests sanitization equipment/procedures to ensure correct performance.

Supplemental Guidance

Sanitization is the process used to remove information from digital media such that information recovery is not possible. Sanitization includes removing all labels, markings, and activity logs. Sanitization techniques, including degaussing and overwriting memory locations, ensure that organizational information is not disclosed to unauthorized individuals when such media is reused or disposed. The National Security Agency maintains a listing of approved products at http://www.nsa.gov/ia/government/mdg.cfm with degaussing capability. The product selected is appropriate for the type of media being degaussed. NIST Special Publication 800-36 provides guidance on appropriate sanitization equipment, techniques and procedures.

Control Enhancements

None.

LOW

Not Selected

MOD

MP-6

HIGH

MP-6

MP-7 MEDIA DESTRUCTION AND DISPOSAL

Control

The organization sanitizes or destroys information system digital media before its disposal or release for reuse, to prevent unauthorized individuals from gaining access to and using the information contained on the media.

Supplemental Guidance

The organization: (i) sanitizes information system hardware and machine-readable media using approved methods before being released for reuse; or (ii) destroys the hardware/media. Media destruction and disposal should be accomplished in an environmentally approved manner. The National Security Agency provides media destruction guidance at http://www.nsa.gov/ia/government/mdg.cfm. The organization destroys information storage media when no longer needed in accordance with organization-approved methods and organizational policy and procedures. The organization tracks, documents, and verifies media destruction and disposal actions. The organization physically destroys nonmagnetic (optical) media (e.g., compact disks, digital video disks) in a safe and effective manner. NIST Special Publication 800-36 provides guidance on appropriate sanitization equipment, techniques and procedures.

Control Enhancements

None.

LOW

MP-7

MOD

MP-7

HIGH

MP-7

Family Physical and Environmental Protection Class Operational

PE-1 PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES

Control

The organization develops, disseminates, and periodically reviews/updates: (i) a formal, documented, physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, and compliance; and (ii) formal, documented procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls.

Supplemental Guidance

The physical and environmental protection policy and procedures are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance. 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. NIST Special Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements

None.

LOW

PE-1

MOD

PE-1

HIGH

PE-1

PE-2 PHYSICAL ACCESS AUTHORIZATIONS

Control

The organization develops and keeps current lists of personnel with authorized access to facilities containing information systems (except for those areas within the facilities officially designated as publicly accessible) and issues appropriate authorization credentials (e.g., badges, identification cards, smart cards). Designated officials within the organization review and approve the access list and authorization credentials [Assignment: organization-defined frequency, at least annually].

Supplemental Guidance

The organization promptly removes personnel no longer requiring access from access lists.

Control Enhancements

None.

LOW

PE-2

MOD

PE-2

HIGH

PE-2

PE-3 PHYSICAL ACCESS CONTROL

Control

The organization controls all physical access points (including designated entry/exit points) to facilities containing information systems (except for those areas within the facilities officially designated as publicly accessible) and verifies individual access authorizations before granting access to the facilities. The organization also controls access to areas officially designated as publicly accessible, as appropriate, in accordance with the organization’s assessment of risk.

Supplemental Guidance

The organization uses physical access devices (e.g., keys, locks, combinations, card readers) and/or guards to control entry to facilities containing information systems. The organization secures keys, combinations, and other access devices and inventories those devices regularly. The organization changes combinations and keys: (i) periodically; and (ii) when keys are lost, combinations are compromised, or individuals are transferred or terminated. After an emergency-related event, the organization restricts reentry to facilities to authorized individuals only. 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 appropriately controlled.

Control Enhancements

None.

LOW

PE-3

MOD

PE-3

HIGH

PE-3

PE-4 ACCESS CONTROL FOR TRANSMISSION MEDIUM

Control

The organization controls physical access to information system transmission lines carrying unencrypted information to prevent eavesdropping, in-transit modification, disruption, or physical tampering.

Supplemental Guidance

None.

Control Enhancements

None.

LOW

Not Selected

MOD

Not Selected

HIGH

Not Selected

PE-5 ACCESS CONTROL FOR DISPLAY MEDIUM

Control

The organization controls physical access to information system devices that display information to prevent unauthorized individuals from observing the display output.

Supplemental Guidance

None.

Control Enhancements

None.

LOW

Not Selected

MOD

PE-5

HIGH

PE-5

PE-6 MONITORING PHYSICAL ACCESS

Control

The organization monitors physical access to information systems to detect and respond to incidents.

Supplemental Guidance

The organization reviews physical access logs periodically, investigates apparent security violations or suspicious physical access activities, and takes remedial actions.

Control Enhancements

(1) The organization monitors real-time intrusion alarms and surveillance equipment.

(2) The organization employs automated mechanisms to ensure potential intrusions are recognized and appropriate response actions initiated.

LOW

PE-6

MOD

PE-6 (1)

HIGH

PE-6 (1) (2)

PE-7 VISITOR CONTROL

Control

The organization controls physical access to information systems by authenticating visitors before authorizing access to facilities or areas other than areas designated as publicly accessible.

Supplemental Guidance

Government contractors and others with permanent authorization credentials are not considered visitors.

Control Enhancements

(1) The organization escorts visitors and monitors visitor activity, when required.

LOW

PE-7

MOD

PE-7 (1)

HIGH

PE-7 (1)

PE-8 ACCESS LOGS

Control

The organization maintains a visitor access log to facilities (except for those areas within the facilities officially designated as publicly accessible) that includes: (i) name and organization of the person visiting; (ii) signature of the visitor; (iii) form of identification; (iv) date of access; (v) time of entry and departure; (vi) purpose of visit; and (vii) name and organization of person visited. Designated officials within the organization review the access logs [Assignment: organization-defined frequency] after closeout.

Supplemental Guidance

None.

Control Enhancements

(1) The organization employs automated mechanisms to facilitate the maintenance and review of access logs.

LOW

PE-8

MOD

PE-8 (1)

HIGH

PE-8 (1)

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

None.

Control Enhancements

(1) The organization employs redundant and parallel power cabling paths.

LOW

Not Selected

MOD

PE-9

HIGH

PE-9

PE-10 EMERGENCY SHUTOFF

Control

For specific locations within a facility containing concentrations of information system resources (e.g., data centers, server rooms, mainframe rooms), the organization provides the capability of shutting off power to any information technology component that may be malfunctioning (e.g., due to an electrical fire) or threatened (e.g., due to a water leak) without endangering personnel by requiring them to approach the equipment.

Supplemental Guidance

None.

Control Enhancements

None.

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

None.

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.

LOW

Not Selected

MOD

PE-11

HIGH

PE-11 (1)

PE-12 EMERGENCY LIGHTING

Control

The organization employs and maintains automatic emergency lighting systems that activate in the event of a power outage or disruption and that cover emergency exits and evacuation routes.

Supplemental Guidance

None.

Control Enhancements

None.

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 that can be activated in the event of a fire.

Supplemental Guidance

Fire suppression and detection devices/systems include, but are not limited to, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.

Control Enhancements

(1) Fire suppression and detection devices/systems activate automatically in the event of a fire.

(2) Fire suppression and detection devices/systems provide automatic notification of any activation to the organization and emergency responders.

LOW

PE-13

MOD

PE-13 (1)

HIGH

PE-13 (1) (2)

PE-14 TEMPERATURE AND HUMIDITY CONTROLS

Control

The organization regularly maintains within acceptable levels and monitors the temperature and humidity within facilities containing information systems.

Supplemental Guidance

None.

Control Enhancements

None.

LOW

PE-14

MOD

PE-14

HIGH

PE-14

PE-15 WATER DAMAGE PROTECTION

Control

The organization protects the information system from water damage resulting from broken plumbing lines or other sources of water leakage by ensuring that master shutoff valves are accessible, working properly, and known to key personnel.

Supplemental Guidance

None.

Control Enhancements

(1) The organization employs automated mechanisms to automatically close shutoff valves in the event of a significant water leak.

LOW

PE-15

MOD

PE-15

HIGH

PE-15 (1)

PE-16 DELIVERY AND REMOVAL

Control

The organization controls information system-related items (i.e., hardware, firmware, software) entering and exiting the facility and maintains appropriate records of those items.

Supplemental Guidance

The organization controls delivery areas and, if possible, isolates the areas from the information system and media libraries to avoid unauthorized access. Appropriate organizational officials authorize the delivery or removal of information system-related items belonging to the organization.

Control Enhancements

None.

LOW

PE-16

MOD

PE-16

HIGH

PE-16

PE-17 ALTERNATE WORK SITE

Control

Individuals within the organization employ appropriate information system security controls at alternate work sites.

Supplemental Guidance

NIST Special Publication 800-46 provides guidance on security in telecommuting and broadband communications. The organization provides a means for employees to communicate with information system security staff in case of security problems.

Control Enhancements

None.

LOW

Not Selected

MOD

PE-17

HIGH

PE-17

Family Planning Class Management

PL-1 SECURITY PLANNING POLICY AND PROCEDURES

Control

The organization develops, disseminates, and periodically reviews/updates: (i) a formal, documented, security planning policy that addresses purpose, scope, roles, responsibilities, and compliance; and (ii) formal, documented procedures to facilitate the implementation of the security planning policy and associated security planning controls.

Supplemental Guidance

The security planning policy and procedures are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance. The security planning policy 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. NIST Special Publication 800-18 provides guidance on security planning. NIST Special Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements

None.

LOW

PL-1

MOD

PL-1

HIGH

PL-1

PL-2 SYSTEM SECURITY PLAN

Control

The organization develops and implements a security plan for the information system that provides an overview of the security requirements for the system and a description of the security controls in place or planned for meeting those requirements. Designated officials within the organization review and approve the plan.

Supplemental Guidance

NIST Special Publication 800-18 provides guidance on security planning.

Control Enhancements

None.

LOW

PL-2

MOD

PL-2

HIGH

PL-2

PL-3 SYSTEM SECURITY PLAN UPDATE

Control

The organization reviews the security plan for the information system [Assignment: organization-defined frequency] and revises the plan to address system/organizational changes or problems identified during plan implementation or security control assessments.

Supplemental Guidance

Significant changes are defined in advance by the organization and identified in the configuration management process.

Control Enhancements

None.

LOW

PL-3

MOD

PL-3

HIGH

PL-3

PL-4 RULES OF BEHAVIOR

Control

The organization establishes and makes readily available to all information system users a set of rules that describes their responsibilities and expected behavior with regard to information system usage. The organization receives signed acknowledgement from users indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to the information system.

Supplemental Guidance

Electronic signatures are acceptable for use in acknowledging rules of behavior. NIST Special Publication 800-18 provides guidance on preparing rules of behavior.

Control Enhancements

None.

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.

Supplemental Guidance

OMB Memorandum 03-22 provides guidance for implementing the privacy provisions of the E-Government Act of 2002.

Control Enhancements

None.

LOW

PL-5

MOD

PL-5

HIGH

PL-5

Family Personnel Security Class Operational

PS-1 PERSONNEL SECURITY POLICY AND PROCEDURES

Control

The organization develops, disseminates, and periodically reviews/updates: (i) a formal, documented, personnel security policy that addresses purpose, scope, roles, responsibilities, and compliance; and (ii) formal, documented procedures to facilitate the implementation of the personnel security policy and associated personnel security controls.

Supplemental Guidance

The personnel security policy and procedures are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance. 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. NIST Special Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements

None.

LOW

PS-1

MOD

PS-1

HIGH

PS-1

PS-2 POSITION CATEGORIZATION

Control

The organization assigns a risk designation to all positions and establishes screening criteria for individuals filling those positions. The organization reviews and revises position risk designations [Assignment: organization-defined frequency].

Supplemental Guidance

Position risk designations are consistent with 5 CFR 731.106(a) and Office of Personnel Management policy and guidance.

Control Enhancements

None.

LOW

PS-2

MOD

PS-2

HIGH

PS-2

PS-3 PERSONNEL SCREENING

Control

The organization screens individuals requiring access to organizational information and information systems before authorizing access.

Supplemental Guidance

Screening is consistent with: (i) 5 CFR 731.106(a); (ii) Office of Personnel Management policy, regulations, and guidance; (iii) organizational policy, regulations, and guidance; (iv) FIPS 201 and Special Publications 800-73 and 800-76; and (v) the criteria established for the risk designation of the assigned position.

Control Enhancements

None.

LOW

PS-3

MOD

PS-3

HIGH

PS-3

PS-4 PERSONNEL TERMINATION

Control

When employment is terminated, the organization terminates information system access, conducts exit interviews, ensures the return of all organizational information system-related property (e.g., keys, identification cards, building passes), and ensures that appropriate personnel have access to official records created by the terminated employee that are stored on organizational information systems.

Supplemental Guidance

None.

Control Enhancements

None.

LOW

PS-4

MOD

PS-4

HIGH

PS-4

PS-5 PERSONNEL TRANSFER

Control

The organization reviews information systems/facilities access authorizations when individuals are reassigned or transferred to other positions within the organization and initiates appropriate actions (e.g., reissuing keys, identification cards, building passes; closing old accounts and establishing new accounts; and changing system access authorizations).

Supplemental Guidance

None.

Control Enhancements

None.

LOW

PS-5

MOD

PS-5

HIGH

PS-5

PS-6 ACCESS AGREEMENTS

Control

The organization completes appropriate access agreements (e.g., nondisclosure agreements, acceptable use agreements, rules of behavior, conflict-of-interest agreements) for individuals requiring access to organizational information and information systems before authorizing access.

Supplemental Guidance

None.

Control Enhancements

None.

LOW

PS-6

MOD

PS-6

HIGH

PS-6

PS-7 THIRD-PARTY PERSONNEL SECURITY

Control

The organization establishes personnel security requirements for third-party providers (e.g., service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, network and security management) and monitors provider compliance to ensure adequate security.

Supplemental Guidance

The organization explicitly includes personnel security requirements in acquisition-related documents. NIST Special Publication 800-35 provides guidance on information technology security services.

Control Enhancements

None.

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, directives, policies, regulations, standards, and guidance. The sanctions process can be included as part of the general personnel policies and procedures for the organization.

Control Enhancements

None.

LOW

PS-8

MOD

PS-8

HIGH

PS-8

Family Risk Assessment Class Management

RA-1 RISK ASSESSMENT POLICY AND PROCEDURES

Control

The organization develops, disseminates, and periodically reviews/updates: (i) a formal, documented risk assessment policy that addresses purpose, scope, roles, responsibilities, and compliance; and (ii) formal, documented procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls.

Supplemental Guidance

The risk assessment policy and procedures are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance. 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. NIST Special Publications 800-30 provides guidance on the assessment of risk. NIST Special Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements

None.

LOW

RA-1

MOD

RA-1

HIGH

RA-1

RA-2 SECURITY CATEGORIZATION

Control

The organization categorizes the information system and the information processed, stored, or transmitted by the system in accordance with FIPS 199 and documents the results (including supporting rationale) in the system security plan. Designated senior-level officials within the organization review and approve the security categorizations.

Supplemental Guidance

NIST Special Publication 800-60 provides guidance on determining the security categories of the information types resident on the information system. The organization conducts security categorizations as an organization-wide activity with the involvement of the chief information officer, senior agency information security officer, information system owners, and information owners.

Control Enhancements

None.

LOW

RA-2

MOD

RA-2

HIGH

RA-2

RA-3 RISK ASSESSMENT

Control

The organization conducts assessments of the risk and magnitude of harm that could result from the unauthorized access, use, disclosure, disruption, modification, or destruction of information and information systems that support the operations and assets of the agency.

Supplemental Guidance

Risk assessments take into account vulnerabilities, threat sources, and security controls planned or in place to determine the resulting level of residual risk posed to organizational operations, organizational assets, or individuals based on the operation of the information system. NIST Special Publication 800-30 provides guidance on conducting risk assessments including threat, vulnerability, and impact assessments.

Control Enhancements

None.

LOW

RA-3

MOD

RA-3

HIGH

RA-3

RA-4 RISK ASSESSMENT UPDATE

Control

The organization updates the risk assessment [Assignment: organization-defined frequency] or whenever there are significant changes to the information system, the facilities where the system resides, or other conditions that may impact the security or accreditation status of the system.

Supplemental Guidance

The organization develops and documents specific criteria for what is considered significant change to the information system. NIST Special Publication 800-30 provides guidance on conducting risk assessment updates.

Control Enhancements

None.

LOW

RA-4

MOD

RA-4

HIGH

RA-4

RA-5 VULNERABILITY SCANNING

Control

Using appropriate vulnerability scanning tools and techniques, the organization scans for vulnerabilities in the information system [Assignment: organization-defined frequency] or when significant new vulnerabilities affecting the system are identified and reported.

Supplemental Guidance

The organization trains selected personnel in the use and maintenance of vulnerability scanning tools and techniques. The information obtained from the vulnerability scanning process is freely shared with appropriate personnel throughout the organization to help eliminate similar vulnerabilities in other information systems. Vulnerability analysis for custom software and applications may require additional, more specialized approaches (e.g., vulnerability scanning tools for applications, source code reviews, static analysis of source code). NIST Special Publication 800-42 provides guidance on network security testing. NIST Special Publication 800-40 provides guidance on handling security patches.

Control Enhancements

(1) Vulnerability scanning tools include the capability to readily update the list of vulnerabilities scanned.

(2) The organization updates the list of information system vulnerabilities [Assignment: organization-defined frequency] or when significant new vulnerabilities are identified and reported.

(3) Vulnerability scanning procedures include means to ensure adequate scan coverage, both vulnerabilities checked and information system components scanned.

LOW

Not Selected

MOD

RA-5

HIGH

RA-5 (1) (2)

Family System and Services Acquisition Class Management

SA-1 SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES

Control

The organization develops, disseminates, and periodically reviews/updates: (i) a formal, documented, system and services acquisition policy that addresses purpose, scope, roles, responsibilities, and compliance; and (ii) formal, documented procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls.

Supplemental Guidance

The system and services acquisition policy and procedures are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance. 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. NIST Special Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements

None.

LOW

SA-1

MOD

SA-1

HIGH

SA-1

SA-2 ALLOCATION OF RESOURCES

Control

The organization determines, documents, and allocates as part of its capital planning and investment control process the resources required to adequately protect the information system.

Supplemental Guidance

The organization includes the determination of security requirements for the information system in mission/business case planning and establishes a discrete line item for information system security in the organization’s programming and budgeting documentation. NIST Special Publication 800-65 provides guidance on integrating security into the capital planning and investment control process.

Control Enhancements

None.

LOW

SA-2

MOD

SA-2

HIGH

SA-2

SA-3 LIFE CYCLE SUPPORT

Control

The organization manages the information system using a system development life cycle methodology that includes information security considerations.

Supplemental Guidance

NIST Special Publication 800-64 provides guidance on security considerations in the system development life cycle.

Control Enhancements

None.

LOW

SA-3

MOD

SA-3

HIGH

SA-3

SA-4 ACQUISITIONS

Control

The organization includes security requirements and/or security specifications, either explicitly or by reference, in information system acquisition contracts based on an assessment of risk.

Supplemental Guidance

Solicitation Documents - The solicitation documents (e.g., Requests for Proposals) for information systems and services include, either explicitly or by reference, security requirements that describe: (i) required security capabilities; (ii) required design and development processes; (iii) required test and evaluation procedures; and (iv) required documentation. The requirements in the solicitation documents permit updating security controls as new threats/vulnerabilities are identified and as new technologies are implemented. NIST Special Publication 800-53 provides guidance on recommended security controls for federal information systems to meet minimum security requirements for information systems categorized in accordance with FIPS 199. NIST Special Publication 800-36 provides guidance on the selection of information security products. NIST Special Publication 800-35 provides guidance on information technology security services. NIST Special Publication 800-64 provides guidance on security considerations in the system development life cycle.

Use of Tested, Evaluated, and Validated Products - NIST Special Publication 800-23 provides guidance on the acquisition and use of tested/evaluated information technology products.

Configuration Settings and Implementation Guidance - The information system required documentation includes security configuration settings and security implementation guidance. NIST Special Publication 800-70 provides guidance on configuration settings for information technology products.

Control Enhancements

None.

LOW

SA-4

MOD

SA-4

HIGH

SA-4

SA-5 INFORMATION SYSTEM DOCUMENTATION

Control

The organization ensures that adequate documentation for the information system and its constituent components is available, protected when required, and distributed to authorized personnel.

Supplemental Guidance

Administrator and user guides include information on: (i) configuring, installing, and operating the information system; and (ii) optimizing the system’s security features. NIST Special Publication 800-70 provides guidance on configuration settings for information technology products.

Control Enhancements

(1) The organization includes documentation describing the functional properties of the security controls employed within the information system with sufficient detail to permit analysis and testing of the controls.

(2) The organization includes documentation describing the design and implementation details of the security controls employed within the information system with sufficient detail to permit analysis and testing of the controls (including functional interfaces among control components).

LOW

SA-5

MOD

SA-5 (1)

HIGH

SA-5 (1) (2)

SA-6 SOFTWARE USAGE RESTRICTIONS

Control

The organization complies with software usage restrictions.

Supplemental Guidance

Software and associated documentation are used in accordance with contract agreements and copyright laws. For software and associated documentation protected by quantity licenses, the organization employs tracking systems to control copying and distribution. The organization controls and documents the use of publicly accessible 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.

Control Enhancements

None.

LOW

SA-6

MOD

SA-6

HIGH

SA-6

SA-7 USER INSTALLED SOFTWARE

Control

The organization enforces explicit rules governing the downloading and installation of software by users.

Supplemental Guidance

If provided the necessary privileges, users have the ability to download and install software. The organization identifies what types of software downloads and installations are permitted (e.g., updates and security patches to existing software) and what types of downloads and installations are prohibited (e.g., software that is free only for personal, not government, use). The organization also restricts the use of install-on-demand software.

Control Enhancements

None.

LOW

SA-7

MOD

SA-7

HIGH

SA-7

SA-8 SECURITY DESIGN PRINCIPLES

Control

The organization designs and implements the information system using security engineering principles.

Supplemental Guidance

NIST Special Publication 800-27 provides guidance on engineering principles for information system security.

Control Enhancements

None.

LOW

Not Selected

MOD

SA-8

HIGH

SA-8

SA-9 OUTSOURCED INFORMATION SYSTEM SERVICES

Control

The organization ensures that third-party providers of information system services employ adequate security controls in accordance with applicable federal laws, directives, policies, regulations, standards, guidance, and established service level agreements. The organization monitors security control compliance.

Supplemental Guidance

Third-party providers are subject to the same information system security policies and procedures of the supported organization, and must conform to the same security control and documentation requirements as would apply to the organization’s internal systems. Appropriate organizational officials approve outsourcing of information system services to third-party providers (e.g., service bureaus, contractors, and other external organizations). The outsourced 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 non-compliance. NIST Special Publication 800-35 provides guidance on information technology security services. NIST Special Publication 800-64 provides guidance on the security considerations in the system development life cycle.

Control Enhancements

None.

LOW

SA-9

MOD

SA-9

HIGH

SA-9

SA-10 DEVELOPER CONFIGURATION MANAGEMENT

Control

The information system developer creates and implements a configuration management plan that controls changes to the system during development, tracks security flaws, requires authorization of changes, and provides documentation of the plan and its implementation.

Supplemental Guidance

None.

Control Enhancements

None.

LOW

Not Selected

MOD

Not Selected

HIGH

SA-10

SA-11 DEVELOPER SECURITY TESTING

Control

The information system developer creates a security test and evaluation plan, implements the plan, and documents the results. Developmental security test results may be used in support of the security certification and accreditation process for the delivered information system.

Supplemental Guidance

Developmental security test results should only be used when no security relevant modifications of the information system have been made subsequent to developer testing and after selective verification of developer test results.

Control Enhancements

None.

LOW

Not Selected

MOD

SA-11

HIGH

SA-11

Family System and Communications Protection Class Technical

SC-1 SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES

Control

The organization develops, disseminates, and periodically reviews/updates: (i) a formal, documented, system and communications protection policy that addresses purpose, scope, roles, responsibilities, and compliance; and (ii) formal, documented procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls.

Supplemental Guidance

The system and communications protection policy and procedures are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance. 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. NIST Special Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements

None.

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

The information system physically or logically separates user interface services (e.g., public web pages) from information storage and management services (e.g., database management). Separation may be accomplished through the use of different computers, different central processing units, different instances of the operating system, different network addresses, combinations of these methods, or other methods as appropriate.

Control Enhancements

None.

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 partitions, domains, etc., including control of access to and 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.

Control Enhancements

(1) The information system employs underlying hardware separation mechanisms to facilitate security function isolation.

(2) The information system further divides the security functions with the functions enforcing access and information flow control isolated and protected from both nonsecurity functions and from other security functions.

(3) The information system minimizes the amount of nonsecurity functions included within the isolation boundary containing security functions.

(4) The information system security maintains its security functions in largely independent modules that avoid unnecessary interactions between modules.

(5) The information system security maintains its security functions in a layered structure minimizing interactions between layers of the design.

LOW

Not Selected

MOD

Not Selected

HIGH

SC-3

SC-4 INFORMATION REMNANTS

Control

The information system prevents unauthorized and unintended information transfer via shared system resources.

Supplemental Guidance

Control of information system remnants, sometimes referred to as object reuse, prevents 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 Enhancements

None.

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, network perimeter 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. Information systems that are publicly accessible can be protected by employing increased capacity and bandwidth combined with service redundancy.

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.

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 ensures that a lower-priority process is not able to interfere with the information system servicing any higher-priority process.

Control Enhancements

None.

LOW

Not Selected

MOD

SC-6

HIGH

SC-6

SC-7 BOUNDARY PROTECTION

Control

The information system monitors and controls communications at the external boundary of the information system and at key internal boundaries within the system.

Supplemental Guidance

Any connections to the Internet, or other external networks or information systems, occur through controlled interfaces (e.g., proxies, gateways, routers, firewalls, encrypted tunnels). The operational failure of the boundary protection mechanisms does not result in any unauthorized release of information outside of the information system boundary. Information system boundary protections at any designated alternate processing sites provide the same levels of protection as that of the primary site.

Control Enhancements

(1) The organization physically allocates publicly accessible information system components (e.g., public web servers) to separate subnetworks with separate, physical network interfaces. The organization prevents public access into the organization’s internal networks except as appropriately mediated.

LOW

SC-7

MOD

SC-7 (1)

HIGH

SC-7 (1)

SC-8 TRANSMISSION INTEGRITY

Control

The information system protects the integrity of transmitted information.

Supplemental Guidance

The FIPS 199 security category (for integrity) of the information being transmitted should guide the decision on the use of cryptographic mechanisms. NSTISSI No. 7003 contains guidance on the use of Protective Distribution Systems.

Control Enhancements

(1) The organization employs cryptographic mechanisms to ensure recognition of changes to information during transmission unless otherwise protected by alternative physical measures (e.g., protective distribution systems).

LOW

Not Selected

MOD

SC-8

HIGH

SC-8 (1)

SC-9 TRANSMISSION CONFIDENTIALITY

Control

The information system protects the confidentiality of transmitted information.

Supplemental Guidance

The FIPS 199 security category (for confidentiality) of the information being transmitted should guide the decision on the use of cryptographic mechanisms. NSTISSI No. 7003 contains guidance on the use of Protective Distribution Systems.

Control Enhancements

(1) The organization employs cryptographic mechanisms to prevent unauthorized disclosure of information during transmission unless protected by alternative physical measures (e.g., protective distribution systems).

LOW

Not Selected

MOD

SC-9

HIGH

SC-9 (1)

SC-10 NETWORK DISCONNECT

Control

The information system terminates a network connection at the end of a session or after [Assignment: organization-defined time period] of inactivity.

Supplemental Guidance

None.

Control Enhancements

None.

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 security functionality of the system.

Supplemental Guidance

None.

Control Enhancements

None.

LOW

Not Selected

MOD

Not Selected

HIGH

Not Selected

SC-12 CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

Control

The information system employs automated mechanisms with supporting procedures or manual procedures for cryptographic key establishment and key management.

Supplemental Guidance

NIST Special Publication 800-56 provides guidance on cryptographic key establishment. NIST Special Publication 800-57 provides guidance on cryptographic key management.

Control Enhancements

None.

LOW

Not Selected

MOD

SC-12

HIGH

SC-12

SC-13 USE OF VALIDATED CRYPTOGRAPHY

Control

When cryptography is employed within the information system, the system performs all cryptographic operations (including key generation) using FIPS 140-2 validated cryptographic modules operating in approved modes of operation.

Supplemental Guidance

NIST Special Publication 800-56 provides guidance on cryptographic key establishment. NIST Special Publication 800-57 provides guidance on cryptographic key management.

Control Enhancements

None.

LOW

SC-13

MOD

SC-13

HIGH

SC-13

SC-14 PUBLIC ACCESS PROTECTIONS

Control

For publicly available systems, the information system protects the integrity of the information and applications.

Supplemental Guidance

None.

Control Enhancements

None.

LOW

SC-14

MOD

SC-14

HIGH

SC-14

SC-15 COLLABORATIVE COMPUTING

Control

The information system prohibits remote activation of collaborative computing mechanisms (e.g., video and audio conferencing) and provides an explicit indication of use to the local users (e.g., use of camera or microphone).

Supplemental Guidance

None.

Control Enhancements

(1) The information system provides physical disconnect of camera and microphone in a manner that supports ease of use.

LOW

Not Selected

MOD

SC-15

HIGH

SC-15

SC-16 TRANSMISSION OF SECURITY PARAMETERS

Control

The information system reliably associates security parameters (e.g., security labels and markings) with information exchanged between information systems.

Supplemental Guidance

Security parameters may be explicitly or implicitly associated with the information contained within the information system.

Control Enhancements

None.

LOW

Not Selected

MOD

Not Selected

HIGH

Not Selected

SC-17 PUBLIC KEY INFRASTRUCTURE CERTIFICATES

Control

The organization develops and implements a certificate policy and certification practice statement for the issuance of public key certificates used in the information system.

Supplemental Guidance

Registration to receive a public key certificate includes authorization by a supervisor or a responsible official, and is done by a secure process that verifies the identity of the certificate holder and ensures that the certificate is issued to the intended party. NIST Special Publication 800-63 provides guidance on remote electronic authentication.

Control Enhancements

None.

LOW

Not Selected

MOD

SC-17

HIGH

SC-17

SC-18 MOBILE CODE

Control

The organization: (i) establishes usage restrictions and implementation guidance for mobile code technologies based on the potential to cause damage to the information system if used maliciously; and (ii) documents, monitors, and controls the use of mobile code within the information system. Appropriate organizational officials authorize the use of mobile code.

Supplemental Guidance

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. Control procedures prevent the development, acquisition, or introduction of unacceptable mobile code within the information system. NIST Special Publication 800-28 provides guidance on active content and mobile code. Additional information on risk-based approaches for the implementation of mobile code technologies can be found at: http://iase.disa.mil/mcp/index.html.

Control Enhancements

None.

LOW

Not Selected

MOD

SC-18

HIGH

SC-18

SC-19 VOICE OVER INTERNET PROTOCOL

Control

The organization: (i) 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 (ii) documents, monitors, and controls the use of VOIP within the information system. Appropriate organizational officials authorize the use of VOIP.

Supplemental Guidance

NIST Special Publication 800-58 provides guidance on security considerations for VOIP technologies employed in information systems.

Control Enhancements

None.

LOW

Not Selected

MOD

SC-19

HIGH

SC-19

Family System and Information Integrity Class Operational

SI-1 SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES

Control

The organization develops, disseminates, and periodically reviews/updates: (i) a formal, documented, system and information integrity policy that addresses purpose, scope, roles, responsibilities, and compliance; and (ii) formal, documented procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls.

Supplemental Guidance

The system and information integrity policy and procedures are consistent with applicable federal laws, directives, policies, regulations, standards, and guidance. 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. NIST Special Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements

None.

LOW

SI-1

MOD

SI-1

HIGH

SI-1

SI-2 FLAW REMEDIATION

Control

The organization identifies, reports, and corrects information system flaws.

Supplemental Guidance

The organization identifies information systems containing proprietary or open source software affected by recently announced software flaws (and potential vulnerabilities resulting from those flaws). Proprietary software can be found in either commercial/government off-the-shelf information technology component products or in custom-developed applications. The organization (or the software developer/vendor in the case of software developed and maintained by a vendor/contractor) promptly installs newly released security relevant patches, service packs, and hot fixes, and tests patches, service packs, and hot fixes for effectiveness and potential side effects on the organization’s information systems before installation. Flaws discovered during security assessments, continuous monitoring (see security controls CA-2, CA-4, or CA-7), or incident response activities (see security control IR-4) should also be addressed expeditiously. NIST Special Publication 800-40 provides guidance on security patch installation.

Control Enhancements

(1) The organization centrally manages the flaw remediation process and installs updates automatically without individual user intervention.

(2) The organization employs automated mechanisms to periodically and upon command determine the state of information system components with regard to flaw remediation.

LOW

SI-2

MOD

SI-2

HIGH

SI-2

SI-3 MALICIOUS CODE PROTECTION

Control

The information system implements malicious code protection that includes a capability for automatic updates.

Supplemental Guidance

The organization employs virus protection mechanisms at critical information system entry and exit points (e.g., firewalls, electronic mail servers, remote-access servers) and at workstations, servers, or mobile computing devices on the network. The organization uses the virus protection mechanisms to detect and eradicate malicious code (e.g., viruses, worms, Trojan horses) transported: (i) by electronic mail, electronic mail attachments, Internet accesses, removable media (e.g., diskettes or compact disks), or other common means; or (ii) by exploiting information system vulnerabilities. The organization updates virus protection mechanisms (including the latest virus definitions) whenever new releases are available in accordance with organizational configuration management policy and procedures. Consideration is given to using virus protection software products from multiple vendors (e.g., using one vendor for boundary devices and servers and another vendor for workstations).

Control Enhancements

(1) The organization centrally manages virus protection mechanisms.

(2) The information system automatically updates virus protection mechanisms.

LOW

SI-3

MOD

SI-3 (1)

HIGH

SI-3 (1) (2)

SI-4 INTRUSION DETECTION TOOLS AND TECHNIQUES

Control

The organization employs tools and techniques to monitor events on the information system, detect attacks, and provide identification of unauthorized use of the system.

Supplemental Guidance

Intrusion detection and information system monitoring capability can be achieved through a variety of tools and techniques (e.g., intrusion detection systems, virus protection software, log monitoring software, network forensic analysis tools).

Control Enhancements

(1) The organization networks 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 in support of detecting system-level attacks.

(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 outbound communications for unusual or unauthorized activities indicating the presence of malware (e.g., malicious code, spyware, adware).

LOW

Not Selected

MOD

SI-4

HIGH

SI-4

SI-5 SECURITY ALERTS AND ADVISORIES

Control

The organization receives information system security alerts/advisories on a regular basis, issues alerts/advisories to appropriate personnel, and takes appropriate actions in response.

Supplemental Guidance

The organization documents the types of actions to be taken in response to security alerts/advisories.

Control Enhancements

(1) The organization employs automated mechanisms to make security alert and advisory information available throughout the organization as needed.

LOW

SI-5

MOD

SI-5

HIGH

SI-5

SI-6 SECURITY FUNCTIONALITY VERIFICATION

Control

The information system verifies the correct operation of security functions [Selection (one or more): upon system startup and restart, 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] when anomalies are discovered.

Supplemental Guidance

None.

Control Enhancements

(1) The organization employs automated mechanisms to provide notification of failed security tests.

(2) The organization employs automated mechanisms to support management of distributed security testing.

LOW

Not Selected

MOD

SI-6

HIGH

SI-6 (1)

SI-7 SOFTWARE AND INFORMATION INTEGRITY

Control

The information system detects and protects against 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

None.

LOW

Not Selected

MOD

Not Selected

HIGH

SI-7

SI-8 SPAM AND SPYWARE PROTECTION

Control

The information system implements spam and spyware protection.

Supplemental Guidance

The organization employs spam and spyware protection mechanisms at critical information system entry points (e.g., firewalls, electronic mail servers, remote-access servers) and at workstations, servers, or mobile computing devices on the network. The organization uses the spam and spyware protection mechanisms to detect and take appropriate action on unsolicited messages and spyware/adware, respectively, transported by electronic mail, electronic mail attachments, Internet accesses, removable media (e.g., diskettes or compact disks), or other common means. Consideration is given to using spam and spyware protection software products from multiple vendors (e.g., using one vendor for boundary devices and servers and another vendor for workstations).

Control Enhancements

(1) The organization centrally manages spam and spyware protection mechanisms.

(2) The information system automatically updates spam and spyware protection mechanisms.

LOW

Not Selected

MOD

SI-8

HIGH

SI-8 (1)

SI-9 INFORMATION INPUT RESTRICTIONS

Control

The organization restricts the information input to the information system to authorized personnel only.

Supplemental Guidance

Restrictions on 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.

Control Enhancements

None.

LOW

Not Selected

MOD

SI-9

HIGH

SI-9

SI-10 INFORMATION INPUT ACCURACY, COMPLETENESS, AND VALIDITY

Control

The information system checks information inputs for accuracy, completeness, and validity.

Supplemental Guidance

Checks for accuracy, completeness, and validity of information should be accomplished as close to the point of origin as possible. Rules for checking the valid syntax of information system inputs (e.g., character set, length, numerical range, acceptable values) are in place to ensure that inputs match specified definitions for format and content. Inputs passed to interpreters should be prescreened to ensure the content is not unintentionally interpreted as commands. The extent to which the information system is able to check the accuracy, completeness, and validity of information inputs should be guided by organizational policy and operational requirements.

Control Enhancements

None.

LOW

Not Selected

MOD

SI-10

HIGH

SI-10

SI-11 ERROR HANDLING

Control

The information system identifies and handles error conditions in an expeditious manner.

Supplemental Guidance

The structure and content of error messages should be carefully considered by the organization. User error messages generated by the information system should provide timely and useful information to users without revealing information that could be exploited by adversaries. System error messages should be revealed only to authorized personnel (e.g., systems administrators, maintenance personnel). Sensitive information (e.g., account numbers, social security numbers, and credit card numbers) should not be listed in error logs or associated administrative messages. The extent to which the information system is able to identify and handle error conditions should be guided by organizational policy and operational requirements.

Control Enhancements

None.

LOW

Not Selected

MOD

SI-11

HIGH

SI-11

SI-12 INFORMATION OUTPUT HANDLING AND RETENTION

Control

The organization handles and retains output from the information system in accordance with organizational policy and operational requirements.

Supplemental Guidance

None.

Control Enhancements

None.

LOW

Not Selected

MOD

SI-12

HIGH

SI-12



The CISSP and CAP Prep Guide. Platinum Edition
The CISSP and CAP Prep Guide: Platinum Edition
ISBN: 0470007923
EAN: 2147483647
Year: 2004
Pages: 239
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